The ideas of T. R. Schellenberg on the appraisal, arrangement, and description of archives - Richard Stephen Stapleton

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THE IDEAS OF T.R. SCHELLENBERG

ON THE

APPRAISAL, ARRANGEMENT, AND DESCRIPTION OF ARCHIVES

BY

RICHARD STEPHEN STAPLETON

B.A., ACADIA UNIVERSITY, 1981

A THESIS SUBMITTED IN PARTIAL FULFILLMENT OF

THE REQUIREMENTS FOR THE DEGREE OF

MASTER OF ARCHIVAL STUDIES

i n

THE FACULTY OF ARTS

A d m i n i s t e r e d by

S c h o o l o f L i b r a r y , A r c h i v a l , and I n f o r m a t i o n S t u d i e s

an d t he

Department of H i s t o r y

We a c c e p t t h i s t h e s i s as c o n f o r m i n g

t o the r e q u i r e d s t a n d a r d :

THE UNIVERSITY OF BRITISH COLUMBIA

AUGUST 19 85

© R i c h a r d S t e p h e n S t a p l e t o n , 1985



In presenting t h i s t hesis in p a r t i a l fu lf il me nt of the

requirements for an advanced degree at the Un iv er si ty

of B r i t i s h Columbia, I agree that the Li br ar y s h a l l make

i t f r e e l y a va il ab le fo r reference and study. I fu rth eragree that permission for extensive copying of t h i s thesis

for scholarly purposes may be granted by the head of my

department or by hi s or her re pre se nt at ive s. I t i s

understood that copying or publication of t h i s thesis

f o r f i n a n c i a l gain s h a l l not be allowed without my wr it te n

permission.

Department o f S c h o o l o f L i b r a r y , A r c h i v a l , and I n f o r m a t i o n S t u d i e s

The Uni ve rs it y of B r i t i s h Columbia

1956 Main Mall

Vancouver, Canada

V6T 1Y3

D a t e 10 Se pt em be r 1985

6 (3/81)





TABLE OF CONTENTS

ABSTRACT i i

CHAPTER I

INTRODUCTION 1

CHAPTER I I

L I F E AND CAREER 3

CHAPTER I I I

IDEAS ON ARRANGEMENT AND DESCRIPTION 2 8

CHAPTER IV

IDEAS ON APPRAISAL .58

CHAPTER V

CONCLUSION 8 3

NOTES ' 8 8

BIBLIOGRAPHY 99

i i i



1

CHAPTER I

INTRODUCTION

T.R. Schellenberg (1903-1970) was an A m e r i c a n a r c h i v i s t of

i n t e r n a t i o n a l r e p u t a t i o n . I n 1 95 6, h i s Modern A r c h i v e s ;

P r i n c i p l e s and T e c h n i q u e s became the f i r s t a r c h i v a l tex tbo ok t o

be w r i t t e n by a n E n g l i s h s p e a k i n g a r c h i v i s t s i n c e H i l a r y

Jenkinson's A Manual of Ar ch iv e A d m i ni s t r a t i o n (1922 and 1937).

S c h e l l e n b e r g p u b l i s h e d one o t h e r book, The Management of Ar ch iv es

(1965), as w e l l as numerous j o u r n a l a r t i c l e s and p u b l i c a t i o n s

f o r t he N a t i o n a l A r c h i v e s , where he spen t most of h i s

p r o f e s s i o n a l c a r e e r from 1935 t o 1963. He was a l s o a c t i v e i n

the f i e l d o f a r c h i v a l education and served as an a r c h i v a l envoy

t o A u s t r a l i a and L a t i n America.

Even t h o u g h S c h e l l e n b e r g ' s works have been c i t e d by numerous

o t h e r w r i t e r s , t h e r e e x i s t , t o my k n o w l e d g e , only two a r t i c l e s

w h i c h f o c u s s p e c i f i c a l l y on him . One o f t h e s e , " I n Memoriam:

T.R. Schellenberg, 1903-1970" i s a eul ogy w h i c h a p p e a r e d i n the

A m e r i c a n A r c h i v i s t i n 1970 s h o r t l y a f t e r h i s dea th. The ot he r ,

Jane S m i t h ' s "T.R. S c h e l l e n b e r g : A m e r i c a n i z e r a nd P o p u l a r i z e r , "

p u b l i s h e d i n the A m e r i c a n A r c h i v i s t i n 1981, d ea ls p r i m a r i l y

w i t h S c h e l l e n b e r g 1 s l i f e and c a r ee r and does n o t t r e a t h i s

a r c h i v a l id ea s i n any d e t a i l .

The p u r p o s e o f t h i s pr es en t study i s to co nc en tr at e on

Sc hel le nbe rg 's ide as i n the areas of a r r a n g e m e n t , d e s c r i p t i o n ,

and a p p r a i s a l o f a r c h i v e s , w h i c h c o n s t i t u t e t he c or e o f a r c h i v a l

work. S c h e l l e n b e r g ' s name i s s t i l l w e l l known among pr es en t day



a r c h i v i s t s , p r i m a r i l y i n a s s o c i a t i o n w i t h h i s book, Modern

A r c h i v e s . However, hi s a c t u a l ide as are almost c e r t a i n l y not as

w e l l known toda y. As pr es en t day a r c h i v i s t s continue to search

f o r impr oved approa ches t o a r r a n g e m e n t , d e s c r i p t i o n , and

a p p r a i s a l , i t i s w o r t h w h i l e t o pause and r e f l e c t on the i d e a s

of the past.

S c h e l l e n b e r g ' s i d e a s on arrangement and d e s c r i p t i o n are

d i s c u s s e d i n the t h i r d chapt er of t h i s t h e s i s , whi le h i s ide as

on a p p r a i s a l are t r e a te d i n the fo u rt h cha pte r. In order to

pl ac e Sch el le nb er g i n the con tex t of h i s tim es, the second

chap ter i s devoted to h i s car eer at the N a t i on a l Ar ch iv es . For

the most p a r t , d i s c u s s i o n i s l i m i t e d to p u b l i c re co rd s of a

t e x t u a l k i n d s i m p l y b e c a u s e he w r o t e p r i m a r i l y from t h i s

p e r s p e c t i v e . However, h i s ob se rv at io ns on the a r r a n g e m e n t and

d e s c r i p t i o n o f p r i v a t e r e c o r d s , w h i c h he di sc us s ed i n The

Management o f A r c h i v e s , a r e c o n s i d e r e d b r i e f l y i n the - t h i r d

chapter.

The r i c h e s t s o u r c e s o f i n f o r m a t i o n f o r t h i s study, of

c o u r s e , have been S c h e l l e n b e r g ' s p u b l i c a t i o n s . A m i c r o f i l m copy

o f h i s p r i v a t e p a p e r s — t h e o r i g i n a l s are housed at the Kansas

S t a t e H i s t o r i c a l S o c i e t y i n Topeka, K a n s a s — a l s o proved to be

v a l u a b l e . O t h e r i m p o r t a n t s o u rc e m a t e r i a l s i n c l u d e d p u b l i c a t i o n s

p e r t a i n i n g t o t he N a t i o n a l A r c h i v e s d u r i n g S c h e l l e n b e r g ' s c a r e e r

t h e r e , and other m a j o r w r i t i n g s on a r r a n g e m e n t , d e s c r i p t i o n , and

a p p r a i s a l , both pa st and pr es en t, w h i c h prov id e a co nt ex t fo r

d i s c u s s i o n o f S c h e l l e n b e r g ' s w r i t i n g s .



3

CHAPTER I I

L I F E AND CAREER

Theodore R o o s e v e l t S c h e l l e n b e r g was b o r n on the 2 4 t h o f

Fe br ua ry 190 3 i n Harvey Coun ty, Kan sas. He s p e n t most o f h i s

c h i l d h o o d i n t h e s m a l l town o f H i l l s b o r o where h i s f a t h e r , who

h a d e m i g r a t e d w i t h h i s p a r e n t s from s o u t h e r n R u s s i a i n 18 79, was

t h e e d i t o r o f a German Mehnoriite newspaper."^" In l a t e r years

S c h e l l e n b e r g remembered the i n h a b i t a n t s o f H i l l s b o r o as b e i n g

" h i g h l y i n d i v i d u a l i s t i c i n t h e i r t a s t e s , o p i n i o n s , and m o r a l s .

T h e i r c o n v i c t i o n s , i n f a c t , were so s t r o n g , t h a t , i f one were n ot

aware o f t h e i r s i n c e r i t y , one w o u l d c o n s i d e r them o p i n i o n a t e d ;

2

and t h e i r manners were f r a n k t o the p o i n t o f b l u n t n e s s . " And o f

h i s f a t h e r he w r o t e : "To h i s way o f

t h i n k i n g t h er e were no

h a l f -

t r u t h s , f o r a t h i n g was e i t h e r t r u e o r f a l s e , and i f i t were t r u e

3

i t was t o be t o l d , no m a t t e r how much t he t r u t h m i g h t h u r t . "

S c h e l l e n b e r g c o u l d e a s i l y have been w r i t i n g a b o u t h i m s e l f as he

seemed t o a c q u i r e from h i s f a t h e r and h i s H i l l s b o r o n e i g h b o u r s a

s e n s e o f s tu bb or n i n d i v i d u a l i s m .

A n e a r l y i n d i c a t i o n o f t h i s i n d i v i d u a l i s m came d u r i n g

S c h e l l e n b e r g ' s y e a r s as a s t u d e n t o f h i s t o r y . When he was i n h i s

l a t e t e e n s t he f a m i l y moved f o r a s h o r t t i me t o Texas where they

o p e r a t e d a l a r g e farm. S c h e l l e n b e r g 1 s boyhood l o v e o f o u t d o o r

l i f e was soon r e p l a c e d by an i n t e n s e l o n g i n g t o a t t e n d u n i v e r s i t y .

T h i s a m b i t i o n was f i n a l l y r e a l i z e d , and i n r a p i d s u c c e s s i o n

S c h e l l e n b e r g e a r n e d h i s B.A. i n h i s t o r y from the U n i v e r s i t y o f

Kansas i n 192 8, h i s M.A. from the same i n s t i t u t i o n two years



4

l a t e r , and h i s Ph.D. from t h e U n i v e r s i t y o f P e n n s y l v a n i a i n 1 93 4.

S c h e l l e n b e r g ' s a r e a o f s p e c i a l t y was European and American

r e l a t i o n s , e s p e c i a l l y w i t h r e g a rd t o t he Monroe D o c t r i n e . H i s

p u b l i c a t i o n s i n t h i s f i e l d were n o t e d f o r t h e i r f r e s h i n t e r p r e

t a t i o n s . Commenting on one such p u b l i c a t i o n a c l a s s m a t e p r a i s e d

4

h im f o r " l e a d i n g o u r g e n e r a t i o n i n s h o w i n g up the f o s s i l s . "

W h i l e S c h e l l e n b e r g ' s h i s t o r i c a l i n t e r e s t s w o u l d be o f l i m i t e d

r e l e v a n c e t o h i s work as an a r c h i v i s t , h i s w i l l i n g n e s s t o

c h a l l e n g e a c c e p t e d t r a d i t i o n s c o n t r i b u t e d b o t h t o t he f r u s t r a t i o n s

he e n c o u n t e r e d and t he a c h i e v e m e n t s he e a r n e d d u r i n g h i s c a r e e r .

I n h i s n e a r l y t h i r t y y e a r s a t t he N a t i o n a l A r c h i v e s , S c h e l l e n b e r g

f r e q u e n t l y opposed t o p management, e s p e c i a l l y d u r i n g t he decade

of the 1950s when he h e l d h i s h i g h e s t a d m i n i s t r a t i v e p o s i t i o n .

D e s p it e h i s r e p u t a t i o n f o r a c e r t a i n c o n t r a r i n e s s , however,

S c h e l l e n b e r g ' s p e n c h a n t f o r t h e t r u t h s e r v e d h i m w e l l i n o t h e r

a r e a s , p a r t i c u l a r l y i n h i s w r i t i n g a nd t e a c h i n g w h i c h c o n t r i b u t e d

s i g n i f i c a n t l y to the development o f a d i s t i n c t a r c h i v a l

p r o f e s s i o n .

D e s p i t e t h i s l i f e l o n g d e d i c a t i o n to h i s p r o f e s s i o n ,

S c h e l l e n b e r g c o n f i d e d i n 196 1: " I t i s a p r o f e s s i o n i n t o w h i c h I

d r i f t e d a f t e r I f i n i s h e d my work a t t h e U n i v e r s i t y o f

P e n n s y l v a n i a . I t i s n o t one I c h o s e . " 5 In f a c t , he must have

been d e l i g h t e d t o be a b l e t o work a t a l l d u r i n g t he Depression

and New Deal y e a r s of the 1930s. In 1934 and e a r l y 1935

S c h e l l e n b e r g s e r v e d a s t h e E x e c u t i v e S e c r e t a r y o f t h e J o i n t

Committee on M a t e r i a l s f o r R e s e a r c h , a p r o j e c t s p o n s o r e d by th e

A m e r i c a n C o u n c i l of L e a r n e d S o c i e t i e s and t h e S o c i a l Science

R e s e a r c h C o u n c i l an d c o n c e r n e d p r i m a r i l y w i t h the then i n n o v a t i v e

p r a c t i c e o f m i c r o f i l m i n g . D u r i n g the s p r i n g of 1935, he was



5

employed as a h i s t o r i a n w i t h the N a t i o n a l P a r ks S e r v i c e . N e i t h e r

o f t h es e p o s i t i o n s was s t a b l e , b ut the e x p e r i e n c e he g a i n e d from

them c e r t a i n l y h e l p e d him to o b t a i n h i s a p p o i n t m e n t to th e

N a t i o n a l A r c h i v e s as a deputy examin er i n the d i v i s i o n o f

a c c e s s i o n s i n June o f 1935.

The N a t i o n a l A r c h i v e s , a l a t e comer t o the w o r l d a r c h i v a l

scene, was e s t a b l i s h e d by the A m e r i c a n government as an

i n d e p e n d e n t agency o n l y i n 1934. The i n i t i a t i v e b e h i n d the move

had come p r i m a r i l y from h i s t o r i a n s who d e p l o r e d the f a c t t h a t th e

proper care of government r e c o r d s had been r e p e a t e d l y o v e r l o o k e d .

I t was the t a s k of the N a t i o n a l A r c h i v e s t o compensate f o r t h i s

n e g l e c t . The f i r s t A r c h i v i s t of th e U n i t e d S t a t e s , R o b e r t D.W.

Connor (1934-1941), and h i s s t a f f t u r n e d to w h a t e v e r sources o f

a i d t h e y c o u l d d i s c o v e r . From the study o f S i r H i l a r y

J e n k i n s o n ' s A Manual o f A r c h i ve A d m i n i s t r a t i o n (1922) , w h i c h was

the only such work a v a i l a b l e i n E n g l i s h at th at time, Connor

l e a r n e d t h a t a r c h i v e s p r o p e r are government documents o n l y , ar e

not c o l l e c t e d but r a t h e r are drawn up i n the course o f r e g u l a r

b u s i n e s s , and have r e m a i n e d i n o f f i c i a l custod y. While t h i s

d e f i n i t i o n was c i t e d by Connor i n o f f i c i a l p u b l i c a t i o n s ,

J e n k i n s o n' s f u r t h e r c o n t e n t i o n t h a t a r c h i v i s t s must simply

r e c e i v e r e c o r d s from government a ge n c i e s w i t h o u t becoming

i n v o l v e d i n the a p p r a i s a l p r o c es s o f d e t e r m i n i n g w h i c h records

q u a l i f i e d as a r c h i v e s was n e v e r a c c e p t e d by th e N a t i o n a l A r c h i v e s

as part of i t s p o l i c y .

The N a t i o n a l A r c h i v e s a l s o a d o p t e d the European p r i n c i p l e

o f p r o v e n a n c e . T h i s p r i n c i p l e s t a t e d t h a t r e c o r d s s h o u l d be

i d e n t i f i e d w i t h the agency t h a t c r e a t e d them and s h o u l d be kept

t o g e t h e r i n the o r i g i n a l o r d e r used^by the a d m i n i s t r a t i o n .



A c c o r d i n g l y , th e N a t i o n a l A r ch i v e s e s t a b l i s h e d a c u s t o d i a l

d i v i s i o n f o r each d e p a r t m e n t of the government w h i c h t r a n s f e r r e d

r e c o r d s t o the i n s t i t u t i o n . The c u s t o d i a l d i v i s i o n d i d n o t c a r r y

o u t a wide range o f a r c h i v a l f u n c t i o n s b ut was r e s p o n s i b l e

p r i m a r i l y f o r the p r e p a r a t i o n o f d e t a i l e d i n v e n t o r i e s o f

a c c e s s i o n e d r e c o r d s . The o t h e r a r c h i v a l f u n c t i o n s were a s s i g n e d

t o the d i v i s i o n s o f a c c e s s i o n s , c l a s s i f i c a t i o n , c a t a l o g i n g ,

r e f e r e n c e , and r e s e a r c h , s i m i l a r t o the i n t e r n a l s t r u c t u r e o f a

l i b r a r y . I t i s n o t s u r p r i s i n g t h a t the N a t i o n a l A r c h i v e s s h o u l d

copy t h i s f u n c t i o n a l o r g a n i z a t i o n s i n c e some A m e r i c a n l i b r a r i e s

h a d e s t a b l i s h e d the p r a c t i c e o f h o u s i n g s t a t e a r c h i v a l r e c o r d s .

I t was no t p o s s i b l e , however, f o r European and American

p r e c e d e n t t o s up pl y a l l of th e answers f o r the N a t i o n a l A r c h i v e s .

I n o r d e r t o make an a s s e s s m e n t o f th e s t a t e of f e d e r a l government

r e c o r d s Connor l a u n c h e d two r e c o r d s s u r v e y s , the f i r s t i n 1935 t o

f o c u s on f e d e r a l r e c o r d s housed i n the D i s t r i c t o f C o l u m b i a and

the s e c o n d i n 19 36 t o d e a l w i t h r e c o r d s h e l d i n the r e s t o f the

n a t i o n . The r e s u l t s r e v e a l e d t h a t t h e r e were more than te n

m i l l i o n c u b i c f e e t o f f e d e r a l r e c o r d s s c a t t e r e d a c r o s s the

c o u n t r y i n v a r i o u s s t a t e s o f n e g l e c t and d e t e r i o r a t i o n . Even i f

o n l y 10 p e r c e n t o f t h e s e r e c o r d s were p r e s e r v e d , the new N a t i o n a l

A r c h iv e s B u i l d i n g w o u l d have been f i l l e d t o c a p a c i t y . The

a p p r a i s a l and a c c e s s i o n i n g o f s u c h an enormous body o f r e c o r d s

s p r e a d a c r o s s a l a r g e c o u n t r y c r e a t e d p r o b l e m s u n i q u e i n the

h i s t o r y o f a r c h i v e s . Connor i n v i t e d o f f i c i a l s from government

d e p a r t m e n t s and a g e n c i e s t o s u b m i t l i s t s o f r e c o r d s p r o p o s e d f o r

t r a n s f e r to the N a t i o n a l A r c h i v e s and l i s t s o f r e c o r d s p r o p o s e d

f o r d i s p o s a l . These l i s t s were p e r u s e d and a d j u s t e d by deputy

e x a m i n e r s , s u c h as S c h e l l e n b e r g , and th e d i s p o s a l l i s t s were



7

r e f e r r e d t o C o n g r e s s f o r a p p r o v a l . I n t h i s way the f i r s t

a c c e s s i o n s were r e c e i v e d by the N a t i o n a l A r c h i v e s , and, d e s p i t e

t h e f a c t t h a t the impetu s f o r the t r a n s f e r o f r e c o r d s remained

l a r g e l y w i t h the depar tmen ts and a g e n c i e s , t h e r o l e of the

a r c h i v i s t i n t h e a p p r a i s a l f u n c t i o n became f i r m l y e s t a b l i s h e d

f o r t h e f i r s t t i m e . The pr ob le m o f managing l a r g e volumes of

r e c o r d s has c o n t i n u e d t o domin ate the a t t e n t i o n o f a r c h i v i s t s a t

t h e N a t i o n a l A r c h i v e s and t o an e x t e n t th e e n t i r e a r c h i v a l

p r o f e s s i o n .

The problems i n v o l v e d i n g a i n i n g p h y s i c a l and i n t e l l e c t u a l

c o n t r o l o v e r a c c e s s i o n s r i v a l l e d the probl ems i n v o l v e d i n

a c q u i s i t i o n . I t was soon r e a l i z e d t h a t t h e v a r i o u s f u n c t i o n a l

d i v i s i o n s were c a r r y i n g o u t r e p e t i t i v e d e s c r i p t i v e work and t h a t

t h e s e o p e r a t i o n s wo ul d have to be s t r e a m l i n e d . I t a l s o became

a p p a r e n t t h a t e a r l y p r o c e d u r e s f o r t h e c l a s s i f i c a t i o n and

c a t a l o g i n g o f r e c o r d s were cumbersome and i n e f f i c i e n t . In 1940 ,

Conn or s e t up a f i n d i n g mediums committee to l o ok i n t o these

p r o b l e m s . The rec omme ndat ions of t h i s committee r e s u l t e d i n th e

abandonment of the l i b r a r y b a s e d o r g a n i z a t i o n of the N a t i o n a l

A r c h i v e s a c c o r d i n g t o f u n c t i o n a l d i v i s i o n s . The c u s t o d i a l

d i v i s i o n s were g i v e n f u l l r e s p o n s i b i l i t y f o r the comp lete

h a n d l i n g o f the r e c o r d s , from the i n i t i a l a p p r a i s a l and

a c c e s s i o n i n g to the e v e n t u a l a r r a n g e m e n t , d e s c r i p t i o n , and

s h e l v i n g o f m a t e r i a l s . C l a s s i f i c a t i o n and c a t a l o g i n g were t o be

r e p l a c e d by the c o l l e c t i v e arrangem ent and d e s c r i p t i o n o f

a r c h i v e s t h r o u g h t h e e s t a b l i s h m e n t o f u n i t s known as " r e c o r d

g r o u p s , " w h i c h were e s t a b l i s h e d "somewhat a r b i t r a r i l y w i t h due

r e g a r d to the p r i n c i p l e of pr ove na nc e and t o the d e s i r a b i l i t y o f

making the u n i t o f c o n v e n i e n t s i z e and c h a r a c t e r f o r th e work o f



8

7arrangement and d e s c r i p t i o n . " A r e c o r d group w o u l d u s u a l l y

co rr es po nd to the re co rd s of a government agency b u t c o u l d a l s o

c o n s i s t o f t h e r e c o r d s o f s e v e r a l s m a l l , r e l a t e d a g e n c i e s .

Records would be a r r a n g e d w i t h i n t h e s e g r o u p s a c c o r d i n g t o t h e i r

o r i g i n a l o r d e r a n d w o u l d be d e s c r i b e d i n i n v e n t o r i e s b e g i n n i n g

w i t h a g e n e r a l d e s c r i p t i o n o f t he r e c o r d group and pr oc ee di ng to

more d e t a i l e d d e s c r i p t i o n s o f t he component s e r i e s . Thus, even

t h o u g h th e r e c o r d group c o n c e p t was i nt r o du c e d as a p r a c t i c a l

means o f d e a l i n g w i t h l a r g e volumes o f r e c o r d s , i t a l s o f u l l y

embraced t he q u a l i t i e s o f a r r a n g e m e n t and d e s c r i p t i o n i n h e r e n t i n

t he p r i n c i p l e o f p r o v e n a n c e . I t r e m a i n s t he g r e a t e s t c o n t r i b u t i o n

o f t h e N a t i o n a l A r c h i v e s i n t he f i e l d o f a r r a n g e m e n t and

d e s c r i p t i o n .

In 1941, S ol on J. Buck s u c c e e d e d Connor as A r c h i v i s t of the

U n i t e d S t a t e s . I n t h e same y e a r th e U n i t e d S t a t e s e n t e r e d t h e

Second W o r l d War, and t h r o u g h o u t the course of the war government

b u r e a u c r a c y c h u r n e d o u t a n o t h e r t e n m i l l i o n c u b i c f e e t o f r e c o r d s ,

n e a r l y e q u a l l i n g the t o t a l volume o f r e c o r d s i n e x i s t e n c e when

t h e N a t i o n a l A r c h i v e s was e s t a b l i s h e d i n 19 34. Compounding the

p r o b l e m was t he i n c r e a s e d r e f e r e n c e s e r v i c e t h a t t h e N a t i o n a l

A r c h i v e s h ad t o s u p p l y t o government o f f i c e s i n v o l v e d i n t h e w ar

e f f o r t . W i t h p r a c t i c a l f o r e s i g h t a r e c o rd s a d m i n i s t r a t i o n program

was i n s t i t u t e d by t h e N a t i o n a l A r c h i v e s i n 19 41 w i t h no l e g a l .

j u s t i f i c a t i o n o t h e r than the r i g h t o f i n s p e c t i o n as o u t l i n e d i n

p

t h e o r i g i n a l N a t i o n a l A r c h i v e s A c t . The i n t e n t i o n o f t h i s

p r o g r a m was si mp ly t o ad vi se government d e p a r t m e n t s and ag en ci es

o n t h e o r d e r l y management and prompt r e t i r e m e n t o f t h e i r r e c o r d s

and to a i d the work o f a p p r a i s a l . However, because o f th e

p o t e n t i a l e f f i c i e n c y and economy o f f e r e d by r e c o r d s a d m i n i s t r a t i o n



9

the B u r e a u of the B u d g e t supp orte d the program. T oge the r, th e

B u r e a u and t he N a t i o n a l A r c h i v e s d r a f t e d l e g i s l a t i o n which, when

passed by C o n g r e s s , i n t r o d u c e d C o n g r e s s i o n a l a p p r o v a l o f r e c o r d s

schedules, as o p p o s e d t o d i s p o s a l l i s t s , whereby automatic

d e s t r u c t i o n o f s c h e d u l e d m a t e r i a l s c o u l d be c a r r i e d out wi th ou t

f u r t h e r word from Cong ress . The l e g i s l a t i o n a l s o b r o u g h t i n t o

p r a c t i c e the dra wing up of ge ne ra l sch edu les f o r re co rd s of

common c h a r a c t e r i s t i c s , such as h o u s e k e e p i n g re co rd s, he ld by

two or more a g e n c i e s . These t a c t i c s met wi th co ns id er ab le

su cc ess , but the con ti nue d expans ion of the A m e r i c a n government

d i d not al lo w a r c h i v i s t s and depa rtm enta l re cor ds o f f i c e r s t o

keep pace.

During these h e c t i c e a r l y y e a r s S c h e l l e n b e r g c o n t r i b u t e d

t o the d e v e l o p m e n t s i n the N a t i o n a l A r c h i v e s . In 1936, he was

give n a s i x month leave of absence from hi s d ut i es as a deputy

e x a m i n e r to serve as the a ss oc ia te d i r e c t o r of the s e c o n d o f t he

two f e d e r a l r e c o r d s s u r v e y s . Thus, he q u i c k l y became aware of

the se ri ou s ch al le ng e tha t faced the Na t io n al Ar ch iv es wi th

reg ard to the a p p r a i s a l of modern re co rd s. Less than two yea rs

l a t e r he was a pp oi nt ed c h i e f o f th e N a t i o n a l A r c h i v e s ' c u s t o d i a l

d i v i s i o n r e s p o n s i b l e f o r t he h o l d i n g s from the Department o f

A g r i c u l t u r e . In t h i s , h i s f i r s t i m p o rt a n t a d m i n i s t r a t i v e

p o s i t i o n , S c h e l l e n b e r g ' s a c c o m p l i s h m e n t s were many. In th e ar ea

o f a r r a n g e m e n t and d e s c r i p t i o n h i s S t a f f I n f o r m a t i o n C i r c u l a r ,

E u r o p e a n A r c h i v a l P r a c t i c e s i n Ar ran gin g Records, is su ed i n 1939,

c l e a r l y a r t i c u l a t e d h i s own v i e w and the v i e w of the Na ti o na l

A r c h i v e s t h a t E u r o p e a n t e c h n i q u e s were n ot a l w a y s a p p l i c a b l e t o

the A m e r i c a n a r c h i v a l sce ne. For e x a m p l e , he reo rg ani ze d h i s

d i v i s i o n ' s holdings of the records of the Weather B u r e a u i n orde r



t o make them more s e r v i c e a b l e t o r e s e a r c h e r s by i g n o r i n g th e

d i c t a t e s of the p r i n c i p l e o f o r i g i n a l o r d e r . S c h e l l e n b e r g a l s o

s e r v e d on th e f i n d i n g mediums c o m m i t t e e o f 1940.

With regard t o the a p p r a i s a l f u n c t i o n S c h e l l e n b e r g a s s i s t e d

t h e Department o f A g r i c u l t u r e i n the c o m p i l a t i o n o f i t s Manual

on the D i s p o s i t i o n o f O f f i c i a l Records. H i s d i v i s i o n was also

t he f i r s t t o develop sche dule s f o r t h e s y s t e m a t i c d i s p o s i t i o n o f

r e c o r d s . In 1945, he was a p p o i n t e d r e c o r d s o f f i c e r a t the O f f i c e

o f P r i c e A d m i n i s t r a t i o n t o h e l p t h a t emergency war agency

l i q u i d a t e i t s h o l d in g s . Under S c h e l l e n b e r g ' s d i r e c t i o n the

r e c o r d volume o f the agency was reduced from one m i l l i o n t o te n

t h o u s a n d c u b i c f e e t . B e fo r e r e t u r n i n g to the N a t i o n a l A r c h i v e s

as Program A d v i s e r i n 19 48, he a c h i e v e d s i m i l a r success a t th e

War Pr odu cti on s Board.

The b u s t l i n g c i t y o f W a s h i n g t o n was f a r removed from

S c h e l l e n b e r g 1 s small town b a c k g r o u n d , bu t he d i d h i s b e s t t o

s e t t l e i n t o the e n v i r o n m e n t . S c h e l l e n b e r g and h i s w i f e , Alma,

moved i n t o an e i g h t e e n t h c e n t u r y farmhouse i n n e a r b y A r l i n g t o n ,

V i r g i n i a , and over the y e a r s t h i s homestead p ro ve d i t s w o r t h as

a comfortable haven away from the p r e s s u r e s o f work. But while

S c h e l l e n b e r g ' s p r i v a t e l i f e showed s i g n s o f peace and s t a b i l i t y

t h e r e were a l r e a d y s i g n s o f c o n t r o v e r s y on th e j o b . He appears

t o have been d i s s a t i s f i e d w i t h the o p e r a t i o n s o f the N a t i o n a l

A r c h i v e s and was r e l u c t a n t to r e t u r n t h e r e a f t e r h i s p r o j e c t

w i t h t h e War P r o d u c t i o n s B o a r d was completed. In r e p l y t o

l e t t e r s r e c e i v e d from S c h e l l e n b e r g i n 194 7, Emmett J . Leahy, a

f o r m e r c o l l e a g u e a t the N a t i o n a l A r c h i v e s , commented t h a t he

c o u l d " w e l l understand t he r e l u c t a n c e o f anyone t o r e l a p s e i n t o

the slough o f i n e f f e c t i v e n e s s t h a t i s c u r r e n t l y the N a t i o n a l



A r c h i v e s , " and l a t e r added: " I t i s al so encou ragi ng th at you

w i l l n o t be r e t u r n i n g t o t h e N a t i o n a l A r c h i v e s v e r y soon, i f

e v e r . " U n f o r t u n a t e l y , c o p i e s o f t h e l e t t e r s w h i c h S c h e l l e n b e r g

sent to Leahy are not a v a i l a b l e . M e a n w h i l e , he co ns id er ed

wo rk in g as an a r c h i v i s t with the Boeing company and as a

10

p r o f e s s o r o f h i s t o r y w i t h v a r i o u s A m e r i c a n u n i v e r s i t i e s .

The e x p l a n a t i o n b e h i n d S c h e l l e n b e r g ' s n e g a t i v e a t t i t u d e and

h i s sudden r e a p p e a r a n c e a t t he N a t i o n a l A r c h i v e s c a n n o t be

d e t e r m i n e d , b u t i t i s known t h a t h i s f e e l i n g s were l a r g e l y

r e c i p r o c a t e d . In he r a r t i c l e , "Theodore R. Sc he ll en be rg :

A m e r i c a n i z e r and P o p u l a r i z e r , " Jane F. Smith st a t e s th at

S c h e l l e n b e r g 1 s re t u r n to the N a t i o n a l A r c hi v e s i n 1948 "was not

gre ete d wi th un al lo ye d enthusiasm by e i t h e r top management o r

h i s p e e r s . " 1 1 Smith f a i l s to el a bo ra te but she does note th at

the i n t e n t i o n b e h i n d S c h e l l e n b e r g ' s a p p o i n t m e n t as Program

A d v i s e r , a s t a f f p o s i t i o n , was t o m i n i m i z e h i s a d m i n i s t r a t i v e

power. I t can o n l y be assumed t h a t S c h e l l e n b e r g ' s s t r o n g

o p i n i o n s and c o n v i c t i o n s had a l i e n a t e d some of h i s col le ag ue s

d u r i n g h i s yea rs as c h i e f o f t he A g r i c u l t u r e Department A r c h i v e s .

The new A r c h i v i s t of the United States, Wayne C. Gr ov er

(1948-1965), had oth er p r o b l e m s bes ide s the temperament of T.R.

S c h e l l e n b e r g t o occupy h i s a t t e n t i o n . I t was no gr ea t s e c r e t

t h a t s o m e t h i n g had to be done a b o u t the tremendous volume o f

rec ord s be in g cr ea te d by government o f f i c e s . T h i s s i t u a t i o n

was being e x a m i n e d by the Task Fo rc e on R e c o r d Management, one

of se v er al task fo rc es cr ea te d by the F i r s t Hoover Commission

t o i n v e s t i g a t e th e e f f i c i e n c y of the e xe cu t iv e branc h of the

12

f e d e r a l government. Leahy, who l i k e many former N a ti o n a l

A r c h i v e s e m p l o y e e s had ent er ed the burge oning f i e l d of re co rd s



a d m i n i s t r a t i o n , was the c h a i r m a n of the t a s k f o r c e , and h i s

r e p o r t formed the b a s i s o f the recommendations p u t f o r t h by the

Hoover Commission.

The Commission s u g g e s t e d t h a t the N a t i o n a l A r c h i v e s become

a p a r t of th e G e n e r a l S e r v i c e s A d m i n i s t r a t i o n (GSA), a new o f f i c e

s e t up t o l oo k a f t e r the " h o u s e k e e p i n g " f u n c t i o n s o f th e

e x e c u t i v e b r a n c h . I t was a l s o recommended t h a t a comprehensive

r e c o r d s a d m i n i s t r a t i o n , o r r e c o r d s management, p r o g r a m be

i n t r o d u c e d i n t o each departm ent of th e f e d e r a l government. By

1950 l e g i s l a t i o n was e n a c t e d c r e a t i n g the N a t i o n a l A r c h i v e s and

R e c o r d s S e r v i c e (NARS) as a p a r t o f the GSA. The a d m i n i s t r a t i v e

framework o f NARS i n c l u d e d the N a t i o n a l A r c h iv e s D i v i s i o n and the

R e c o r d s Management D i v i s i o n . W i t h the e x c e p t i o n of th e work o f

r e c o r d s management, the N a t i o n a l A r c h i ve s D i v i s i o n m a i n t a i n e d

t h e same r e s p o n s i b i l i t i e s as th e o l d N a t i o n a l A r c h i v e s . The

d i r e c t o r s of b o t h d i v i s i o n s r e p or t e d to th e A r c h i v i s t who i n tu rn

r e p o r t e d to th e A d m i n i s t r a t o r of G e n e r a l S e r v i c e s .

O l i v e r W. Holmes of th e N a t i o n a l A r c h i v e s s t a f f p r o v i d e d an

e x c e l l e n t a n a l y s i s o f these d e v e l o p m e n t s i n an a r t i c l e which

a p p e a r e d i n the A m e r i c a n A r c h i v i s t i n 1949."''"* He n o t e d t h a t i n

any government h i e r a r c h y the n o n p r o f e s s i o n a l s u p e r i o r u s u a l l y

t a k e s o v e r a t some l e v e l , w i t h the s u p e r i o r d e l e g a t i n g power

back t o the p r o f e s s i o n a l . Holmes a l s o f e l t t h a t the d u t i e s of

t h e N a t i o n a l A r c h i v e s as an agency o f government had n e c e s s i t a t e d

t he i n v o l v e m e n t o f the N a t i o n a l A r c h i v e s i n r e c o r d s a d m i n i s t r a

t i o n and t h a t t h i s had l e d n a t u r a l l y t o the i n c l u s i o n o f NARS i n

the o f f i c e w h i c h d e a l t most c l o s e l y w i t h r e c o r d k e e p i n g . (As a

m a t t e r o f i n t e r e s t , NARS a g a i n became an i n d e p e n d e n t agency i n

1 9 8 4 r e p o r t i n g d i r e c t l y t o the P r e s i d e n t o f th e U n i t e d S t a t e s . )



The R e c o r d s Management D i v i s i o n o f NARS made remarkable

p r o g r e s s i n the f i r s t f i v e y e a r s of i t s e x i s t e n c e by s a v i n g the

f e d e r a l government more than t h i r t y - f o u r m i l l i o n d o l l a r s i n

o p e r a t i n g c o s t s . N i n e r e c o r d s c e n t e r s were s e t up throughout

the country. They soon housed one and a h a l f m i l l i o n c ub ic fe et

of records w h i c h were no l o n g e r needed i n government o f f i c e s .

R e c o r d s c h e d u l i n g a l s o p r o v e d i t s w o r t h . By 1954, t h e r e was a

d e c l i n e i n the volume of f e d e r a l government r e c o r d s i n e x i s t e n c e

14

f o r the f i r s t time since s t a t i s t i c s were kept.

In the meantime, S c h e l l e n b e r g was a p p o i n t e d head of the

N a t i o n a l A r c h i v e s D i v i s i o n as D i r e c t o r of A r c h i v a l Management i n

1950. I t i s u n c e r t a i n why Grover and h i s a d v i s e r s changed t h e i r

minds a b o u t g i v i n g S c h e l l e n b e r g an a d m i n i s t r a t i v e r o l e , but i t

was not lon g bef ore a c o n f l i c t a r o s e . S c h e l l e n b e r g a p p e a r s t o

have been accused of power s e e k i n g and f e l t i n c l i n e d t o w r i t e a

"statement made...in defense of my p l a n s o f a d m i n i s t e r in g the

N a t i o n a l A r c h i v e s , " i n w h i c h he c l a i m e d h i s p r e f e r e n c e f o r

a d m i n i s t e r i n g on "the b a s i s o f e d u c a t i o n or p e r s u a s i o n " r a t h e r

15

than on "an a u t h o r i t a t i v e b a s i s . " There i s l i t t l e t o document

the s p e c i f i c cause of the p r o b l e m o r i t s e x t e n t, but i t i s c l e a r

t h a t the disagreements between S c h e l l e n b e r g and Grover had j u s t

begun.

N e v e r t h e l e s s , S c h e l l e n b e r g was c e r t a i n l y w e l l q u a l i f i e d t o

serve as the D i r e c t o r of A r c h i v a l Management and he worked

t i r e l e s s l y t o i m p r o v e every as pect o f th e d i v i s i o n ' s o p e r a t i o n s .

The N a t i o n a l A r c h i v e s had n e v e r been a b l e t o r e c o v e r from th e

t u r m o i l c a u s e d by th e e x t e n s i o n of i t s s e r v i c e s d u r in g the Sec ond

W o r l d War. There was a b a c k l o g o f m a t e r i a l s i n the N a t i o n a l

A r c h i v e s t h a t r e q u i r e d b o th r e a p p r a i s a l and a r r a n g e m e n t and



d e s c r i p t i o n , and the number o f s t a f f po s i t i o n s had not reached

the p r e - w a r l e v e l . In t h i s c o n t e x t , S c h e l l e n b e r g ' s pamphlet,

The D i s p o s i t i o n o f F e d e r a l R e c o r d s (1949) o u t l i n e d the steps

i n v o l v e d i n e f f i c i e n t r e c o r d s d i s p o s a l . A ye ar l a t e r , he and

h i s s t a f f u n d e r t o o k a r e a p p r a i s a l p r o g r a m and by 1955 th e volume

of rec ord s i n the Na t i on a l Ar ch iv es was reduced f r o m i n excess

of 900 t h o u s a n d to j u s t under 750 t h o u s a n d c u b i c f e e t . From the

f u r t h e r exp eri enc e gaine d through t h i s p r o g r a m S c h e l l e n b e r g

w r o t e t h e h i g h l y a c c l a i m e d N a t i o n a l A r c h i v e s b u l l e t i n , The

A p p r a i s a l o f Modern P u b l i c R e c o r d s (1956) , whic h rema ins one o f

the most e n l i g h t e n i n g monographs on the s u b j e c t of a p p r a i s a l .

Sc he ll en be rg the author was a l s o busy p r o v i d i n g h i s s t a f f

w i t h o t h e r g u i d e l i n e s i n t he form of a procedures manual and two

S t a f f I n f o r m a t i o n P a p e r s , The P r e p a r a t i o n o f P r e l i m i n a r y

I n v e n t o r i e s (1950) and P r i n c i p l e s of A r r a n g e m e n t (1951 ). Wi th

these sources at hand the work of the Na t io n al Ar ch iv es was

a c c o m pl i s h e d w i t h g r e a t e r u n i f o r m i t y . Numerous i n v e n t o r i e s were

p r o d u c e d and the ho l di n gs i n the b u i l d i n g were r e a r r a n g e d

a c c o r d i n g t o a c c e p t e d p r i n c i p l e s . E r n s t Posn er, the note d

a r c h i v a l w r i t e r and t ea ch e r, was v er y im pr es se d by the i n t e r n a l

p u b l i c a t i o n s of the Na t io n al Ar ch iv es and observed t h a t "n othin g

16

q u i t e c o m p a r a b l e e x i s t s i n any ot he r cou ntr y." Sc he ll en be rg

f u r t h e r i n c r e a s e d t he m o r a l e and p r o d u c t i v i t y o f h i s s t a f f

t h r ou g h t he i n t r o d u c t i o n o f a t r a i n i n g p r o g r a m f o r j u n i o r

a r c h i v i s t s i n 1953. One of th e members o f t h i s f i r s t c l a s s ,

James B. Rhoads, became A r c h i v i s t o f the Un i t e d St at es i n 196 8.

The t r a i n i n g p r o g r a m was j u s t the be gin ni ng of S che lle nbe rg' s

p a s s i o n a t e i n t e r e s t i n the ed uc at io n of a r c h i v i s t s , and the

d u r a t i o n o f h i s c a r e e r was h i g h l i g h t e d by h i s a c h i e v e m e n t s i n



t h i s f i e l d .

S c h e l l e n b e r g 1 s g r o w i n g r e p u t a t i o n as an a r c h i v a l l e a d e r was

n o t l i m i t e d to h i s work a t the N a t i o n a l A r c h i v e s . E v e r s i n c e the

Second W o r l d War i n t e r n a t i o n a l c o m m u n i c a t i o n between a r c h i v i s t s

had been i n c r e a s i n g s t e a d i l y , and the N a t i o n a l A r c h i v e s assumed

a l e a d e r s h i p r o l e on the w o r l d s t a g e . In r e s p o n s e to a r e q u e s t

f r o m A u s t r a l i a n a r c h i v i s t s , the N a t i o n a l A r c h i v e s , w i t h the

s u p p o r t o f a F u l b r i g h t s c h o l a r s h i p , commissioned S c h e l l e n b e r g to

u n d e r t a k e a l e c t u r e t o u r o f A u s t r a l i a i n 1954. S c h e l l e n b e r g was

d e l i g h t e d w i t h the p r o s p e c t s of th e a d v e n t u r e , and G r o v e r was

p r o b a b l y r e l i e v e d to see him go. D e s p i t e the d i f f i c u l t i e s

between the two men G r o v e r a s s u r e d the A u s t r a l i a n s t h a t

S c h e l l e n b e r g " i s q u a l i f i e d and e x p e r i e n c e d b o t h i n the f i e l d o f

a r c h i v a l a d m i n i s t r a t i o n and of r e c o r d s management, and i s by a l l

odds the b e s t p o s s i b l e c a n d i d a t e . He i s one of f o u r o r f i v e key

p e o p l e i n t h i s c o u n t r y who, d u r i n g the p a s t s e v e n t e e n y e a r s , have

done most to d e v e l o p and a p p l y the knowledge we have i n these

f i e l d s . "1 7

S c h e l l e n b e r g e n j o y e d the s i x months t h a t he and h i s w i f e

s p e n t i n A u s t r a l i a , though he was not w i t h o u t h i s c r i t i c i s m s .

He c o m p l a i n e d t o a f r i e n d : "I'm t i r e d of b e i n g d i p l o m a t i c , of

p r a i s i n g e v e r y t h i n g t h a t i s p r a i s e w o r t h y w h i l e r e c e i v i n g

c r i t i c i s m of A m e r i c a n t h i n g s whenever c r i t i c i s m can p o s s i b l y be

made." Bu t, f o r th e most p a r t , he found the A u s t r a l i a n p eo p le

t o be "a f i n e l o t " and, he had to c o n f e s s , " I l i k e the a t t e n t i o n

18

t h e y ' v e g i v e n Alma and me, a l m o s t r o l l i n g ou t the ru g f o r us. "

I n c o n t r a s t to h i s a t t i t u d e t o w a r d s the N a t i o n a l A r c h i v e s ,

S c h e l l e n b e r g f e l t a p p r e c i a t e d i n A u s t r a l i a and he r e s p o n d e d to

t h i s warmth i n a p e r s o n a l way, l e a v i n g b e h in d , i n th e words of



A u s t r a l i a n a r c h i v i s t Ian M a c l e a n , the im pr es si on of "a re la xe d,

19

amiable and above a l l , humourous man." The t o u r was a

tremendous s u c c e s s . S c h e l l e n b e r g met w i t h a r c h i v i s t s and

government o f f i c i a l s throughout A u s t r a l i a , gave l e c t u r e s , and

ho st ed semi nars on bo th a r c h i v a l and re co rd s management t o p i c s .

He also spoke a t numerous Rotary Club meeti ngs, d e l i v e r e d a

n a t i o n a l r a d i o b r o a d c a s t , a nd was c o n s u l t e d b y s e v e r a l p r i v a t e

c o r p o r a t i o n s r e g a r d i n g t h e h a n d l i n g o f t h e i r r ec o rd s . H.L. White,

the Commonwealth N a t i o n a l L i b r a r i a n , d e s c r i b e d S c h e l l e n b e r g 1 s

i n f l u e n c e as "im por ta nt and en du ri ng ," wh i le Davi d S. M ac Mi ll an ,

U n i v e r s i t y of Sydney a r c h i v i s t , was even more e m p h a t i c i n h a i l i n g

the v i s i t as "the s i n g l e most im po rt an t event i n the re ce nt

20

h i s t o r y o f a r c h i v a l d e v e l o p m e n t i n A u s t r a l i a . " L a r g e l y because

o f S c h e l l e n b e r g ' s i n f l u e n c e v a r i o u s a r c h i v a l i n s t i t u t i o n s i n

A u s t r a l i a were s p u r r e d i n t o a c t i o n , i n some ways abandoning the

t r a d i t i o n a l a l l e g i a n c e t o t he B r i t i s h a r c h i v a l s y s t e m i n fav or

o f t h e i r own o r i g i n a l t h i n k i n g and the adoption of American

t e c h n i q u e s , e s p e c i a l l y wi th reg ard to rec ord s management and

a p p r a i s a l .

P e r h a p s t he g r e a t e s t r e s u l t of the A u s t r a l i a n t r i p was

S c h e l l e n b e r g ' s w r i t i n g of the book, Modern A r c h i v e s : P r i n c i p l e s

and Tech niqu es. Whil e i n A u s t r a l i a S c h e l l e n b e r g s t a t e d i n a

l e t t e r :

I'm t i r e d of ha vi ng an o l d f o s s i l c i t e d t o me as ana u t h o r i t y i n a r c h i v a l m a t t e r s . I r e f e r t o S i r H i l a r yJ e n k i n s o n , f o r m e r Deputy Keeper o f R e c o r d s at the B r i t i s h

P u b l i c R e c o r d O f f i c e , who w r o t e a book t h a t i s not on lyunreadable but th a t has gi ve n the A u s t r a l i a n s a wrongs t a r t i n t h e i r a r c h i v a l work.21

W i t h h i s c h a r a c t e r i s t i c w i l l i n g n e s s t o c h a l l e n g e a c c ep t e d

t r a d i t i o n s a nd w i t h t h e m o t i v a t i o n he r e c e i v e d from r e c e p t i v e

A u s t r a l i a n audiences Sc he ll en be rg deci ded to use h i s A u s t r a l i a n



l e c t u r e s as the b a s i s f o r a new t e x t b o o k t o r e p l a c e J e n k i n s o n ' s

Manual. S c h e l l e n b e r g s u c c e e d e d i n w r i t i n g most o f th e manuscript

w h i l e i n A u s t r a l i a and even w r o t e some o f i t d u r i n g the r e t u r n

t r i p to the U n i t e d S t a t e s . The p u b l i c a t i o n o f the book i n

A u s t r a l i a and th e U n i t e d S t a t e s i n 1956 marked a m i l e s t o n e i n

a r c h i v a l h i s t o r y , as i t was th e f i r s t f u l l l e n g t h work i n E n g l i s h

t o d e a l w i t h th e modern a r c h i v a l s i t u a t i o n . The t o p i c s c o v e r e d

i n th e book i n c l u d e d b r i e f h i s t o r i e s o f a r c h i v a l i n s t i t u t i o n s i n

Europe and the U n i t e d S t a t e s , an u p d a t e d d e f i n i t i o n of a r c h i v e s ,

an examination of the n a t u r e of the a r c h i v a l p r o f e s s i o n , and

d i s c u s s i o n s on r e c o r d s management, a p p r a i s a l , arr ang eme nt and

d e s c r i p t i o n , p r e s e r v a t i o n , r e f e r en c e s e r v i c e , and p u b l i c a t i o n

programs. Even though the a r c h i v a l and r e c o r d s management

p r i n c i p l e s and t e c h n i q u e s o u t l i n e d i n th e book were b a s e d on

S c h e l l e n b e r g ' s e x p e r i e n c e s a t NARS they were p r e s e n t e d i n a

g e n e r a l way t h a t c o u l d be u n d e r s t o o d by a l l a r c h i v i s t s , and so

r e p r e s e n t e d a p l e a f o r a s t a n d a r d methodology f o r the p r o f e s s i o n .

The book was h i g h l y s u c c e s s f u l . The f i r s t p r i n t i n g of Modern

A r c h i v e s was s o l d out w i t h i n s i x months and i t was t r a n s l a t e d

i n t o s e v e r a l l a n g u a g es , i n c l u d i n g Spa nis h, Portuguese, German,

and Hebrew. In a r e v i e w a r t i c l e , L e s t e r J . Cappon w r o t e t h a t i t

i s " r e p l e t e w i t h wisdom, r e i n f o r c e d by e x p e r i e n c e ; i t i s

c o n c e n t r a t e d f a r e , d e v o i d o f empty p h r a s e s . I t s u r v e y s th e whole

f i e l d o f p u b l i c a r c h i v e s w i t h u n i t y and l o g i c and p r o v i d e s a

s a t i s f a c t o r y source f o r c o n t i nu o u s r e f e r e n c e . " A decade l a t e r ,

O l i v e r W. Holmes s t a t e d t h a t Modern A r c h i v e s i s one of four

22

books " t h at a l l a r c h i v i s t s s h o u l d know and r e a d f r e q u e n t l y . "

The e n t i r e A u s t r a l i a n e x p e r i e n c e gave S c h e l l e n b e r g a new

o u t l o o k on h i s c a r e e r , and a f t e r h i s r e t u r n to the N a t i o n a l



A r c h i v e s he became v e r y i n v o l v e d i n a r c h i v a l e d u ca t i on and

i n t e r n a t i o n a l a f f a i r s . In the f i e l d o f e d u c a t i o n , he i n t r o d u c e d

s e m i n a r c o n f e r e n c e s f o r s e n i o r a r c h i v i s t s a t the N a t i o n a l

A r c h i v e s as an e x p a n s i o n of the t r a i n i n g p r o g r a m o f f e r e d t o

j u n i o r a r c h i v i s t s . From 1955 t o 19 61 , he was a l e c t u r e r and

l a t e r a d j u n c t p r o f e s s o r i n a r c h i v a l management a t th e Amer ican

U n i v e r s i t y i n W a s h i n g t o n , where he f o l l o w e d i n the f o o t s t e p s o f

E r n s t P o s n e r who had been i n v o l v e d i n t h e p r o g r a m s i n c e 19 39.

B e g i n n i n g i n 1957, S c h e l l e n b e r g s p e n t p a r t o f h i s summers as the

D i r e c t o r of th e I n s t i t u t e on th e P r e s e r v a t i o n and A d m i n i s t r a t i o n

o f A r c h i v e s , c o - s p o n s o r e d by the A m e r i c a n U n i v e r s i t y , NARS, th e

L i b r a r y o f C o n g r e s s , and th e M a r y l a n d H a l l o f R e c o r d s . In 195 8

and 1959, he e v e n p r o v i d e d t r a i n i n g f o r r e c o r d s c e n t e r s s t a f f

t h r o u g h o u t the c o u n t r y .

S c h e l l e n b e r g was e q u a l l y a c t i v e i n the f i e l d o f i n t e r

n a t i o n a l a f f a i r s . From 1955 t o 1960 he s e r v e d as c h a i r m a n o f

t h e S o c i e t y o f A m e r i c a n A r c h i v i s t ' s Committee on I n t e r n a t i o n a l

R e l a t i o n s and f r e q u e n t l y r e p r e s e n t e d the S t a t e Department i n

numerous c r o s s c u l t u r a l and e d u c a t i o n a l programs w i t h L a t i n

A m e r i c a . The c u l m i n a t i o n o f t h i s i n v o l v e m e n t o c c u r r e d i n 1960

w i t h S c h e l l e n b e r g ' s v i s i t t o s e v e n S o u t h A m e r i c a n c o u n t r i e s ,

w h i c h l e d t o the f o u n d i n g of th e I n t e r - A m e r i c a n C o u n c i l on

A r c h i v e s .

S c h e l l e n b e r g ' s a c h i e v e m e n t s d i d no t go u n n o t i c e d . In 195 7,

the GSA awarded hi m th e M e r i t o r i o u s S e r v i c e Award, p a r t i c u l a r l y

i n r e c o g n i t i o n o f th e p u b l i c a t i o n o f Modern A r c h i v e s . When th e

D i v i s i o n s o f the N a t i o n a l A r c h i v e s and Records Management became

O f f i c e s i n 1956, S c h e l l e n b e r g ' s t i t l e was changed from D i r e c t o r

o f A r c h i v a l Management to A s s i s t a n t A r c h i v i s t , N a t i o n a l A r c h i v e s .



To some e x t e n t , a t l e a s t , S c h e l l e n b e r g seems t o have used

h i s t e a c h i n g , w r i t i n g , and t r a v e l as means o f esc ape fro m the

f r u s t r a t i o n s h e e n c o u n t e r e d a t NARS. Thro ugho ut the 1950s

S c h e l l e n b e r g ' s r e l a t i o n s w i t h Gr ov er and Gr ov er 's de put y,

Robert H. Bahmer, d e t e r i o r a t e d s t e a d i l y . Gro ver and Bahmer

v i e w e d S c h e l l e n b e r g as a power se ek er who, i n h i s f r u s t r a t i o n a t

n o t g e t t i n g h i s own way, n e g l e c t e d h i s a d m i n i s t r a t i v e d u t i e s

23

t h r o u g h t h e p u r s u i t o f h i s p e r s o n a l i n t e r e s t s . On t h e other

hand, S c h e l l e n b e r g view ed Grove r as an inc omp ete nt a d m i n i s t r a t o r

who by f a i l i n g t o de l eg a te a u t h o r i t y l e f t hi m w i t h no c h o i c e but

t o become i n v o l v e d i n o u t s i d e a c t i v i t i e s . S c h e l l e n b e r g was

p a r t i c u l a r l y s e n s i t i v e t o what he deemed to be Gro ve r's l a c k o f

24

i n t e r e s t i n h i s acco mpli shme nts as an a r c h i v a l t h e o r i s t .

W h i l e i t i s n o t f r u i t f u l t o d w e l l on the p e r s o n a l c o n f l i c t

between S c h e l l e n b e r g and top management i t i s u s e f u l t o

i n v e s t i g a t e one o f th e c h i e f elements of t h a t c o n f l i c t , namely,

t h e o p e r a t i o n s of the r e c o r d s management progr am at NARS. The

pr ob le m caused by the volume o f r e c o r d s had not d i s a p p e a r e d

w i t h t h e c r e a t i o n o f the Reco rds Management D i v i s i o n i n 194 9.

B u r e a u c r a c i e s t h e s i z e of the U n i t e d S t a t e s government do not

o p e r a t e w i t h m e c h a n i c a l p r e c i s i o n , and government o f f i c e s d i d

n o t m a i n t a i n a c o n s i s t e n t i n t e r e s t i n p r o p e r r e c o r d s management.

Records c e n t e r s were f i l l i n g up, and bec aus e o f i n a c c u r a t e

s c h e d u l i n g and i m p e r f e c t c l a s s i f i c a t i o n i t was no t alwa ys

p o s s i b l e t o d e t e r m i n e w h i c h m a t e r i a l s i n t h e c e n t e r s were to be

r e t a i n e d p e r m a n e n t l y . T h i s s i t u a t i o n was not e a s i l y remedied

d e s p i t e the work of the Second Hoover Co mm iss io n i n 1954 and 1955

and the sub seq uen t e f f o r t s o f NARS t o emphas ize the c o n t r o l o f

t h e c r e a t i o n o f r e c o r d s and no t o n l y t h e i r d i s p o s a l .



S c h e l l e n b e r g was e s p e c i a l l y c o n c e r n e d a b o u t these

i n t r a c t a b l e p r o b l e m s . He b e l i e v e d t h a t the O f f i c e o f Rec ords

Management had n o t p r o p e r l y e s t a b l i s h e d i t s p r i o r i t i e s . In

l a t e r y e a r s he w r o t e :

I t i s i n r e s p e c t to the b a s i c p r o b l e m of c l a s s i f i c a t i o nt h a t the O f f i c e o f R e c o r d s Management w i t h i n NARS has madethe l e a s t c o n t r i b u t i o n . The O f f i c e has become p r e o c c u p i e dw i t h p e r i p h e r a l p r o b l e m s : w i t h the d e s i g n and c o n t r o l off o r m s , d i r e c t i v e s , and r e p o r t s ; the management o f m a i l ;a u t o m a t i o n ; and th e l i k e . 2 5

S c h e l l e n b e r g g r e a t l y a p p r e c i a t e d the i n t i m a t e r e l a t i o n s h i p which

had t o be f o s t e r e d between the r e c o r d s management and a r c h i v a l

p r o f e s s i o n s . His w r i t i n g s r e v e a l a h o l i s t i c v i e w of the e n t i r e

l i f e c y c l e o f r e c o r d s and an a w a r e n e s s o f th e need t o c o o r d i n a t e

and i n t e g r a t e a l l r e c o r d - k e e p i n g p r a c t i c e s i n o r d e r t o b r i n g

a b o u t e f f i c i e n c y . G i v e n S c he l le n be r g' s c a r e f u l t h i n k i n g through

o f the a r c h i v a l - r e c o r d s management r e l a t i o n s h i p , he must have

been q u i t e p e r t u r b e d when the o p e r a t i o n of NARS d i d n ot achi eve

h i s i d e a l s .

S c h e l l e n b e r g was a l s o dismayed by th e a p p a r e n t abuses made

o f government r e c o r d s c e n t e r s . He p o i n t e d w i t h b i t t e r

s a t i s f a c t i o n t o a r e p o r t c o m m i s s i o n e d by t he GSA w h i c h r e p o r t e d

t h a t " t h e r e i s some e v i d e n c e t h a t the a v a i l a b i l i t y o f r e c o r d

c e n t e r f a c i l i t i e s a t no c h a r g e has e n c o u r a g e d the postponement

o f agency d e c i s i o n s t o d i s p o s e o f r e c o r d s . " G r o v e r d i s a g r e e d

w i t h t h i s s t a t e m e n t w h i c h o n l y h e i g h t e n e d the a n i m o s i t y between

4-v, 4. 26th e two men.

P e r h a p s S c h e l l e n b e r g ' s c h i e f c o m p l a i n t was t h a t th e

i n e f f i c i e n c y o f the O f f i c e of R e c o r d s Management e x i s t e d d e s p i t e

i t s p r e f e r e n t i a l t r e a t m e n t . He o b s e r v e d t h a t Grover "has

c o n s t a n t l y made a r r a n g e m e n t s whereby a r c h i v a l c o n s i d er a t i o ns are2 7

b e i n g s a c r i f i c e d t o the r e c o r d s management progra m." There i s



s t a t i s t i c a l e v i d e n c e t o back up t h i s c l a i m . I n h i s book,

R e c o r d s of a Nation, H.G. J o n e s p o i n t s o u t t h a t between 1949 an d

1968 the monetary a p p r o p r i a t i o n s f o r NARS i n c r e a s e d by more than

1,000 p e r c e n t w h i l e t h e a p p r o p r i a t i o n s f o r t h e N a t i o n a l A r c h i v e s

d u r i n g t h e same p e r i o d i n c r e a s e d by l e s s than 400 pe rc en t.

J o n e s a l s o n o t e s t h a t t h e number o f s t a f f a t t h e N a t i o n a l

A r c h i v e s r o s e b y o n l y 5 0 p e r c e n t i n t h o s e y e a r s w h i l e t h e e n t i r e

2 8

s t a f f a t NARS grew by 500 pe rc en t. I t must be remembered,

t h o u g h , t h a t NARS o p e r a t e d w i t h i n t he r e a l i t i e s o f government

f i n a n c i n g . D e s p i t e t h e o v e r a l l a p p r o p r i a t i o n i n c r e a s e s Grover

f a c e d s e v e r a l b u d g e t a r y c u t b a c ks e s p e c i a l l y i n t he l a t e 1950s.

In d i f f i c u l t f i n a n c i a l times the B u d g e t B u r e a u was more w i l l i n g

to i n v e s t funds i n the p o t e n t i a l money s a v i n g r e c o r d s management

p r o g r a m t h a n i n s t r i c t l y a r c h i v a l o p e r a t i o n s .

The c o n f l i c t between S c h e l l e n b e r g and G r o v e r r e a c h e d i t s

peak between 195 8 and 1961 o v e r the i s s u e of the s t r u c t u r a l

o r g a n i z a t i o n o f NARS. G r o v e r and Bahmer p r o p o s e d a f u n c t i o n a l

o r g a n i z a t i o n whereby c e r t a i n a r c h i v i s t s w o u l d be a ss i g n ed t o one

a r c h i v a l f u n c t i o n , s u c h as a p p r a i s a l , an d o t h e r a r c h i v i s t s would

b e a s s i g n e d a n o t h e r f u n c t i o n , such as a r r a n g e m e n t . S c h e l l e n b e r g

p r e f e r r e d t h e more t r a d i t i o n a l o r g a n i z a t i o n o f s u b j e c t m a t t e r

s p e c i a l i z a t i o n i n w h i c h th e same a r c h i v i s t s w o u l d d e a l w i t h a l l

a r c h i v a l f u n c t i o n s , e x c e p t t e c h n i c a l ones, such a s c o n s e r v a t i o n

o r m i c r o f i l m i n g . When t h e q u e s t i o n f i r s t ar os e i n 1958

S c h e l l e n b e r g condemned G r o v e r f o r b e i n g "bamboozled by th e

a c c o m p l i s h m e n t s o f a r e c o r d s management p r o g r a m " and f o r w a n t i n g

"t o impose t h e p h y s i c a l r o u t i n e s o f r e c o r d s management on th e

i n t e l l e c t u a l work of an a r c h i v a l i n s t i t u t i o n . " I n o t h e r words,

S c h e l l e n b e r g f e l t t h a t t h e s t a t i s t i c a l way o f m e a s u r i n g the



suc ces s of a re co rd s management p r o g r a m — s u c h as "how many-

records are moved f r o m one p l a ce to an ot he r, how many f i l i n g

cas es ar e em pt ie d, how many cu bi c fe et of rec ord s are des tro yed "-

had so im pr es se d Gr ove r and Bahmer t h a t they wis hed to impose

the f u n c t i o n a l o r g a n i z a t i o n o f r e c o r d s c e n t e r s on t h e N a t i o n a l

A r c h i v e s . A c c o r d i n g t o S c h e l l e n b e r g , s u ch a move "would be a

b i g s t e p b a c k w a r d " — t h a t i s , b a c k t o an o r g a n i z a t i o n s i m i l a r t o

the one w h i c h had been i n pla ce i n the 1 9 3 0 s — " a n d w o u l d render

29

the i n s t i t u t i o n s t e r i l e f r o m a s c h o l a r l y po i n t of view."

For the moment l i t t l e was done a b o u t the ma tt er , and w i t h

the p a s s a g e of time Sc he ll en be rg pro bab ly thought th at the whole

i d e a had been abandoned. Then i n December o f 1961 i t was

announced t o S c h e l l e n b e r g t h a t a r e o r g a n i z a t i o n o f th e O f f i c e of

the N a t i o n a l Ar ch iv es was to take pl ac e imm edi ate ly. The O f f i c e

was to be r e p l a c e d by th r ee new O f f i c e s — C i v i l , M i l i t a r y , and

R e c o r d s A p p r a i s a l , the l a t t e r to be headed by S c h e l l e n b e r g .

Sc he ll en be rg was under stand ably s h o c k e d and i n f u r i a t e d . Despite

the f a c t t ha t the a p p o i n t m e n t was an a f f i r m a t i o n o f h i s e x p e r t i s e

i n a p p r a i s a l , the plans had been f i n a l i z e d w i t h o u t h i s knowing

a b o u t them and h i s a d m i n i s t r a t i v e r o l e as head of the Na ti on al

Archives had been taken ,away. S c h e l l e n b e r g c o n s i d e r e d r e t i r e m e n t

but then changed h i s mind and a p p r o a c h e d the new jo b w i t h h i s

u s u a l d e d i c a t i o n and c a p a c i t y f o r h a r d work. He d i r e c t e d h i s

new o f f i c e i n t he p r e p a r a t i o n o f r e t e n t i o n p l a n s , as opposed t o

d i s p o s a l documents, thus emp has izi ng the p o s i t i v e e l e m e n t of

p r e s e r v a t i o n ra th er than the neg at ive e l e m e n t o f d e s t r u c t i o n .

B u t S c h e l l e n b e r g q u i c k l y came to the sad co nc lu si on th at h i s

p u r p o s e was " t o b a i l out the O f f i c e o f R e c o r d s Management f o r an30

i n e f f e c t i v e r e c o r d s d i s p o s i t i o n program." S c h e l l e n b e r g 1 s diary



23

e n t r i e s up t o h i s r e t i r e m e n t i n 1963 grew i n c r e a s i n g l y b i t t e r ,

and he h a r b o u r e d i n t e n s e i l l f e e l i n g t o w a r d s NARS u n t i l h i s

d e a t h s e v e n y e a r s l a t e r .

I t i s o n l y too easy t o condemn S c h e l l e n b e r g f o r h i s n e g a t i v e

a t t i t u d e , b u t he was s t a n d i n g up f o r what he b e l i e v e d to be the

t r u t h and h i s o p i n i o n s were o f t e n j u s t i f i e d . F o r e x a m p l e , a

r e p o r t by M a r t i n E l z y i n 1973 c o n f i r m e d S c h e l l e n b e r g ' s e a r l i e r

judgment o f the f a i l u r e o f s c h e d u l i n g p r a c t i c e s . As E l z y ' s

r e p o r t p u t s i t :

The G e n e r a l A c c o u n t i n g O f f i c e found government a g e n c i e s a tf a u l t e i t h e r f o r p l a c i n g r e c o r d s i n the [_recordsj c e nt e r s

w i t h o u t s e t t i n g a d e f i n i t e d i s p o s a l d at e o r f o r k e e p i n gthem f o r u n r e a l i s t i c a l l y l o n g p e r i o d s . The N a t i o n a lA r c h i v e s and R e c o r d s S e r v i c e was c r i t i c i z e d f o r p e r m i t t i n gt he se p r a c t i c e s on the p a r t of a g e n c i e s and f o r f a i l i n g t o

d e s t r o y r e c o r d s p r o m p t l y when r e t e n t i o n p e r i o d s e x p i r e d . 3 1

Some a p p r a i s a l and r e c o r d s management p r o b l e m s have t h e i r o r i g i n s

i n i n e f f i c i e n t a d m i n i s t r a t i o n , and i t was i s s u e s s u c h as these

t h a t f r u s t r a t e d S c h e l l e n b e r g d u r i n g h i s l a s t y e a r s a t th e

N a t i o n a l A r c h i v e s .

Q u e s t i o n s n a t u r a l l y a r i s e r e g a r d i n g the i m p a c t of the

N a t i o n a l A r c h i v e s on the a r c h i v a l i d e a s o f S c h e l l e n b e r g , and

v i c e - v e r s a . Some m i g h t c r i t i c i z e S c h e l l e n b e r g f o r s i m p l y

r a t i o n a l i z i n g a d m i n i s t r a t i v e d e c i s i o n s r a t h e r t ha n d e v e l o p i n g

a r c h i v a l p r i n c i p l e s and t e c h n i q u e s i n d e p e n d e n t l y . C e r t a i n l y ,

no a r c h i v a l t h e o r y d e v e l o p s i n a vacuum b ut r a t h e r i s i n f l u e n c e d

by p r a c t i c a l c i r c u m s t a n c e s . S c h e l l e n b e r g r e f l e c t e d N a t i o n a l

A r c h i v e s p o l i c y b u t he made i t h i s own. H i s p e r s o n a l i t y was

t o o h i g h l y i n d i v i d u a l i s t i c and o p i n i o n a t e d , and he d i s a g r e e d w i t h

t h e i n s t i t u t i o n ' s p o l i c y o f t e n enough t o show h i s a p t i t u d e f o r

o r i g i n a l t h i n k i n g . And th e v e r y s i m p l e p o i n t must be made t h a t

S c h e l l e n b e r g p u b l i s h e d h i s i d e a s i n a q u a n t i t y and q u a l i t y t h a t



most o f h i s c o n t e m p o r a r i e s d i d not e q u a l .

A f t e r h i s r e t i r e m e n t , S c h e l l e n b e r g r e m a i n e d a c t i v e i n

a r c h i v a l a f f a i r s , d e s p i t e the c o m f o r t a b l e d i s t r a c t i o n s of h i s

V i r g i n i a home. The most s i g n i f i c a n t d e v e l o p m e n t o f these ye ar s

was the p u b l i c a t i o n of The Management of A r c h i v e s i n 1965, i n

w h i c h S c h e l l e n b e r g made a n o t h e r s t r o n g p l e a f o r s t a n d a r d i z a t i o n .

The work has been c r i t i c i z e d f o r i t s m i s l e a d i n g t i t l e because i t

d e a l s p r i m a r i l y w i t h the arrangement and d e s c r i p t i o n of both

32

m a n u s c r i p t c o l l e c t i o n s and p u b l i c a r c h i v e s . S c h e l l e n b e r g' s

o r i g i n a l w o r k i n g t i t l e , A r r a n g e m e n t and D e s c r i p t i o n of P r i v a t e

a n d P u b l i c R e c o r d s , w o u l d have been a more a c c u r a t e d e p i c t i o n

o f the book's c o n t e n t s , bu t the p u b l i s h e r i n s i s t e d on the

33

change.

N e v e r t h e l e s s , The Management of A r c h i v e s became w i d e l y

known, and f o r two main r e a s o n s . F i r s t of a l l , S c h e l l e n b e r g l e n t

h i s i n f l u e n t i a l s u p p o r t to th e g r o w i n g number of a r c h i v i s t s and

m a n u s c r i p t c u r a t o r s who f e l t t h a t the a r c h i v a l p r i n c i p l e s used

i n the management of p u b l i c r e c o r d s c o u l d be a p p l i e d t o the care

o f p r i v a t e p a p e r s . T h i s was an i m p o r t a n t A m e r i c a n i s s u e because

i n the absence of a r c h i v a l i n s t i t u t i o n s p r i v a t e p a p e r s had

become the c o n c e r n of l i b r a r i e s and h i s t o r i c a l s o c i e t i e s . In

many o t h e r c o u n t r i e s a r c h i v a l i n s t i t u t i o n s o f t e n h o u s e d both

p u b l i c and p r i v a t e m a t e r i a l s .

The most c o n t r o v e r s i a l comments c o n t a i n e d i n The Management

o f A r c h i v e s were t h o se r e g a r d i n g the e d u c a t i o n of the a r c h i v i s t .

S c h e l l e n b e r g s t a t e d b l u n t l y t h a t l i b r a r y s c h o o l s are "th e p r o p e r

34

p l a c e s i n w h i c h t o p r o v i d e a r c h i v a l t r a i n i n g . " S c h e l l e n b e r g

p u t t h e s e words i n t o a c t i o n by t e a c h i n g i n the l i b r a r y s c h o o l s

o f s e v e r a l A m e r i c a n U n i v e r s i t i e s . O t h e r a r c h i v i s t s , s u c h as



H.G. J o n e s o f N o r t h C a r o l i n a , u p h e l d the v i e w t h a t t he t r a i n i n g

o f a r c h i v i s t s b e l o n g e d i n u n i v e r s i t y h i s t o r y d e p a r t m e n t s . T h i s

l e d t o a debate between S c h e l l e n b e r g a nd J o n e s at the So c ie t y of

A m e r i c a n A r c h i v i s t s c o n f e r e n c e of 1966 and p u b l i c a t i o n of the

35

p a p e r s t h e y r e a d i n the A m e r i c a n A r c h i v i s t i n 196 8.

S c h e l l e n b e r g c e r t a i n l y d i d n o t d i s p u t e t h e f a c t t h a t a r c h i v i s t s

must have a t h o r o u g h h i s t o r i c a l e d u c a t i o n . Because of h i s

c o n c e r n w i t h m e t h o d o l o g y , however, he f e l t t h a t t h e a c t u a l

a r c h i v a l t r a i n i n g w o u l d be b e s t p r o v i d e d i n l i b r a r y s c h o o l s .

H e f u r t h e r c o n t e n d e d t h a t a r c h i v a l p r i n c i p l e s and t e c h n i q u e s

"can and w i l l be s t a n d a r d i z e d , " b u t he was n o t a t a l l n a i v e about

the ex te nt of t h i s s t a n d a r d i z a t i o n . He w r o t e :

The more any gi ve n l i n e o f work i s c o n c e r n e d w i t h the. m a n i p u l a t i o n o f p h y s i c a l t h i n g s as d i s t i n c t from a concernw i t h p u r e l y i n t e l l e c t u a l m a t t e r s , the more i t i s n e c e s s a r yt o f o l l o w p r e c i s e methods o f d o i n g t h i n g s . The r e v e r s e o ft h i s s t a t e m e n t i s a l s o t r u e . The more p u r e l y i n t e l l e c t u a l

an a c t i v i t y , t he l e s s i t i s p o s s i b l e t o impose on i ta n y t h i n g more than g e n e ra l p r i n c i p l e s o f a c t i o n .

C o n s e q u e n t l y , "the a r c h i v i s t ' s methods a r e l e s s p r e c i s e than are

those of the l i b r a r i a n , f o r methods r e l a t i n g t o t e c h n i c a l work

c a n b e d e f i n e d f a r more p r e c i s e l y than those r e l a t i n g t o

a n a l y t i c a l work." On the ot h er hand, t he h i s t o r i c a l p r o f e s s i o n

" i s c o n c e r n e d w i t h the use of documentary m a t e r i a l , n ot w i t h i t s

3 fi

p h y s i c a l h a n d l i n g as i s t he a r c h i v a l p r o f e s s i o n . " Even though

a r c h i v i s t s have much t o l e a r n from l i b r a r y and h i s t o r i c a l

m e t h o d o l o g i e s , S c h e l l e n b e r g n e v e r s t a t e d t h a t a r c h i v i s t s s h ou l d

be l i b r a r i a n s o r h i s t o r i a n s , b ut r a t h e r t h a t a r c h i v i s t s must

d e v e l o p t h e i r own u n i q u e p r o f e s s i o n .

D e s p i t e t h i s d i s c u s s i o n o f s t a n d a r d i z a t i o n and e d u c a t i o n ,

the main focus of The Management o f A r c h i v e s i s a r r a n g e m e n t and

d e s c r i p t i o n . I t was t o be "a t e x t b o o k f o r b e g i n n e r s , " a nd



S c h e l l e n b e r g ' s main p u r p o s e was "t o pr ov id e si mp le and c l e a r

i n s t r u c t i o n on how to arran ge and de sc ri be p u b l i c and p r i v a t e

pa pe rs ." He had s t a r t e d w r i t i n g i t i n 1957, j u s t one yea r a f t e r

the p u b l i c a t i o n o f Modern A rc hi v es , and i t was int en de d to be

3 7

"a companion book to the f i r s t one."

S c h e l l e n b e r g p l a n n e d a n o t h e r companion book to Modern

A r c h i v e s t o be w r i t t e n i n c o l l a b o r a t i o n w i t h former c ol le ag ue

E v e r e t t 0. Al l d re d ge and to addre ss r ec or ds management and

a p p r a i s a l . T h i s work n e v e r m a t e r i a l i z e d , l a r g e l y b e c a u s e o f

S c h e l l e n b e r g ' s l i n g e r i n g h o s t i l i t y t o w a r d s Gr ov er and Bahmer, who

had s u c c e e d e d Gro ver as a r c h i v i s t i n 1965. In 1968, Sc he l le n be r g

w r o t e to A l l d r e d g e : "I do not wi sh to r i s k p u b l i s h i n g a n y t h i n g

so long as the present a r c h i v i s t , and h i s pred eces sor, dominate

3 8

the a r c h i v a l p r o f e s s i o n . " As a r e s u l t , S c h e l l e n b e r g ' s

p u b l i c a t i o n s on a p p r a i s a l are not as numerous as h i s p u b l i c a t i o n s

on a r r a n g e m e n t and d e s c r i p t i o n .

D e s p i t e th e p e r s o n a l a n i m o s i t i e s t h a t S c h e l l e n b e r g

encountered throughout h i s ca re er , i t i s a t r i b u t e to h i s

c o n t r i b u t i o n to the d e v e l o p m e n t of a r c h i v a l p r i n c i p l e s and

tech niqu es t ha t he i s remembered p r i m a r i l y f o r h i s d e d i c a t i o n t o

t he p r o f e s s i o n . A f t e r h i s dea th i n 19 70 he was e u l o g i z e d i n the

A m e r i c a n A r c h i v i s t by s i x of h i s f e l l o w a r c h i v i s t s as a world

a r c h i v a l le ad er of gr ea t i n t e l l e c t , i n d u s t r y , and o r i g i n a l i t y

39

who gave d i g n i t y to the work of the a r c h i v i s t . Indeed,

S c h e l l e n b e r g p l a y e d an i m p o r t a n t r o l e i n the d e v e l o p m e n t o f the

a r c h i v a l p r o f e s s i o n . More than any oth er a r c h i v i s t at the

N a t i o n a l A r c h i v e s , he p o p u l a r i z e d t he modern A m e r i c a n a r c h i v a l

procedures. His w r i t i n g s , rev ea l a wea lth of wisdom and ex pe ri en ce

gained through more than t h i r t y years of a r c h i v a l work. In h i s



a t t e m p t s to d e f i n e and s t a n d a r d i z e a r c h i v a l p r i n c i p l e s and

t e c h n i q u e s and t o p r o v i d e these p r i n c i p l e s and t e c h n i q u e s w i t h

a t h e o r e t i c a l and i n t e l l e c t u a l b a s i s , he has l e f t the a r c h i v a l

community w i t h a v a l u a b l e body of l i t e r a t u r e t h a t has f i l l e d an

i m p o r t a n t need and t h a t can be used as p a r t of the b a s i s f o r

f u r t h e r developments. I t i s f o r t u n a t e f o r a l l a r c h i v i s t s t h a t

Theodore R o o s e v e l t S c h e l l e n b e r g " d r i f t e d i n t o " the a r c h i v a l

p r o f e s s i o n , t h a t he was w i l l i n g to c h a l l e n g e o l d t r a d i t i o n s , and

t h a t he d i d so much t o enhance the d i g n i t y o f those whom he

40

c a l l e d " g u a r d i a n s of the t r u t h . "



28

CHAPTER I I I

IDEAS ON ARRANGEMENT AND DESCRIPTION

I n the a r c h i v a l p r o f e s s i o n a r r a n g e m e n t ca n be d e f i n e d as

t h e p r o c e s s by w h i c h p h y s i c a l c o n t r o l o v er r e c o r d s i s a c h i e v e d

t h r o u g h t h e i r o r g a n i z a t i o n a c c o r d i n g t o a c c e p t e d a r c h i v a l

p r i n c i p l e s , most n o t a b l y the p r i n c i p l e o f p r o v e n a n c e . The

p r i n c i p l e o f p r o v e n a n c e c o n s i s t s o f two e l e m e n t s , namely,

r e s p e c t des f o n d s and r e s p e c t p o u r l ' o r d r e p r i m i t i f , though i n

c u r r e n t usage the t e r m p r o v e n a n c e i s o f t e n used t o r e f e r to th e

f i r s t e l e m e n t o n l y . A c c o r d i n g l y , r e s p e c t des f o n d s , o r s i m p l y

p r o v e n a n c e , means t h a t the r e c o r d s c r e a t e d o r h e l d by an agency

must be k e p t t o g e t h e r as an i n t e g r a l u n i t i n an a r c h i v a l

i n s t i t u t i o n . R e s p e c t p o u r l ' o r d r e p r i m i t i f , o r s i m p l y o r i g i n a l

o r d e r , means t h a t the r e c o r d s must be a r r a n g e d i n the same

sequence used by th e agency t h a t h e l d the r e c o r d s . These

p r i n c i p l e s were d e v e l o p e d i n Europe i n the m i d d l e and l a t e

n i n e t e e n t h c e n t u r y a t a t i m e when r e c o r d volume was r e l a t i v e l y

s m a l l and r e c o r d k e ep i ng p r a c t i c e s , most n o t a b l y the r e g i s t r y

s y s t e m , were b e c o m i n g h i g h l y d e v e l o p e d . P r o v e n a n c e and o r i g i n a l

o r d e r r e c e i v e d t h e i r most e l o q u e n t e x p r e s s i o n i n th e so c a l l e d

D u t c h manual by M u l l e r , F e i t h , and F r u i n i n 1898."'' The f i r s t

E n g l i s h a c c o u n t t o become w e l l known was S i r H i l a r y J e n k i n s o n ' s

2

Manual o f A r c h i v e A d m i n i s t r a t i o n , p u b l i s h e d i n 1922.

In the U n i t e d S t a t e s the t e r m "arrangement" came i n t o common

use a f t e r the N a t i o n a l A r c h i v e s ' i n t r o d u c t i o n o f the r e c o r d

group c o n c e p t i n 1941. Th is c o n c e p t was b a s e d on the p r i n c i p l e s



of prov enan ce and o r i g i n a l o r d e r and was de si gn ed to d e a l w i t h

the immense volume of government r e c o r d s . G r a d u a l l y , t h e n o t i o n

was d ev el op ed a t th e N a t i o n a l A r c h i v e s t h a t t h e s e r e c o r d s c o u l d

be c o n t r o l l e d t h r o u g h t h e i r p r o g r e s s i v e a r r a n g e m e n t a t v a r i o u s

l e v e l s , b e g i n n i n g w i t h a g e n e r a l arrangement of l a r g e b o d i e s o f

r e c o r d s and p r o c e e d i n g , s t e p by s t e p , t o more s p e c i f i c l e v e l s

of a r r a n g e m e n t w i t h i n each body.

The most famous a n d, p e r h a p s , t h e b e s t a c c o u n t o f a r c h i v a l

arrang ement as i t was p r a c t i s e d a t t h e N a t i o n a l A r c h i v e s i s

O l i v e r W. Holmes' " A r c h i v a l A r r a n g e m e n t — F i v e D i f f e r e n t

O p e r a t i o n s a t F i v e D i f f e r e n t L e v e l s , " p u b l i s h e d i n t h e A m e r i c a n

4

A r c h i v i s t i n 1964. A c c o r d i n g t o Holmes t he f i r s t l e v e l o f

a r r a n g e m e n t i s t h e r e p o s i t o r y l e v e l i n whi ch the comp lete

h o l d i n g s o f a r e p o s i t o r y a r e b r o k e n down i n t o a few ma jo r

d i v i s i o n s f o r a d m i n i s t r a t i v e pu rp os es . The second and most

i m p o r t a n t l e v e l i s t h e r e c o r d group and subgroup l e v e l where the

r e c o r d s of each group ar e k ep t t o g e t h e r as i n t e g r a l u n i t s . A

r e c o r d group u s u a l l y c o r r e s p o n d s t o a l a r g e agency w i t h i n the

gove rnme nt, su ch as a de pa rt me nt , and a sub gro up t o a br an ch or

o f f i c e o f t h a t age ncy . These f i r s t two l e v e l s of arrangement

p e r t a i n t o p r o v e n a n c e , w h i l e t h e f i n a l t h r e e l e v e l s r e l a t e t o

o r i g i n a l o r d e r . The t h i r d l e v e l i s t h a t of the s e r i e s . A s e r i e s

can be d e f i n e d s i m p l y as an e n t i t y ba se d on f i l i n g , s u ch as a

c o r r e s p o n d e n c e s e r i e s , and ea ch r e c o r d grou p or subg roup i s

u s u a l l y made up of s e v e r a l s e r i e s . The s e r i e s , i n t u r n , c o n s i s t

o f f i l i n g u n i t s , th e f o u r t h l e v e l , and the f i l i n g u n i t s a r e made

up of i n d i v i d u a l documents, the f i f t h l e v e l . Of te n the

a r r a n g e m e n t p r o c e s s d oe s n o t r e a c h t h e s e f i n a l two l e v e l s . The

l a s t s t e p i n a r r a n g e m e n t i s t h e b o x i n g , l a b e l l i n g , and s h e l v i n g



30

o f r e c o r d s .

J u s t as a r r a n g e m e n t a c hi e ve s p h y s i c a l c o n t r o l o v e r a r c h i v e s ,

d e s c r i p t i o n a c h i e v e s i n t e l l e c t u a l c o n t r o l t h r o u g h t he c r e a t i o n

o f f i n d i n g a i d s . The two f u n c t i o n s c a n n o t r e a l l y be s e p a r a t e d .

D e s c r i p t i o n f o l l o w s n a t u r a l l y from a r r a n g e m e n t and i s dependent

upon i t . The b es t modern example o f t h i s i s t h e a r c h i v a l

i n v e n t o r y , i n t r o d u c e d by t he N a t i o n a l A r c h i v e s a t t h e same time

as the d e v e l o p m e n t o f th e r e c o r d group c o n c e p t . R e c o r d s are

d e s c r i b e d i n t h e i n v e n t o r y f i r s t a t t h e r e c o r d group l e v e l and

t h e n a t t he s e r i e s l e v e l , w i t h t he s e r i e s l i s t e d under the

a p p r o p r i a t e r e c o r d group o r s u b g r o u p . A r r a n g e m e n t and

d e s c r i p t i o n , then, are at the center of a r c h i v a l th eo ry and

p r a c t i c e . R i c h a r d B e r n e r , a f o r m e r p u p i l o f S c h e l l e n b e r g who

r e c e n t l y r e t i r e d as head o f t h e U n i v e r s i t y A r c h i v e s a nd

M a n u s c r i p t D i v i s i o n o f t h e U n i v e r s i t y o f W a s h i n g t o n L i b r a r i e s ,

has n o t e d t h a t a r r a n g e m e n t and d e s c r i p t i o n " ar e u n i q u e l y a r c h i v a l .

They r e p r e s e n t a body o f p r a c t i c e s t h a t a re c o h e r e n t and a r e

d e r i v e d from a u n i q u e p e r s p e c t i v e i n r e g a r d t o m a t e r i a l t h a t i s

t he s u b j e c t o f no o t h e r p r o f e s s i o n ' s a t t e n t i o n . " ^

The w r i t i n g s o f Theodore S c h e l l e n b e r g h o l d a p l a c e o f

eminence i n t h e l i t e r a t u r e o f a r r a n g e m e n t and d e s c r i p t i o n .

Holmes, i n t h e a r t i c l e c i t e d a b o v e , p l a c e d S c h e l l e n b e r g ' s Modern

A r c h i v e s a nd t he S t a f f I n f o r m a t i o n P a p e r , P r i n c i p l e s o f

A r r a n g e m e n t , i n t h e company o f the manuals of Je nk in so n and the

D u t c h t r i o . I n d e e d , b e f o r e Holmes' a r t i c l e a p p e a r e d , S c h e l l e n b e r g

h a d a l r e a d y p r o d u c e d f i v e p u b l i c a t i o n s f o r t he N a t i o n a l A r c h i v e s ,

f o u r a r t i c l e s i n l e a r n e d j o u r n a l s , a nd one book, a l l d e a l i n g i n

w h o l e o r i n p a r t w i t h t he s u b j e c t o f arrangement. The f o l l o w i n g

d i s c u s s i o n b e gi n s w i t h S c h e l l e n b e r g ' s view o f provenance and



o r i g i n a l o r d e r , p r o c e e d s t o h i s a c c o u n t of the l e v e l s of

a r r a n g e m e n t , i n c l u d e s a b r i e f l o ok a t h i s a t t i t u d e towards the

a r r a n g e m e n t o f r e c o r d s o f p r i v a t e o r i g i n , and c o n c l u d e s w i t h a

summary v i e w o f h i s g e n e r a l a p p r o a c h t o d e s c r i p t i o n .

R e g a r d i n g the p r i n c i p l e o f p r o v e n a n c e S c h e l l e n b e r g 1 s o p i n i o n

r e m a i n e d c o n s t a n t t h r o u g h o u t h i s c a r e e r . I n h i s f i r s t major

a r c h i v a l p u b l i c a t i o n , E u r o p e a n A r c h i v a l P r a c t i c e s i n A r r a n g i n g

R e c o r d s , he r e f e r r e d t o p r o v e n a n c e as "a f i r s t p r i n c i p l e o f

a r c h i v a l economy." W r i t i n g more t h a n t w e n t y - f i v e y e a r s l a t e r ,

he s t a t e d t h a t " th e p r i n c i p l e o f p r o v e n a n c e i s b a s i c and

i n f l e x i b l e a n d r e l a t e s t o a m a t t e r o f t h e h i g h e s t i m p o r t a n c e t o

7

t h e a r c h i v a l p r o f e s s i o n . " He went on to say t h a t i t was not

enough t o a c c e p t the p r i n c i p l e s i mp l y b e c a u s e i t i s g e n e r a l l y

r e c o g n i z e d a s v a l i d i n t he a r c h i v a l p r o f e s s i o n , b u t t h a t i t

should be a c c e p t e d f o r s p e c i f i c r e a s o n s . These r e a s o n s ar e w o r t h

i n v e s t i g a t i n g .

The most o b v i o u s and th e most common r e a s o n for the

w i d e s p r e a d a c c e p t a n c e o f p r o v e n a n c e i s t h a t i t e n a b l e s the

a r c h i v i s t t o d e a l w i t h r e c o r d s c o l l e c t i v e l y , thus f a c i l i t a t i n g

b o t h a r r a n g e m e n t and d e s c r i p t i o n . S c h e l l e n b e r g a l s o d i s c u s s e d

two other r e a s o n s . F i r s t o f a l l , he s t a t e d t h a t " th e p r i n c i p l e

s e r v e s t o p r o t e c t t h e v a l u e o f e v i d e n c e i n a r c h i v e s . "

E l a b o r a t i n g o n t h i s p o i n t , h e w r o t e : "The c o n t e n t o f i n d i v i d u a l

documents th a t are the p r o d u c t o f a c t i v i t y can be f u l l y

u n d e r s t o o d o n l y i n t h e c o n t e x t w i t h o t h e r documents t h a t r e l a t e

to the same a c t i v i t y . The way t h e y were b r o u g h t t o g e t h e r i s

8

t h e r e f o r e s i g n i f i c a n t . " S e c o n d l y , he n o t e d t h a t th e p r i n c i p l e

t a k e s i n t o a c c o u n t the u n i q u e n a t u r e of a r c h i v a l m a t e r i a l . That

i s , s i n c e r e c o r d s " a re u s u a l l y p r o d u c e d t o a c c o m p l i s h some



p u r p o s e , some a c t i v i t y " — u n l i k e p u b l i c a t i o n s w h i c h a r e produced

" t o e l u c i d a t e some su bj ec t" -- th ey sho uld then be arran ged

ac co rd in g to the manner i n w h i c h they were c r ea t e d and no t

9

ac co rd in g to the su bj ec ts to w h i c h they p e r t a i n .

There i s n o t h i n g s u r p r i s i n g i n these comments si nc e they

r e f l e c t the wid esp rea d ac cepta nce of p r o v e n a n c e thr oug hou t the

a r c h i v a l w o r l d . I n some ways, e s p e c i a l l y wi t h re ga rd to the

v a l u e o f e v i d e n c e i n a r c h i v e s , S c h e l l e n b e r g * s comments ca n be

seen as a re st at em en t of the v i e w s ex pre ss ed by the Dutch t r i o

and by Je nk in so n. The former s t a t e d t h a t the "v ar io us documents

of an a r c h i v a l c o l l e c t i o n t h r o w l i g h t upon one an ot he r.

J e n k i n s o n , whom S c h e l l e n b e r g c i t e d i n h i s d i s c u s s i o n , o b s er v e d

t h a t r e c o r d s have "a s t r u c t u r e , an a r t i c u l a t i o n and a n a t u r a l

r e l a t i o n s h i p between p a r t s , w h i c h are e s s e n t i a l t o t h e i r

s i g n i f i c a n c e . . . . A r c h i v e q u a l i t y onl y su rv iv es unim pair ed so long

as t h e i r n a t u r a l form and r e l a t i o n s h i p a re m a i n t a i n e d . "

1 1

S c h e l l e n b e r g was a b l e t o b r i n g t o g e t h e r i d e a s f r o m v a r i o u s

sources and to reduce the p r i n c i p l e s and techniques of the

a r c h i v a l p r o f e s s i o n t o t h e i r e s s e n t i a l s . . Hi s comments on

the reasons why p r o v e n a n c e must be ob se rv ed are good e x a m p l e s of

t h i s .

I n h i s d i s c u s s i o n o f o r i g i n a l o r d e r , S c h e l l e n b e r g s t e p p ed

o u t s i d e the bounds e s t a b l i s h e d by h i s E u r o p e a n p r e d e c e s s o r s . I n

th e D u t c h manual and i n Jen kin son 's w r i t i n g s , o r i g i n a l order

was u ph el d on th e same l e v e l as p r o v e n a n c e . A f t e r j u s t four

ye ar s i n the a r c h i v a l p r o f e s s i o n , S c h e l l e n b e r g was as c r i t i c a l

of the p r i n c i p l e o f o r i g i n a l or de r as he was s u p p o r t i v e of the

p r i n c i p l e o f p r o v e n a n c e . W r i t i n g i n 19 39 he made the f o l l o w i n g

o b s e r v a t i o n s :



33

W h i l e the g r e a t e r p r o p o r t i o n o f r e c o r d s d e v e l o p e d by

E u r o p e a n g o v e r n m e n t s are o r g a n i z e d i n r e g i s t r y o f f i c e sb e f o r e t h e i r r e l e a s e t o a r c h i v a l i n s t i t u t i o n s , the g r e a t e rp r o p o r t i o n o f th e r e c o r d s o f the F e d e r a l Government of the

U n i t e d S t a t e s are l e f t i n a d i s o r g a n i z e d s t a t e . T h i s i s

t r u e b e c a u s e i n the c o u r s e of ou r n a t i o n a l h i s t o r y r e c o r d swere no t o r g a n i z e d w i t h the v i e w t o t h e i r t r a n s f e r e n c e t oan a r c h i v a l i n s t i t u t i o n , s i n c e no such i n s t i t u t i o n

e x i s t e d . . . . The b a s i c c o n d i t i o n , t h e r e f o r e , i s g e n e r a l l yl a c k i n g by w h i c h the p r i n c i p l e s of th e German and Dutcha r c h i v i s t s c o n c e r n i n g the p r e s e r v a t i o n of th e o r i g i n a l ^

o r d e r c r e a t e d by a r e g i s t r y o f f i c e can be made t o a p p l y .

He c o n c l u d e d t h a t "no a r c h i v a l p r i n c i p l e s s h o u l d be ' r i d d e n t o

d e a t h , ' l i t e r a l l y t o become f e t i s h e s w h i c h w i l l p r e v e n t a common-

sense a r r a n g e m e n t of r e c o r d s d e s i g n e d t o promote the r e s e a r c h

13

needs o f s c h o l a r s and government o f f i c i a l s . " L a t e r i n h i s

c a r e e r he s t a t e d t h a t w h i l e an a r c h i v i s t s h o u l d n o r m a l l y observe

o r i g i n a l o r d e r , "he s h o u l d have no c o m p u n c t i o n a b o u t d i s t u r b i n g

the o r i g i n a l o r d er " i f such a move i m p r o v e s r e s e a r c h e r a c c e ss t o

t h e r e c o r d s . "The t e s t h e r e i s a v e r y p r a c t i c a l one, t h a t of

14

u s a b i l i t y . " For e x a m p l e , as we have seen, t h i s t e s t o f

u s a b i l i t y l e d S c h e l l e n b e r g to r e a r r a n g e the r e c o r d s of the

Weather B u r e a u h e l d a t the N a t i o n a l A r c h i v es . ^ " 5

S c h e l l e n b e r g was not the f i r s t to c h a l l e n g e the p r i n c i p l e

o f o r i g i n a l o r d e r and he c i t e d s e v e r a l e x a m p l e s o f s i m i l a r

16

c h a l l e n g e s w h i c h a r o s e i n Europe i n the 19 30 s. On the Ameri can

s c e n e , however, h i s o b s e r v a t i o n s of th e d i f f e r e n c e s between

E u r o p e a n and A m e r i c a n r e c o r d k e e p i n g p r a c t i c e s p r o v i d e d a

p r a c t i c a l r e a s o n f o r the d e v e l o p m e n t o f u n i q u e A m e r i c a n a r c h i v a l

t e c h n i q u e s . He a l s o e p i t o m i z e d the g r o w i n g c o n c e r n o f th e

a r c h i v i s t f o r the r e s e a r c h e r . H i s w i l l i n g n e s s to o v e r r u l e

a b s o l u t e o b s e r v a n c e o f o r i g i n a l o r d e r c o n t i n u e s t o be a p p r e c i a t e d

by a r c h i v i s t s down t o the p r e s e n t day. In an a r t i c l e on the

s u b j e c t o f o r i g i n a l o r d er w r i t t e n i n 1982, F r a n k B o l e s c i t e d

S c h e l le n b e r g e x t e n s i v e l y i n h i s c a l l f o r arrangement based on



34

17u s a b i l i t y . Today, most a r c h i v i s t s f o l l o w t h e g e n e r a l r u l e o f

o b s e r v i n g o r i g i n a l o r d e r when i t i s p r a c t i c a l t o do so and o f

r e a r r a n g i n g m a t e r i a l s when t h i s i s c o n s i d e r e d n e c e s s a r y .

I n c r e a s i n g l y , t h o u g h , t h i s r e a r r a n g e m e n t i s b e i n g c a r r i e d o ut on '

p a p e r , s o m e t h i n g t h a t n e i t h e r S c h e l l e n b e r g n o r h i s c o n t e m p o r a r i e s

r e a l i z e d t o i t s f u l l e s t p o t e n t i a l .

S c h e l l e n b e r g t o o k g r e a t c a r e t o t h i n k t h r o u g h h i s a r c h i v a l

i d e a s f ro m b e g i n n i n g t o end. No t o n l y do most o f h i s i d e a s

remain c o n s i s t e n t o v e r t i m e , b u t t h e y a l s o r e v e a l a c o h e s i v e

i n t e r r e l a t i o n s h i p . F o r e x a m p l e , p a r t o f h i s d e f i n i t i o n o f

a r c h i v e s , t o be d i s c u s s e d i n more d e t a i l i n t h e n e x t c h a p t e r ,

s t a t e s t h a t a r c h i v e s a r e r e c o r d s p r e s e r v e d " f o r r e f e r e n c e and

r e s e a r c h p u r p o s e s , " t h u s e m p h a s i z i n g t h e r o l e o f the r e s e a r c h e r

and adding f u r t h e r s u p p o r t to th e s t a t e m e n t t h a t o r i g i n a l

o r d e r s h o u l d be o b s e r v e d o n l y when i t meets r e s e a r c h n e e d s .

A n o t h e r more c o m p l e x example r e l a t e s t o the r e l a t i o n s h i p between

S c h e l l e n b e r g ' s t h o u g h t s on th e c l a s s i f i c a t i o n o f c u r r e n t

r e c o r d s , o u t l i n e d i n Modern A r c h i v e s , a nd h i s a t t i t u d e towards

provenance and o r i g i n a l o r d e r . He r e a s o n e d t h a t th e c l a s s i f i -

c a t i o n o f r e c o r d s i n t h e a g e n c i e s w h i c h c r e a t e d them s h o u l d be

b a s e d on f u n c t i o n , w h i c h he d e f i n e d as " a l l t h e r e s p o n s i b i l i t i e s

a s s i g n e d t o an agency t o a c c o m p l i s h the bro ad purpo ses f o r which

18

i t was e s t a b l i s h e d . " I n s u c h a system , unique f i l e headings

w o u l d be d e t e r m i n e d t h r o u g h a c o n s i d e r a t i o n o f t h e s e f u n c t i o n s

and t h e i r r e l a t e d a c t i v i t i e s and t r a n s a c t i o n s , r a t h e r than

a c c o r d i n g t o a p r e d e t e r m i n e d s y s t e m o f c l a s s i f i c a t i o n — s u c h as

the l i b r a r y - s t y l e d Dewey d e c i m a l s y s t e m — w h i c h had been adopted

by many o f f i c e s f o r t h e c l a s s i f i c a t i o n o f t h e i r r e c o r d s .

S c h e l l e n b e r g o b s e r v e d t h a t r e c o r d s "are th e r e s u l t o f f u n c t i o n ;



they ar e used i n r e l a t i o n t o f u n c t i o n ; t h e y s h o u l d , t h e r e f o r e ,

19

be c l a s s i f i e d a c c o r d i n g t o f u n c t i o n . " A n o t h e r p o s s i b l e means

o f c l a s s i f y i n g agency r e c o r d s was t o ba se th e c l a s s i f i c a t i o n

system on the h i e r a r c h i c a l breakdown of th e agency i n t o o f f i c e s

and branches. S c h e l l e n b e r g opposed t h i s syst em and arg ued t h a t

such c l a s s i f i c a t i o n o f t e n r e f l e c t e d a f u n c t i o n a l breakdown

anyway because each o f f i c e or br an ch wou ld be r e s p o n s i b l e f o r

s p e c i f i c agency f u n c t i o n s . B ut i f t h i s were n ot the ca s e,

g i v e n t h e f l u i d i t y o f modern government, o r g a n i z a t i o n a l

c l a s s i f i c a t i o n s t i l l s h o u l d no t be ob se rv ed .

R e l a t i n g the se st at em en ts to provenan ce and o r i g i n a l o r d e r ,

he s t a t e d t h a t t he p r i n c i p l e of provenance " s h o u l d a l s o be

a p p l i e d i n a r r a n g i n g p u b l i c r e c o r d s f o r c u r r e n t use ." I f

r e c o r d s were c l a s s i f i e d " a c c o r d i n g t o t h e i r pr ovenanc e i n

a c t i v i t y , " t h a t i s , a c c o r d i n g to the f u n c t i o n s t h a t l e d t o t h e i r

c r e a t i o n i n s t e a d o f a c c o r d i n g t o p r e d e t e r m i n e d

s u b j e c t l i s t s as

was common i n S c h e l l e n b e r g ' s t i m e , th ey wo ul d be much more

20

r e v e a l i n g o f th e pro gra ms and p o l i c i e s of th e c r e a t i n g agency.

Such c l a s s i f i c a t i o n w o u l d a l s o have a d i r e c t b e a r i n g on the

a r c h i v i s t ' s o b s e r v a n c e o f o r i g i n a l o r d e r . I f r e c o r d s are

c o n s c i e n t i o u s l y a r r a n g e d w h i l e i n c u r r e n t use, then t h i s would

i n c r e a s e t h e number o f t i m e s t h a t t h e a r c h i v i s t c o u l d m a i n t a i n

t h e same arrangement.

S c h e l l e n b e r g , l i k e many o f h i s c o n t e m p o r a r i e s a t t h e

N a t i o n a l A r c h i v e s , was t r y i n g t o c r e a t e a sys tem o f r e c o r d

c o n t r o l t h a t w o u l d g i v e t h e a r c h i v i s t a he ad s t a r t i n t h e work

o f arran gemen t and d e s c r i p t i o n , s i m i l a r t o th e adv ant ag es of the

European r e g i s t r y syst em. Such c o n t r o l has no t been f u l l y

a c h i e v e d even thou gh new d eve lop men ts i n r e c o r d s management have



o c c u r r e d , i n c l u d i n g t he c o n s i d e r a t i o n o f f u n c t i o n a l a n a l y s i s i n

t h e e s t a b l i s h m e n t o f c l a s s i f i c a t i o n s y s t e m s . P e r h a p s a b s o l u t e

c o n t r o l o v e r r e c o r d s w i l l n e v e r be a c h i e v e d , b u t t he e l i m i n a t i o n o

the d i c h o t o m y between the work of the a r c h i v i s t and the re co rd s

manager may have an e f f e c t i n b r i n g i n g i t a b o u t . The q u e s t i o n

o f when r e c o r d s become a r c h i v e s i s l o s i n g i t s r e l e v a n c e as

s o c i e t y ' s documentary o u t p u t c o n t i n u e s t o i n c r e a s e a nd a r c h i v a l

h o l d i n g s become more and more c u r r e n t i n s c o p e . D e s p i t e h i s

21

h o s t i l i t y t o w a r d s t h e r e c o r d s management p r o g r a m a t NARS,

S c h e l l e n b e r g c a n b e seen as a t r a n s i t i o n a l f i g u r e i n t h e c h a n g i n g

r o l e of the a r c h i v i s t from t he s e r v i c i n g o f o l d e r r e c o r d s f o r

t h e i r use by h i s t o r i a n s to the g r o w i n g c o n c e p t o f i n f o r m a t i o n

management.

A r c h i v a l i d e a s an d p r a c t i c e s , t h e n , do n o t remain s t a t i c .

They e v o l v e o v e r t i m e , a nd t h i s can b e ' s e e n thr oug h a

c o n s i d e r a t i o n of the a r r a n g e m e n t

o f a r c h i v e s a t t h e v a r i o u s

r e c o r d l e v e l s . Fo r the sake o f c o n v e n i e n c e , t h e f i v e l e v e l s o f

a r r a n g e m e n t a s o u t l i n e d by Holmes w i l l p r o v i d e t he s t r u c t u r e f o r

t he f o l l o w i n g d i s c u s s i o n o f S c h e l l e n b e r g ' s i d e a s , even though

S c h e l l e n b e r g d i d n o t n e c e s s a r i l y i d e n t i f y a r r a n g e m e n t a t each

of the f i v e l e v e l s .

S c h e l l e n b e r g d i d n o t s p e c i f i c a l l y t a l k a b o u t a r r a n g e m e n t

a t

t he r e p o s i t o r y l e v e l . However, he d i d s t a t e t h a t r e c o r d groups

s h o u l d be a l l o c a t e d t o a p p r o p r i a t e b r a n c h e s w i t h i n t he a r c h i v e s ,

r e p r e s e n t i n g b r o a d s u b j e c t f i e l d s such a s d e f e n s e , i n d u s t r y , a nd

n a t u r a l r e s o u r c e s , an d t h i s amounts to the same t h i n g a s Holmes'

d i s c u s s i o n of the f i r s t l e v e l o f a r r a n g e m e n t . B o t h men agreed

t h a t t h e r e i s n o t h i n g e x c e p t i o n a l a b o u t a r r a n g e m e n t c a r r i e d out

a t t h i s l e v e l . I t u s u a l l y becomes a r o u t i n e m a t t e r once an



a r c h i v a l i n s t i t u t i o n has e s t a b l i s h e d i t s p ro gr am . W i t h i n each

o f t h e s e a d m i n i s t r a t i v e u n i t s , a r c h i v i s t s a r e i n v o l v e d i n more

d e t a i l e d work o f a p p r a i s a l , a r r a n g e m e n t , d e s c r i p t i o n , and

r e f e r e n c e s e r v i c e . S c h e l l e n b e r g was v e r y s u p p o r t i v e o f t h i s

k i n d o f a d m i n i s t r a t i v e o r g a n i z a t i o n , and i t was the s u g g e s t i o n by

A r c h i v i s t G r o v e r t h a t t h i s s u b j e c t m a t t e r s p e c i a l i z a t i o n be

r e p l a c e d by a f u n c t i o n a l s p e c i a l i z a t i o n t h a t c o n t r i b u t e d

2 2

s i g n i f i c a n t l y t o the h o s t i l i t y be tw ee n t h e two men. Mos t l a r g e

a r c h i v a l i n s t i t u t i o n s i n N o r t h A m e r i c a c o n t i n u e t o f o l l o w the

s u b j e c t m a t t e r o r g a n i z a t i o n , p a r t i c u l a r l y i n t h e t r e a t m e n t o f

t r a d i t i o n a l t e x t u a l r e c o r d s .

F o r b o t h S c h e l l e n b e r g and Holmes t h e r e c o r d g ro up was th e

b a s i s o f th e arra ngem ent and d e s c r i p t i o n p r o ce s s , even though

the ma jor weak ness es o f th e r e c o r d group sys tem were w e l l known.

The use o f th e ph ra se " e s t a b l i s h e d somewhat a r b i t r a r i l y " i n the

N a t i o n a l A r c h i v e s ' d e f i n i t i o n o f r e c o r d group posed ob vi ou s

d i f f i c u l t i e s . But the pro ble ms were o f f s e t by th e im me di at e

advantages of the system, e s p e c i a l l y t h e a b i l i t y t o ar ra ng e and

d e s c r i b e l a r g e volumes of r e c o r d s c o l l e c t i v e l y . The s h a r p e s t

c r i t i c i s m s o f th e use of th e r e c o r d gro up as t h e b a s i s f o r

arrangement and d e s c r i p t i o n d i d n o t o c c u r u n t i l t h e l a t e 1960s

i n s u c h a r t i c l e s as P. J. S c o t t ' s "The Rec or d Group C on ce pt :A Case f o r Abandonment," p u b l i s h e d i n t h e A m e r i c a n A r c h i v i s t i n

23

1966. By t h a t t i m e S c he l le n be r g 's a c t i v e i n t e r e s t i n a r c h i v a l

m a t t e r s was wa ni ng , and so he d i d n o t comment on t he o p i n i o n s

p r e s e n t e d by S c o t t . I n d e ed , h i s w r i t i n g s on the r e c o r d group

c o n c e p t s e r v e l a r g e l y t o r e f l e c t N a t i o n a l A r c h i ve s p o l i c y , though

i t must be remembered t h a t , g i v e n h i s p o s i t i o n w i t h i n t h a t

i n s t i t u t i o n , he would have i n f l u e n c e d t h a t p o l i c y .



38

I n Modern A r c h i v e s S c h e l l e n b e r g d e f i n e d r e c o r d group by

q u o t i n g t h e " D i r e c t i o n s f o r t he P r e p a r a t i o n o f F i n d i n g Mediums"

a s i s s u e d b y A r c h i v i s t Connor i n 1 9 4 1 . 2 4 S c h e l l e n b e r g ' s o n l y

c r i t i c i s m was th e ch oi ce of th e t e r m . He o b s e r v e d :

I t i s a c u r i o u s anomaly t h a t i n E n g l a n d where the a r c h i v a li n s t i t u t i o n i s c a l l e d a r e c o r d o f f i c e t h e r e c o r d u n i t sshould be c a l l e d ' a r c h i v e g r o u p s , ' whereas i n the Un it edS t a t e s where t he a r c h i v a l i n s t i t u t i o n i s c a l l e d a n a r c h i v e st h e r e c o r d u n i t s s h o u l d be c a l l e d ' r e c o r d groups.'25

A c c o r d i n g l y , i n Management o f A r c h i v e s he p r e f e r r e d t h e term

" a r c h i v a l group," though he a l s o c o n t i n u e d t o make use o f th e

more t r a d i t i o n a l term. In t h i s l a t e r work he r e d u c e d the

d e f i n i t i o n o f r e c o r d group t o a u s e f u l s i m p l e l e v e l , s t a t i n g

t h a t r e c o r d o r a r c h i v a l g r o u p s " ar e e s t a b l i s h e d by a c o n s i d e r a t i o n

o f t h e i r o r g a n i z a t i o n a l , as d i s t i n c t f r o m t h e i r f u n c t i o n a l ,

• • „26o r i g i n s .

R e g a r d i n g the a r r a n g e m e n t o f r e c o r d groups i n r e l a t i o n t o

e a c h o t h e r , S c h e l l e n b e r g ' s i n s t r u c t i o n s always c o n t a i n e d t h e

same two e l e m e n t s . He m a i n t a i n e d t h a t r e c o r d g r o u p s sh ou ld be

a r r a n g e d " i n an o r g a n i z a t i o n a l o r a f u n c t i o n a l r e l a t i o n t o each

o t h e r , " p r e f e r a b l y t he f o r m e r , a nd t h a t r e c o r d g r o u p s " s h o u l d

2 7

be ma in ta in ed as i n t e g r a l u n i t s . " P e r h a p s what i s most

i n t e r e s t i n g to the p re s en t day a r c h i v i s t i n t h e a t t i t u d e o f

S c h e l l e n b e r g , Holmes, and t h e i r c o n t e m p o r a r i e s t o w a r d s the

a r r a n g e m e n t o f r e c o r d groups i s t h e i r p r e o c c u p a t i o n w i t h t h e

p h y s i c a l a r r a n g e m e n t o f th e r e c o r d g r o u p s i n t h e s t a c k s . T h i s

i n v o l v e s k e e p i n g a l l t he r e c o r d s of a r e c o r d group t o g e t h e r i n

much t h e same way as i n a l i b r a r y a l l of the books on a

p a r t i c u l a r s u b j e c t a r e s h e l v e d t o g e t h e r , i m p l y i n g t h a t room must

be l e f t i n t h e s t a c k s f o r f u t u r e a c c e s s i o n s . One o f t h e main

t a s k s t h a t S c h e l l e n b e r g f a c e d a s head o f t h e N a t i o n a l A r c h i v e s



d i v i s i o n i n the 1950s was the r e a r r a n g e m e n t of th e h o l d i n g s i n

t h e s t a c k s . Most modern a r c h i v e s , p a r t i c u l a r l y l a r g e o n e s , make

use o f c o n s e c u t i v e s h e l v i n g whereby new a c c e s s i o n s are s h e l v e d

i n the n e x t a v a i l a b l e space w i t h the l o c a t i o n i n d i c a t e d i n the

a p p r o p r i a t e i n v e n t o r y . T h i s i s a f u r t h e r example of paper

a r r a n g e m e n t and i s , p e r h a p s , an a d o p t i o n of the s i m i l a r p r o c e d u r e

used i n r e c o r d c e n t e r s , j u s t as the o l d method can be seen as an

a d o p t i o n o f l i b r a r y methods.

Arrangement a t the subgroup l e v e l , a c c o r d i n g t o Holmes, i s

i n c l u d e d a l o n g w i t h the r e c o r d group as f o r m i n g p a r t of th e

s e c o n d l e v e l of arra nge ment . Holmes, however, h a r d l y a d d r e s s e d

t h i s d i f f i c u l t t o p i c and d i d n o t even o f f e r a d e f i n i t i o n o f

s u b g r o u p . S c h e l l e n b e r g , on th e o t h e r hand, d e a l t w i t h th e

s u b j e c t i n g r e a t d e t a i l and h i s i d e a s became b e t t e r f o cu s s e d as

the y e a r s went by. Fo r the sake o f c l a r i t y i t i s e a s i e r t o look

a t h i s l a t e r o p i n i o n s f i r s t . In Management of A r c h i v e s he s t a t e d

t h a t the s u bg r ou p " i s c o m p r i s e d o f r e c o r d s c r e a t e d by an

o r g a n i z a t i o n a l s u b d i v i s i o n of the p u b l i c agency t h a t c r e a t e d an

2 8

a r c h i v a l gro up. " These o r g a n i z a t i o n a l s u b d i v i s i o n s c o u l d be

any one o f the f o l l o w i n g : e x i s t i n g a d m i n i s t r a t i v e u n i t s ; u n i t s

t h a t had b e e n s u p e r s e d e d or d i s c o n t i n u e d ; f i e l d o f f i c e s of the

p a r e n t a g e n c y ; o r , the r e c o r d s o f e a c h u n i t t h a t make up a

c o l l e c t i v e r e c o r d g r o u p , t h a t i s , a r e c o r d group " c o n s i s t i n g of•> 9

r e c o r d s o f a g i v e n c l a s s of o r g a n i z a t i o n s . " " As w i t h the

a r r a n g e m e n t of r e c o r d gro ups , subgrou ps wou ld be k e p t as i n t e g r a l

u n i t s and w o u l d be a r r a n g e d i n an o r g a n i z a t i o n a l r e l a t i o n t o ea ch

o t h e r . T h i s i s i n a c c o r d w i t h most p r e s e n t day p e r c e p t i o n s of

t he subgroup.

In h i s e a r l i e r w r i t i n g s S c h e l l e n b e r g s t a t e d t h a t s e r i e s





d e s c r i p t i o n becomes e a s i e r a n d more p r e c i s e . I f t h i s i s not

done, "the s e r i e s of the p a r t i c u l a r s u b g r o u p w i l l be s c a t t e r e d

among the gen er al s e r i e s of the parent agency," i n w h i c h ca se a

r e q u e s t f o r i n f o r m a t i o n on a p a r t i c u l a r subgrou p wou ld e n t a i l

the d e t a i l e d a n a l y s i s o f e a c h of the ge ne ra l s e r i e s of the

p a r e n t agency. When.subgrouping by o r g a n i z a t i o n i s c a r r i e d out,

" th e k i n d o f c o n t e n t a n a l y s i s r e q u i r e d o f each g e n e r a l s e r i e s

f o r the s u b g r o u p s i t c o n t ai n s becomes unnecessary: i t has been

taken care of wi th ou t such an a l y s i s by hav ing f i r s t ar ra nge d the

32

r e c o r d s i n t o subgroups."

This i s a good and w o r k a b l e s y s t e m though i t has been

c r i t i c i z e d f o r the r e a r r a n g e m e n t t h a t o f t e n t a k e s p l a c e which

33

may j eo pa rd iz e a mea nin gfu l o r i g i n a l o r d e r . A n o t h e r major

weakness i s t h a t i t i s a ve r y work i n t e n s i v e s y s t e m . As b e t t e r

c l a s s i f i e d r e c o r d s o f more r e c e n t o r i g i n a r e t r a n s f e r r e d t o

a r c h i v a l i n s t i t u t i o n s , o r g a n i z a t i o n a l s u b gr o up i ng may become

e a s i e r . But i n the subgro uping of re co rd s e r i e s , i t i s o b v i o u s

t h a t t her e are many i n s t a n c e s where the o r i g i n a l o r g a n i z a t i o n a l

s u b g r o u p s c a n n o t be deter mined . Thi s w o u l d e s p e c i a l l y be tr u e

a t t h e N a t i o n a l A r c h i v e s o f t he 1950s when huge volumes of o l d

and d i s o r g a n i z e d r e c o r d s were be in g arra nged and de sc ri be d. In

such cases the f u n c t i o n a l method of grouping s e r i e s , along with

the other a l t e r n a t i v e s suggested by Sc he ll en be rg , are p e r f e c t l y

v a l i d . The o n l y r e a l p o i n t of is su e i s t h a t such grouping s of

s e r i e s c a n n o t be r e f e r r e d to as s u b g r o u p s s i n c e s u b g r o u p s , by

d e f i n i t i o n , must be b a s e d i n an o r g a n i z a t i o n a l s u b u n i t o f an

agency. I f these ge ne ra l grou pings of s e r i e s r e q u i r e a name a t

a l l , they can be r e f e r r e d t o si mp ly as s e r i e s , with the component

s e r i e s r e f e r r e d t o as s u b s e r i e s . S c h e l l e n b e r g n e v e r used the



term " s u b s e r i e s , " b u t he c o n t i n u e d t o i n s t r u c t t h a t s e r i e s

could be g r o u p e d a c c o r d i n g t o t h e a l t e r n a t e methods o f f u n c t i o n ,

c h r o n o l o g y , geography, o r r e c o r d t y p e . He s i m p l y r e f r a i n e d

f r o m d e s i g n a t i n g s u c h g r o u p i n g s as s u b g r o u p s . In f a c t , he d i d

34

not give t h e s e g r o u p i n g s any p a r t i c u l a r name a t a l l .

I n t he a r c h i v a l p r o f e s s i o n t he t e r m " s e r i e s " i s one of the

most d i f f i c u l t t o d e f i n e . W i t h d i f f i c u l t c o n c e p t s i t i s o f t e n

the s i m p l e s t d e f i n i t i o n s t h a t p r o v e the most u s e f u l . I n

Management o f A r c h i v e s S c h e l l e n b e r g o f f e r e d a c o n c i s e d e f i n i t i o n

o f s e r i e s t o c o r r e s p o n d w i t h h i s u p d a t e d d e f i n i t i o n of r ec or d

g r o u p . J u s t as r e c o r d groups a r e e s t a b l i s h e d "by a c o n s i d e r a t i o n

o f t h e i r o r g a n i z a t i o n a l , as d i s t i n c t from t h e i r f u n c t i o n a l ,

o r i g i n s , " so s e r i e s a r e e s t a b l i s h e d "by a c o n s i d e r a t i o n o f t h e i r

35

f u n c t i o n a l , as d i s t i n c t from t h e i r o r g a n i z a t i o n a l , o r i g i n s . "

U s e f u l a s t h i s d e f i n i t i o n i s , i t c a n n o t st an d on i t s own.

S c h e l l e n b e r g a l w a y s m a i n t a i n e d t h a t t h e r e were thr ee fa ct or s on

w h i c h t h e e s t a b l i s h m e n t o f s e r i e s c o u l d be b a s e d . The p r e f e r r e d

f a c t o r i s t h at of "the a r r a n g e m e n t g i v e n r e c o r d s " w i t h i n an

a r c h i v a l o r r e c o r d g r o u p . He w r o t e :

Each of the f i l e s o r g a n i z e d a c c o r d i n g t o a p a r t i c u l a rf i l i n g s y s t e m s h o u l d be t r e a t e d a s a r e c o r d u n i t . . . . I t does

h o t m a t t e r what f i l i n g system i s f o l l o w e d — w h e t h e r ana l p h a b e t i c a l , a n u m e r i c a l , a s u b j e c t , a c l a s s i f i e d , o r some

o t h e r — t h e i m p o r t a n t c o n s i d e r a t i o n i s t h a t a l l r e co r dso r g a n i z e d a c c o r d i n g t o an i n t e g r a t e d f i l i n g s y s t e m shouldbe r e g a r d e d as one u n i t . Nor does the q ua n t it y of rec ord sm a t t e r , fo r a s e r i e s may be la rg e or small.36

The second p r e f e r r e d f a c t o r i s t h a t o f r e c o r d t y p e, i n c l u d i n g

l e t t e r s , r e p o r t s , d i r e c t i v e s , o r s p e c i a l forms, such as

a p p l i c a t i o n s o r q u e s t i o n n a i r e s . The f i n a l f a c t o r th at co ul d be

used i n t h e e s t a b l i s h m e n t o f a s e r i e s i s t h e t a k i n g i n t o a c c o u n t

of "the r e l a t i o n of rec ord s to a c t i v i t y , " t h a t i s , the a r b i t r a r y

de si gn at io n of a l o t of rec ord s as a s e r i e s "on the ground o f



t h e i r r e l a t i o n t o a s p e c i f i c t r a n s a c t i o n o r m a t t e r o f b u s i n e s s . "

T h i s l a t t e r category can be c a l l e d an a r t i f i c i a l s e r i e s .

S c h e l l e n b e r g ' s e x p l a n a t i o n o f t he term " s e r i e s " c o ve r s a l l

p o s s i b l e means o f i d e n t i f y i n g a nd c r e a t i n g s e r i e s a nd i s a

d e t a i l e d e x t e n s i o n o f h i s own s i m p l e d e f i n i t i o n and of the

d e f i n i t i o n o f s e r i e s a s a n e n t i t y b a s e d on f i l i n g .

W i t h regard to the a r r a n g e m e n t o f s e r i e s i n r e l a t i o n t o each

o t h e r , S c h e l l e n b e r g n o t e d t h a t s e r i e s c o u l d be p l a c e d " i n any

c o n c e i v a b l e o r d e r w i t h o u t a d v e r s e l y a f f e c t i n g t h e i r o r g a n i c

3 8q u a l i t y . " As Holmes obs erv ed, an agency "almost never

e s t a b l i s h e d a s e q u e n t i a l a r r a n g e m e n t f o r t h e many d i f f e r e n t

39

s e r i e s i t c r e a t e d . " I n o t h e r words t h e p r i n c i p l e o f o r i g i n a l

o r d e r does n o t a p p l y t o o r g a n i z a t i o n o f s e r i e s b e c a u s e the

o r i g i n a t i n g o f f i c e u s u a l l y does n o t a r r a n g e i t s v a r i o u s s e r i e s

a c c o r d i n g t o a ny s p e c i f i c p l a n . The a r r a n g e m e n t work c a r r i e d

out at t h i s l e v e l forms the most c r e a t i v e work of the a r c h i v i s t .

Once a g a i n , Holmes h a r d l y a d d r e ss e d t h e i s s u e , m a k i n g i n s t e a d a

g e n e r a l r e f e r e n c e t o t h e Dutch manual f o r h e l p i n t h e s e m a t t e r s .

S c h e l l e n b e r g t a c k l e d t he p r o b l e m d i r e c t l y .

The g r o u p i n g o f s e r i e s a c c o r d i n g t o c o n s i d e r a t i o n s o f

o r g a n i z a t i o n a l o r i g i n s , f u n c t i o n , c h r o n o l og y , g e o g r a p h y , o r

r e c o r d t y p e have a l r e a d y been o u t l i n e d under t he d i s c u s s i o n o f

s u b g r o u p i n g . W i t h i n e a c h o f t h e s e g r o u p i n g s , s t a t e d S c h e l l e n b e r g

t h e s e r i e s s h o u l d be a r r a n g e d i n a l o g i c a l way. ( I t i s worth

r e p e a t i n g h e r e t h a t a r r a n g e m e n t at any l e v e l can more e a s i l y take

p l a c e i n t e l l e c t u a l l y i n t h e i n v e n t o r y r a t h e r t h a n p h y s i c a l l y i n

the st ac ks .) The a r r a n g e m e n t w i t h i n t he f i n a l t h r e e g r o u p i n g s i s

s t r a i g h t f o r w a r d . R e g a r d i n g a r r a n g e m e n t by re co rd ty pe , "types

whose c o n t e n t s a r e g e n e r a l , such as c o r r e s p o n d e n c e , " would



p r e c e d e " t y p e s o f s p e c i f i c c o n t e n t , s u c h as c o n t r a c t s . "

G e o g r a p h i c a l and c h r o n o l o g i c a l a r r a n g e m e n t s are even s i m p l e r ,

the f o r m e r o f t e n i n a l p h a b e t i c a l o r d er , p e r h a p s by s t a t e and

t h e n b y . c o u n t i e s w i t h i n the s t a t e , and th e l a t t e r s i m p l y by

d a t e .4

^

When i t comes to th e a r r a n g e m e n t o f s e r i e s t h a t have been

b r o u g h t t o g e t h e r b e c a u s e o f f u n c t i o n a l s i m i l a r i t i e s , he changed

h i s mind o v e r the y e a r s . In P r i n c i p l e s o f A r r a n g e m e n t he s t a t e d

t h a t s u c h s e r i e s " s h o u l d be a r r a n g e d so f a r as p o s s i b l e i n

r e l a t i o n t o the o r g a n i z a t i o n a l u n i t s o f the agency t h a t performed

41 -

t he f u n c t i o n s . " T h i s i s a v e r y weak s t a t e m e n t s i n c e th e

f u n c t i o n a l g r o u p i n g o f s e r i e s was u s u a l l y t o take p l a c e i n th ose

s i t u a t i o n s where the o r i g i n a t i n g agency was d i f f i c u l t o r

i m p o s s i b l e t o d e t e r m i n e . In Management of A r c h i v e s the more

s e n s i b l e s u g g e s t i o n i s made t h a t s e r i e s w h i c h r e l a t e t o more than

one a c t i v i t y w i t h i n the f u n c t i o n s h o u l d p r e c e d e t h o s e t h a t

r e l a t e t o o n l y one a c t i v i t y , and t h a t the a r r a n g e m e n t o f s e r i e s

42

s h o u l d r e f l e c t the o r d e r i n w h i c h a f u n c t i o n was performed.

R e g a r d i n g s e r i e s b r o u g h t t o g e t h e r b e c a u s e o f t h e i r common

o r g a n i z a t i o n a l o r i g i n s , S c he l le n be r g s u g g e s t e d o n l y a g e n e r a l

means o f a r r a n g e m e n t . In P r i n c i p l e s o f A r r a n g e m e n t he s t a t e d

t h a t s u c h s e r i e s " s h o u l d be a r r a n g e d i n r e l a t i o n to th e f u n c t i o n s

43

p e r f o r m e d by th e a d m i n i s t r a t i v e u n i t s t h a t c r e a t e d them." This

i s c e r t a i n l y t he p r e f e r r e d method, b u t i n Management of A r c h i v e s

he d i d n o t g i v e h i s f u l l a t t e n t i o n t o the q u e s t i o n . He s t a t e d

t h a t s e r i e s s h o u l d n o r m a l l y be a r r a n g e d i n o r d e r to " r e f l e c t the

h i e r a r c h i c a l l e v e l s w i t h i n an agency, s u c h as th e bur eaus,

d i v i s i o n s , and s e c t i o n s , and the h i e r a r c h i c a l r e l a t i o n s between

c e n t r a l and f i e l d o f f i c e s . " In o t h e r words " s e r i e s o f the l a r g e r



a d m i n i s t r a t i v e u n i t s " s h o u l d p r e c e d e " t h o s e of the sm al le r. "

T h i s , however, i s more a s t a t e m e n t on the a r r a n g e m e n t of sub

groups r a t h e r t h a n o f s e r i e s . He m e r e l y i m p l i e d t h a t t h e

component s e r i e s o f each a d m i n i s t r a t i v e u n i t s h o u l d be arranged

a c c o r d i n g t o f u n c t i o n a l , c h r o n o l o g i c a l , o r g e o g r a p h i c a l schemes,

o r a c c o r d i n g t o r e c o r d t y p e , as o u t l i n e d above.

Holmes r e f e r r e d t o t h e a r r a n g e m e n t of s e r i e s as "the heart

o f a r c h i v a l w o r k . . . b e c a u se t h e i n v e n t o r y and a l l o t h e r f i n d i n g

a i d s m e r e l y r e f l e c t t h i s l e v e l o f a r r a n g e m e n t and ar e keyed i n t o

45

i t . " S c h el l e nb e r g c e r t a i n l y a g r e e d , a nd t h e i n v e n t o r y , based

on the record g r o u p o r subgroup w i t h a d e s c r i p t i o n o f t h e

component s e r i e s , has remained th e b a s i c a r c h i v a l f i n d i n g a i d

i n most l a r g e i n s t i t u t i o n s . P . J . S c o t t ' s a r t i c l e , c i t e d above,

i s n o t e w o r t h y b e c a u s e o f i t s r e c o m m e n d a t i o n t h a t t h e s e r i e s

r e p l a c e t he r e c o r d group as th e b a s i s f o r a r c h i v a l arrangement

and d e s c r i p t i o n , a p r a c t i c e t h a t was c a r r i e d o u t i n t he n a t i o n a l

a r c h i v a l i n s t i t u t i o n o f A u s t r a l i a where Scott was e m p l o y e d . In

h i s words:

I f t h e s e r i e s becomes the p r i m a r y l e v e l o f c l a s s i f i c a t i o n

[ or arrangement] , and th e it e m th e s e c o n d a r y l e v e l , (a)i t e m s are k e p t i n t h e i r a d m i n i s t r a t i v e c o n t e x t and o r i g i n a l

o r d e r by p h y s i c a l a l l o c a t i o n t o t h e i r a p p r o p r i at e s e r i e s ,and (b) s e r i e s are no lo ng er k e p t i n any o r i g i n a l p h y s i c a lo r d e r i n a r e c o r d o r s h e l f g r o u p . . . b u t s i m p l y have t h e i ra d m i n i s t r a t i v e c o n t e x t and a s s o c i a t i o n s r e c o r d e d on paper.

S e r i e s a r e r e g i s t e r e d as t h e y a r e a c c e s s i o n e d , and an el ab or at e

scheme o f i n d e x e s and i n v e n t o r i e s i n d i c a t i n g a l l p o s s i b l e

r e l a t i o n s h i p s o f s e r i e s t o each o t h e r and to. t h e i r c r e a t i n g or

c o n t r o l l i n g a g e n c i e s c o m p l e t e s the system.

S c o t t ' s s e r i e s s y s t e m marks an a t t e m p t t o overcome the

weaknesses of the re co rd group c o n c e p t . Changes i n an

o r g a n i z a t i o n , i t s f u n c t i o n s , i t s f i l i n g s y s t e m s , t h e t r a n s f e r o f



46

r e c o r d s t o a n o t h e r o r g a n i z a t i o n , and th e p o s s i b l e e x i s t e n c e o f

p r e d e c e s s o r o r g a n i z a t i o n s can make i t e x c e e di n g l y d i f f i c u l t t o

a l l o c a t e a r c h i v a l h o l d i n g s t o the a p p r o p r i a t e r e c o r d group.

S c h e l l e n b e r g n e v e r f u l l y c o n s i d e r e d t h e s e d i f f i c u l t i e s . I t i s

o n l y n a t u r a l t h a t no m a j o r c r i t i c i s m of an o p e r a t i n g s y s t e m w i l l

a p p e a r u n t i l t h a t s y s t e m has been u t i l i z e d and w r i t t e n about f o r

a number o f y e a r s . S c h e l l e n b e r g w r o t e of h i s e x p e r i e n c e s a t th e

N a t i o n a l A r c h i v e s . I t was up t o the n e x t g e n e r a t i o n o f

a r c h i v i s t s t o o f f e r the c r i t i c i s m s and th e a l t e r n a t i v e s .

I t i s i n t e r e s t i n g to s p e c u l a t e on how S c h e l l e n b e r g would

have r e a c t e d t o i d e a s s u c h as t h o s e p r o p o s e d by S c o t t . I t i s

u n l i k e l y , t h o u g h , t h a t he w o u l d have abandoned h i s v i e w , and w i t h

good r e a s o n . The m a j o r weakness of the r e c o r d s e r i e s s y s t e m i s

t h a t i t i s q u i t e complex and r e q u i r e s a g r e a t d e a l of work i n

o r d e r t o make i t f u n c t i o n a l . T hi s weakness i s o f f s e t by the main

a s s e t of the r e c o r d group s y s t e m , i t s r e l a t i v e s i m p l i c i t y . Using

t h e r e c o r d g r o u p s y s t e m i t i s p o s s i b l e to a r r a n g e and d e s c r i b e

a c c e s s i o n s q u i c k l y w i t h a l i m i t e d s t a f f , d e p e n d i n g upon the l e v e l

o f c o n t r o l t h a t i s d e s i r e d . T h i s i s e s p e c i a l l y i mp or ta nt i n an

i n s t i t u t i o n the s i z e o f th e N a t i o n a l A r c h i v e s where the number of

s e r i e s i s so g r e a t t h a t s e r i e s d e s c r i p t i o n o f t e n amounts to

n o t h i n g more than the l i s t i n g o f s e r i e s t i t l e s . A l s o , i t has

been e s t i m a t e d t h a t t h r e e - q u a r t e r s o f r e c o r d s e r i e s can be

47

a t t r i b u t e d t o a s i n g l e c r e a t i n g agency. For t h i s r e a s o n a l o n e ,

t h e r e c o r d g r o u p s y s t e m i s l i k e l y t o be a r o u n d f o r a l o n g time t o

come. In e s t i m a t i n g the r e l a t i v e v a l u e s of the r e c o r d group

s y s t e m and th e r e c o r d s e r i e s s y s t e m , i t must be remembered t h a t

t h e q u e s t i o n i s one of p r a c t i c a l i t y and not of t h e o r y .

P r o v e n a n c e and o r i g i n a l o r d e r are u p h e l d i n b o t h systems.



A r r a n g e m e n t at the f i n a l two l e v e l s i s s t r a i g h t f o r w a r d and

h a r d l y needs menti oning except to b r i n g t h i s d i s c u s s i o n t o i t s

c o n c l u s i o n . The most remarkable ob se rv at io n to be made r e g a r d i n g

S c h e l l e n b e r g ' s comments on t h i s matter i s t ha t he r e f e r r e d t o

o n l y one l e v e l o f a r r a n g e m e n t , d i s c u s s i n g a t once the arrangement

of both f i l i n g u n i t s and documents. He de si gn at ed the f i n a l

l e v e l o f a r r a n g e m e n t as th e " f i l i n g u n i t " i n h i s e a r l i e r w r i t i n g s

and as the "r ec or d it em " i n Management o f A r c h i v e s . R e g a r d l e s s

w h i c h term was used, h i s d e f i n i t i o n r e m a i n e d the same, namely,

"a s i n g l e document o r many documents t h a t were b r o u g h t t o g e t h e r ,

u s u a l l y i n the cou rse of t h e i r c u r r e n t u s e , i n t o v o l u m e s , b i n d e r s ,

48

f o l d e r s , o r o t h e r c o n t a i n e r s . " I t i s a t t h i s l e v e l that the

p r i n c i p l e o f o r i g i n a l o r d e r i s most s i g n i f i c a n t . As Sc he ll en be rg

note d, f o r those s e r i e s e s t a b l i s h e d on the b a s i s of the

a r r a n g e m e n t give n the rec ord s wh il e i n cu rr en t use, the o r i g i n a l

or de r of the item s sho uld be re sp ec te d. For s e r i e s t h a t were

e s t a b l i s h e d b e c a u s e o f p h y s i c a l t y pe o r s u b j e c t a c t i v i t y , a

49

c h r o n o l o g i c a l a r r a n g e m e n t of the items u su a l l y s u f f i c e s .

S c h e l l e n b e r g ' s o m i s s i o n o f a s e p a r a t e l e v e l o f a r r a n g e m e n t for

i n d i v i d u a l documents i s n o t s i g n i f i c a n t s i n c e e v e n Holmes

commented t h a t a r r a n g e m e n t at the f i n a l l e v e l i s r a r e l y c a r r i e d

out unless f l a t t e n i n g o r m i c r o f i l m i n g o f t he i t em s i s r e q u i r e d . 5 0

The m a j o r drawback to Sc he ll en be rg 's account of the l e v e l s

o f a r r a n g e m e n t i s t h a t nowhere a r e a l l o f h i s i d e a s p r e s e n t e d i n

one p u b l i c a t i o n . H i s l a t e r w r i t i n g s on t he s u b j e c t , p a r t i c u l a r l y

Management o f A r c h i v e s , a r e much more ke en ly foc uss ed than h i s

e a r l i e r w r i t i n g s ,

b u t even i n Management o f A r c h i v e s i t i s

necessary to jump from pla ce to pl ac e i n ord er t o di sc ov er

e v e r y t h i n g t h a t he has t o sa y. Hi s w r i t i n g s t y l e also leaves



48

much t o be d e s i r e d a s i t i s o f t e n d o g m a t i c a nd u n i m a g i n a t i v e .

T h i s i s u n l i k e Holmes' a r t i c l e w h i c h i s w e l l o r g a n i z e d and w e l l

w r i t t e n and co ve rs the e n t i r e t o p i c i n j u s t twenty pages.

However, w h i l e Holmes' p r e s e n t a t i o n o f th e g e n e r a l o u t l i n e o f

a r r a n g e m e n t i s t h e b e t t e r o f th e tw o, S c h e l l e n b e r g d i d c o v e r a l l

of the same g r o u n d and e v e n added more d e t a i l e d i n f o r m a t i o n .

Taken as a w h o l e , S c h e l l e n b e r g ' s v i e w s on th e a r r a n g e m e n t o f

a r c h i v e s a r e a s r e l e v a n t t o d a y a s t h e y were when he f i r s t s t a t e d

them, a nd c o n s i d e r i n g t h e vacuum i n w h i c h the ide as o f

S c h e l l e n b e r g and t h e N a t i o n a l A r c h i v e s were c o n c e i v e d , h i s

w r i t i n g s take on an e v e n g r e a t e r p r e s t i g e .

I t w o u l d be u n f a i r t o examine t h e v i e w s o f S c h e l l e n b e r g on

t h e s u b j e c t o f a r r a n g e m e n t w i t h o u t c o n s i d e r i n g h i s comments w i t h

r e g a r d t o m a n u s c r i p t c o l l e c t i o n s . As m e n t i o n e d i n t h e f i r s t

c h a p t e r , m a n u s c r i p t c o l l e c t i o n s i n t h e U n i t e d S t a t e s were

u s u a l l y h e l d b y l i b r a r i e s and h i s t o r i c a l s o c i e t i e s and were o f t e n

a r r a n g e d a nd d e s c r i b e d a c c o r d i n g t o l i b r a r y s u b j e c t c l a s s i f i -

c a t i o n r u l e s . G r a d u a l l y , however, m a n u s c r i p t c u r a t o r s became

aware t h a t some a r c h i v a l p r i n c i p l e s a nd t e c h n i q u e s c o u l d be

a p p l i e d t o t h e i r s i t u a t i o n . When S o l o n J . B u c k ^ l e f t t he N a t i o n a l

A r c h i v e s i n 1 94 8, he went t o work f o r t h e m a n u s c r i p t d i v i s i o n o f

t h e L i b r a r y o f C o n g r e s s and b r o u g h t w i t h h i m i d e a s f o r m u l a t e d i n

51a r c h i v a l p r a c t i c e . As L e s t e r J . Cappon p u t i t i n an a r t i c l e

p u b l i s h e d i n 1 95 6, "numerous b o d i e s o f h i s t o r i c a l m a n u s c r i p t s a r e

5 2

r e a l l y a r c h i v a l r e c o r d s under an assumed name." However, i t

was l e f t t o S c h e l l e n b e r g t o draw a l l t he p i e c e s t o g e t he r . A f t e r

Management o f A r c h i v e s was p u b l i s h e d i n 1 96 5, S c h e l l e n b e r g was

h a i l e d as "the f o r e m o s t a d v o c a t e of the a p p l i c a b i l i t y o f

5 3a r c h i v a l methods t o m a n u s c r i p t s . " I n t h e p r e f a c e t o t h i s



i m p o r t a n t work he w r o t e : "the p r i n c i p l e s and t e c h n i q u e s now

a p p l i e d t o p u b l i c r e co r d s may be a p p l i e d a l s o , w i t h some modi

f i c a t i o n , t o p r i v a t e r e c o r d s , e s p e c i a l l y t o p r i v a t e m a n u s c r i p t

m a t e r i a l o f r e c e n t o r i g i n , much of w h i c h has th e o r g a n i c c h a r a c t e r

5 4o f a r c h i v a l m a t e r i a l . " In p a r t i c u l a r he s t a t e d t h a t a r c h i v i s t s

"should observe t h e p r i n c i p l e o f p r o v e n a n c e i n a r r a n g i ng a l l

55

o r g a n i c r e c o r d s r e g a r d l e s s o f t h e i r o r i g i n . "

S c h e l le n b e r g d i s t i n g u i s h e d h e l p f u l l y between t h r e e t y p e s o f

c o l l e c t i o n s . F i r s t , t h e r e a r e s o - c a l l e d o r g a n i c c o l l e c t i o n s , o r

t h o s e w h i c h a re most s i m i l a r t o a r c h i v a l groups. A r t i f i c i a l

c o l l e c t i o n s c o n s i s t o f p a p e r s t h a t a r e " b r o u g h t t o g e t h e r by

c o l l e c t o r s . . . a f t e r th e a c t i o n s t o w h i c h they r e l a t e have o c c u r r e d ,

n o t c o n c u r r e n t l y , and t h a t a r e d e r i v e d from many s o u r c e s , n o t a

s i n g l e s o u r c e . " C o l l e c t i o n s o f m i s c e l l a n y are c r e a t e d by th e

m a n u s c r i p t c u r a t o r s t h e m s e l v e s and i n c l u d e " s i n g l e re co rd items

o r s m a l l groups o f r e c o r d i t e m s , a c q u i r e d from v a r i o u s s o u r c e s ,

t h a t a r e formed i n t o a c o l l e c t i o n i n a m an u sc r ip t r e p o s i t o r y . " " ^

U n f o r t u n a t e l y , d e s p i t e s u c h d i s t i n c t i o n s as t h e s e , t h e r e s t i l l

e x i s t s no w i d e s p r e a d common usage o f t e r m i n o l o g y t o s p e c i f y

the d i f f e r e n t t y p e s o f m a n u s c r i p t c o l l e c t i o n s o f p r i v a t e o r i g i n .

With regard t o the a r r a n g e m e n t o f c o l l e c t i o n s , S c h e l l e n b e r g

d e p l o r e d b o t h a r r a n g e m e n t by s u b j e c t c l a s s i f i c a t i o n o r arrangement

i n a l p h a b e t i c a l o r de r by t i t l e o f c o l l e c t i o n , b o t h o f w h i c h had

been commonly u s e d i n t h e U n i t e d S t a t e s . He m a i n t a i n e d t h a t ,

l i k e a r c h i v a l groups, e a c h c o l l e c t i o n s h o u l d be m a i n t a i n e d "as a

s e p a r a t e and i n t e g r a l u n i t , " b u t , u n l i k e a r c h i v a l groups,

c o l l e c t i o n s s h o u l d be s h e l v e d " i n t h e o r d e r i n w h i c h t h e y ar e

5 7

a c c e s s i o n e d . " R e g a r d i n g t h i s l a s t comment, i t m i g h t be

wondered why S c h e l l e n b e r g d i d n o t a p p l y t h i s r u l e t o r e c o r d



groups as w e l l . But the p r e v a l e n t a t t i t u d e was t h a t no s p e c i a l

r e l a t i o n s h i p e x i s t s between c o l l e c t i o n s , w h i c h come from v a r i o u s

s o u r c e s , w h i l e a s p e c i a l r e l a t i o n s h i p does e x i s t between r e c o r d

g r o u p s , a l l o f w h i c h have a common s o u r c e , n a m e l y , a government.

T h e r e f o r e , th e p h y s i c a l a r r a n g e m e n t of c o l l e c t i o n s n e e d n ot be

as c a r e f u l l y e x e c u t e d as the a r r a n g e m e n t o f r e c o r d groups.

S e r i e s c o u l d e a s i l y be e s t a b l i s h e d and a r r a n g e d i n o r g a n i c

c o l l e c t i o n s as they ar e i n a r c h i v a l g r o u p s . U n l e s s s e r i e s had

a l r e a d y been e s t a b l i s h e d i n a r t i f i c i a l and m i s c e l l a n e o u s

c o l l e c t i o n s , however, the a r c h i v i s t " s h o u l d keep a l l i t e m s i n

5 8

such a c o l l e c t i o n as a s i n g l e s e r i e s . " The a r r a n g e m e n t o f

r e c o r d i t e m s was c o n s i d e r e d s e p a r a t e l y f o r e a c h type of

c o l l e c t i o n . For o r g a n i c c o l l e c t i o n s i t was, once a g a i n , a matter

o f d i r e c t l y a p p l y i n g a r c h i v a l p r i n c i p l e s and t e c h n i q u e s . For

a r t i f i c i a l c o l l e c t i o n s the o r i g i n a l o r d e r was to be p r e f e r r e d

whenever p o s s i b l e , w i t h a l t e r n a t e a r r a n g e m e n t s to be c h r o n o

l o g i c a l or a l p h a b e t i c a l , d e p e n d i n g on the n a t u r e of th e

m a t e r i a l s . Items w i t h i n c o l l e c t i o n s o f m i s c e l l a n y , b e c a u s e they

a r e o f t e n n ot d i r e c t l y r e l a t e d t o e a c h o t h e r and us u a l l y are not

w e l l a r r a n g e d o r i g i n a l l y , a re to be a r r a n g e d i n simple num er ic al

59

o r d e r w i t h an a c c o m p a n y i n g i n d e x o r c a t a l o g .

I n 1966 two o t h e r i m p o r t a n t books were p u b l i s h e d on th e

s u b j e c t of the c a r e o f m a n u s c r i p t c o l l e c t i o n s , R u t h B. Bordin's

and R o b e r t M. Warner's The Modern M a n u s c r i p t L i b r a r y , a nd

L u c i l e M . Kane's A Guide to the C a r e and A d m i n i s t r a t i o n o f -

6 0

M a n u s c r i p t s . B o t h works a re s t r a i g h t f o r w a r d , p r a c t i c a l , and

e m p h a s i z e the i m p o r t a n c e of k e e p i n g c o l l e c t i o n s i n t a c t and o f

a v o i d i n g s u b j e c t c l a s s i f i c a t i o n i n t h e i r a r r a n g e m e n t . Of the

two, Kane's Guide i s t he s u p e r i o r . Kane seems t o have a fi rm er



grasp of the p r i n c i p l e o f p r o v e n a n c e and does no t o v e r e m p h a s i z e

t h e m e r i t s o f c h r o n o l o g i c a l a r r a n g e m e n t , as do B o r d i n and

Warner. When c o n s i d e r i n g o n l y th e p r a c t i c a l mat ter s of run nin g

a r e p o s i t o r y , Kane's w e l l pres en te d, st ep by step a p p r o a c h i s

even b e t t e r t h a n S c h e l l e n b e r g ' s Management o f A r c h i v e s .

S c h e l l e n b e r g ' s d i s c u s s i o n o f t he a r r a n g e m e n t and d e s c r i p t i o n o f

m a n u s c r i p t c o l l e c t i o n s i s o f t e n overshadowed by h i s len gt hy

c o m m e n t a r i e s on the h i s t o r y , d e v e l o p m e n t , and re le va nc e of

a r c h i v a l th eo ry and p r a c t i c e . Th is acco unt of the a d a p t a b i l i t y

o f a r c h i v a l p r i n c i p l e s and te ch ni qu es to the car e of ma nus cr ip ts

was h i s most i m p o r t an t c o n t r i b u t i o n t o t he l a t t e r d i s c i p l i n e .

For the most p a r t , however, S c h e l l e n b e r g ' s a r e a o f e x p e r t i s e

a l w a y s r e m a i n e d the f i e l d o f p u b l i c a r c h i v e s .

The s ub je ct of the d e s c r i p t i o n o f a r c h i v e s h as a l r e a d y been

touched upon. I t has been n o t e d t h a t d e s c r i p t i o n f o l l o w s

n a t u r a l l y from a r r a n g e m e n t and t h a t the be st example of the cl o s e

r e l a t i o n s h i p between the two a c t i v i t i e s i s t h e a r c h i v a l

i n v e n t o r y . D e s c r i p t i o n s e r v e s t he needs of both the a r c h i v i s t

and the re se ar ch er . Sc he ll en be rg was a l w a y s v e r y aware of th e

i m p o r t a n t r o l e of the a r c h i v i s t i n the d e s c r i p t i o n of h i s

i n s t i t u t i o n ' s h o l d i n g s . He ob ser ved : "The s e r v i c i n g a c t i v i t y

i s d o u b t l e s s t h e most i m p or t a nt o f a l l a c t i v i t i e s p e r f o r m e d by

an a r c h i v i s t . I t means f u r n i s h i n g a r c h i v e s , r e p r o d u c t i o n s o f

a r c h i v e s , o r i n f o r m a t i o n from o r a b o u t a r c h i v e s t o t h e government

and the p u b l i c . " ^ 1

A c c o r d i n g t o S c h e l l e n b e r g , d e s c r i p t i o n i n v o l v e d two a c t i o n s :

"the f i r s t i s t o i d e n t i f y t h e r e c o r d u n i t t h a t i s t o be

d e s c r i b e d , and the s e c o n d i s t o enumerate i t s e s s e n t i a l q u a l i t i e s

62o r a t t r i b u t e s . " Reg ard ing the e n u m e r a t i o n o f e s s e n t i a l



q u a l i t i e s , he d i f f e r e n t i a t e d between s t r u c t u r a l , o r p h y s i c a l ,

6 3

a t t r i b u t e s and s u b s t a n t i v e a t t r i b u t e s . The same a t t r i b u t e s

w o u l d be c o n s i d e r e d r e g a r d l e s s of the r e c o r d u n i t b e i n g

d e s c r i b e d , f r o m t he r e c o r d group o r m a n u s c r i p t c o l l e c t i o n a l l

t h e way down t o t he i n d i v i d u a l document.

S t r u c t u r a l c h a r a c t e r i s t i c s encompassed r e c o r d t y p e ,

c o m p o s i t i o n , v o l u m e , and form. Recor d t y p e , i n t u r n , was broken

down i n t o g e n e r a l and s p e c i f i c . G e n e r a l t y p e s i n c l u d e d r e c o r d s ,

o r " m a t e r i a l p r o d u c e d by c o r p o r a t e b o d i e s o r government

a g e n c i e s , " p a p e r s , t h a t i s " m a t e r i a l p r o d u c e d by p e r s o n s , " and

m a n u s c r i p t s , o r "the u n p r i n t e d v e r s i o n o f a book o r an extended

w r i t i n g , such as memoir, a u t o b i o g r a p h y , e s s a y , sermon, o r a t i o n ,

o r t he l i k e . " S p e c i f i c r e c o r d t y pe s i n c l u d e d l e t t e r s , r e p o r t s ,

d i a r i e s , an d so on . The term " c o m p o s i t i o n " was u s e d " t o r e f e r

t o t h e way r e c o r d s were b r o u g h t t o g e t h e r when t h e y were

o r i g i n a l l y c r e a t e d o r a c c u m u l a t e d . They may have been brought

t o g e t h e r i n t o v o l u m e s , f i l e u n i t s , and f i l e s . " S c h e l l e n b e r g

added t h a t i n f o r m a t i o n on c o m p o s i t i o n was i m p o r t a n t i n

d e s c r i p t i o n " o n l y i n s p e c i a l c i r c u m s t a n c e s . " R e c o r d volume has

an o b v i o u s meaning. By r e c o r d form, S c h e l l e n b e r g meant whether

t h e r e c o r d s were o r i g i n a l s o r r e p r o d u c t i o n s . ^ 4

S u b s t a n t i v e a t t r i b u t e s i n c l u d e d t h e p r o v e n a n c e o f th e

r e c o r d s , t h e i r f u n c t i o n a l o r i g i n s , t h e t i m e and p l a c e o f t h e i r

p r o d u c t i o n , and th e s u b j e c t m a t t e r w i t h w h i c h t h e y d e a l . Time

a n d p l a c e o f p r o d u c t i o n a re o b v i o u s , and s u b j e c t m a t t e r w i l l be

d i s c u s s e d b e l o w a lo n g w i t h c a t a l o g i n g and i n d e x i n g . Regarding

p r o v e n a n c e , S c h e l l e n b e r g n o t e d t h a t "a c e r t a i n amount o f

m e a n i n g f u l i n f o r m a t i o n " ca n be p r o v i d e d a b o u t r e c o r d s , papers,

a nd m a n u s c r i p t s s i m p l y by i d e n t i f y i n g t he agency o r i n d i v i d u a l



t h a t c r e a t e d them. He a d d e d : "The more p r e c i s e the i n f o r m a t i o n

on t h e i r p r o d u c e r , t he more p r e c i s e i s t h e i n f o r m a t i o n on t h e i r

4. 4. ..65c o n t e n t .

E a r l i e r i n t h i s c h a p te r i t was n o t e d t h a t S c h e l l e n b e r g

p r e f e r r e d t h e c l a s s i f i c a t i o n o f r e c o r d s by f u n c t i o n r a t h e r than

by l i b r a r y s t y l e d c l a s s i f i c a t i o n l i s t s . He had the same view w i t h

r e g a r d to th e d e s c r i p t i o n o f a r c h i v e s . He w r o t e : "the s u b j e c t

m a t t e r o f r e c o r d s can a c t u a l l y be r e v e a l e d much more c l e a r l y by

t a k i n g a f u n c t i o n a l , r a t h e r t h a n a s u b j e c t , a p p r o a c h i n a n a l y z i n g

t h e i r c o n t e n t . " I n d e s c r i b i n g the f u n c t i o n a l o r i g i n s o f a r e c o r d

u n i t , t he a r c h i v i s t w o u l d enumerate "the a c t i v i t i e s o r

t r a n s a c t i o n s t h a t r e s u l t e d i n i t s p r o d u c t i o n . " I n d e e d , th e

p r o p e r c l a s s i f i c a t i o n o f c u r r e n t r e c o r d s w o u l d g r e a t l y f a c i l i t a t e

t h e i r s u b s e q u e n t a r r a n g e m e n t and d e s c r i p t i o n i n a r c h i v a l

i n s t i t u t i o n s .

I n t h e p r a c t i c a l a p p l i c a t i o n of t he se a t t r i b u t e s t o th e

d e s c r i p t i o n o f a r c h i v a l g r o u p s and m a n u s c r i p t c o l l e c t i o n s ,

S c h e l l e n b e r g f o l l o w e d two s e p a r a t e a p p r o a c h e s . F o r p u b l i c

r e c o r d s the b e s t means o f e n u m e r a t i n g th e s u b s t a n t i v e and

s t r u c t u r a l c h a r a c t e r i s t i c s was i n th e form of the i n v e n t o r y , and

such a p r a c t i c e c o u l d a l s o be a p p l i e d t o m a n u s c r i p t c o l l e c t i o n s

o f an o r g a n i c n a t u r e . T h i s t r a d i t i o n a l means o f d e s c r i p t i o n has

been d i s c u s s e d a l r e a d y i n t h i s c h a p t e r .

F o r a l l m a n u s c r i p t c o l l e c t i o n s , S c h e l l e n b e r g a l s o advocated

t h e use o f t h e c a r d c a t a l o g i n w h i c h t h e t i t l e o f the i n d i v i d u a l

c o l l e c t i o n c o n s t i t u t e d the main e n t r y . The c a r d s t h e m s e l v e s

w o u l d t h e n be a r r a n g e d by s u b j e c t s , b o t h p e r s o n a l and t o p i c a l ,

and by c h r o n o l o g i c a l p e r i o d s and g e o g r a p h i c a l a r e a s . I t must be

p o i n t e d o u t t h a t S c h e l l e n b e r g r i g h t l y f e l t t h a t c a t a l o g s and



i n v e n t o r i e s were p e r f e c t l y c a p ab l e o f c o e x i s t i n g . The use o f

one d i d no t ex cl ud e the use of the o t h e r . I t was si mp ly a

m a t t e r o f p r a c t i c a l i t y and need. A s p e c i a l r e l a t i o n s h i p e x i s t s

between r e c o r d g roups becau se t h e i r o r i g i n s ar e from the same

body, w h i l e f o r m a n u s c r i p t c o l l e c t i o n s a r t i f i c i a l r e l a t i o n s h i p s

had t o be e s t a b l i s h e d t h r o u g h t h e c r e a t i o n o f a c a t a l o g .

S c h e l l e n b e r g a l s o n o t e d t h a t t h e number o f c o l l e c t i o n s i n

m a n u s c r i p t r e p o s i t o r i e s i s u s u a l l y much g r e a t e r than th e number

o f r e c o r d g r o u p s i n a r c h i v a l i n s t i t u t i o n s , a nd s o c a t a l o g i n g i s

6 7

needed t o keep th e numerous c o l l e c t i o n s u n d e r c o n t r o l . The

i m p o r t a n c e of c a t a l o g i n g m a n u s c r i p t c o l l e c t i o n s co nt in ue s to be

re c og n iz ed , and the use of the a r c h i v a l - s t y l e d i n v e n t o r y f o r

e a c h c o l l e c t i o n i s a l s o becoming more common i n m a n u s c r i p t

r e p o s i t o r i e s .

S c h e l l e n b e r g was e s p e c i a l l y s e n s i t i v e a b o u t the d i s t i n c t i o n

between c a t a l o g s and i n d e x e s . I n h i s - d i a r y he vehemently

c r i t i c i z e d A r c h i v i s t G r o v e r , c o m p l a i n i n g t h a t "he does n o t know

6 8t h e d i f f e r e n c e between an in dex and a c a t a l o g . " In Managemento f A r c h i v e s he w r o t e :

I n d e x e s a r e d e s i g n e d m e r e l y to p o i n t the way to s ub je ctc o n t e n t , t o i n d i c a t e where i n f o r m a t i o n o n s u b j e c t s maybe found i n r e c o r d s . They are not de sig ned to de sc ri ber e c o r d s , as a r e c a t a l o g s , b u t o n l y t o i d e n t i f y them i nr e l a t i o n t o s u b j e c t s . Indexes are t h u s l o c a t i n g med ia;

c a t a l o g s a r e d e s c r i p t i v e m e d i a , though t h e y t o o , o b v i o u s l y ,may be used t o l o c a t e i n f o r m a t i o n . 6 9

The a d v a n t a g e s o f i n d e x e s a r e t h a t , s i n c e r e c o r d s a r e o n l y

i d e n t i f i e d i n them and not d es cr ib e d, " they can be prep ared more

e a s i l y t h a n can ot he r typ es of f i n d i n g a i d s , " a nd t h e r e f o r e t h e y

are the be st means o f p r o v i d i n g i n f o r m a t i o n on th e s u b j e c t

c o n t e n t o f r e c o r d u n i t s , i n c l u d i n g i n d i v i d u a l items, but only

70when s u c h d e t a i l e d d e s c r i p t i o n i s r e q u i r e d .



A m a j o r c o n t r o v e r s y a r i s e s o v e r the qu es ti on of the

h e a d i n g s to be used i n t h e c a t a l o g s a nd i n d e x e s . S c h e l l e n b e r g

p r e f e r r e d a s y s t e m w h i c h made use o f h e a d i n g s b a s e d on broad

s u b j e c t s a nd p e r s o n a l a nd c o r p o r a t e names i n c o m b i n a t i o n w i t h

c h r o n o l o g i c a l and g e o g r a p h i c a l c o n s i d e r a t i o n s . R e g a r d i n g the

s e l e c t i o n o f s u b j e c t h e a d i n g s , i t ha s been m e n t i o n e d t h a t

S c h e l l e n b e r g p r e f e r r e d t he f u n c t i o n a l a n a l y s i s o f r e c o r d s r a t h e

than t h e s u b j e c t a n a l y s i s . T h i s was n o t a p o i n t o f c o n t e n t i o n

f o r most a r c h i v i s t s , t h o u g h h i s su pp or t f o r the use of broad

s u b j e c t h e a d i n g s as opposed t o more d e t a i l e d h e a d i n g s was

71

h i g h l y c r i t i c i z e d . I n an a t t e m p t t o u n d e r s t a n d t h e r e a s o n f o

S c h e l l e n b e r g 1 s s ta nd on t h i s m a t t e r , R i c h a r d B e r n e r made the

f o l l o w i n g o b s e r v a t i o n i n a l e t t e r t o h i s f o r m e r t e a c h e r : " I f e

t h a t ou r b a s i s o f d i f f e r e n c e l i e s i n t h e f a c t that my emphasis

i s upon l o c a l o r o n - s i t e b i b l i o g r a p h i c a l c o n t r o l , w h i l e you are

72

c o n c e r n e d w i t h n a t i o n a l media f o r c o v e r a g e . " U n f o r t u n a t e l y ,

i f S c h e l l e n b e r g commented on t h i s o b s e r v a t i o n , h i s r e s p o n s e i s

n ot a v a i l a b l e . However, B e r n e r ' s r e a s o n i n g seems to be v a l i d .

G i v e n S c h e l l e n b e r g 1 s c a r e e r a t a l a r g e n a t i o n a l i n s t i t u t i o n , i t

i s o n l y n a t u r a l t h a t h e s h o u l d be c o n c e r n e d w i t h t h e b r o a d e r

o u t l o o k o f s u b j e c t a c c e s s .

T h i s i s s u e r e m a i n s one o f t h e g r e a t e s t c h a l l e n g e s f a c i n g

p r e s e n t d a y a r c h i v i s t s . R i c h a r d B e r n e r has w r i t t e n e x t e n s i v e l y

a b o u t one s y s t e m t h a t h a s been d e v e l o p e d to de al w i t h the

p r o b l e m o f s u b j e c t a c c e s s . He m a i n t a i n s t h a t c a t a l o g i n g a nd

i n d e x i n g b a s e d upon an a n a l y s i s o f t he r e c o r d s t h e m s e l v e s

r e q u i r e s t o o much work. He f a v o u r s a s u b j e c t i n d e x t h a t

d i r e c t s t h e r e s e a r c h e r s n o t t o t h e r e c o r d s t h e m s e l v e s , bu t t o

t h e i n v e n t o r y f o r t h a t p a r t i c u l a r body o f r e c o r d s . I n t h i s



i n t e g r a t e d s y s t e m , t h e n , i t i s t h e i n v e n t o r y t h a t i s b e i n g

7 3

indexe d and not the a c t u a l re co rd s. Th is method i s g a i n i n g i n

p o p u l a r i t y i n the a r c h i v a l w o r l d . S c h e l l e n b e r g n e v e r conceived

of such a s y s t e m as he a l w a y s s t a t e d t h a t i n d e x es w o u l d p o i n t

t h e r e s e a r c h e r d i r e c t l y to the re co rd s. However, S c h e l l e n b e r g 1 s

p o p u l a r i z a t i o n o f f u n c t i o n a l a n a l y s i s c a n be s e e n as a fo re ru nn er

t o B e r ne r ' s i n t e g r a t e d s y s t e m i n th at both Sc he ll en be rg and

Berner took f u l l advantage o f a r c h i v a l p r i n c i p l e s as opposed t o

l i b r a r y methods. F o r S c h e l l e n b e r g t h e f u n c t i o n a l approach

r e c o g n i z e d t h e u n i q u e nat ure of a r c h i v a l m a t e r i a l s , t h a t i s , t h a t

r e c o r d s were drawn up i n r e l a t i o n t o f u n c t i o n s and not i n

r e l a t i o n t o s u b j e c t s , w h i l e B e r ne r ' s i n t e g r a t e d s y s t e m i s f i r m l y

r o o t e d i n p r o v e n a n c e .

Any d i s c u s s i o n o f d e s c r i p t i o n u s u a l l y l e a d s t o a d i s c u s s i o n

o f s t a n d a r d i z a t i o n . Wi t h r e g a r d t o t h e s t a n d a r d i z a t i o n o f

d e s c r i p t i v e p r a c t i c e s , a l l f a c t o r s i n d i c a t e t h a t t h e r e i s s t i l l

a l o n g way t o go i n t h i s mat te r. A re ce nt stud y under taken i n

Canada shows t h a t most r e p o s i t o r i e s do not make use o f in -h ou se

74

c o n t r o l s i n t he c r e a t i o n o f t h e i r f i n d i n g a i d s . What, then,

o f S c h e l l e n b e r g 1 s p r e d i c t i o n t h a t a r c h i v a l p r i n c i p l e s and

75

techniques "can, and w i l l , be s t a n d a r d i z e d " ? Agreement on

s p e c i f i c d e s c r i p t i v e q u e s t i o n s , s u c h as t h e s t a n d a r d i z e d e n t r y

o f d e s c r i p t i v e e lements, i s p a r t of the d i s t a n t f u t u r e .

C o m p u t e r i z a t i o n w i l l n o t n e c e s s a r i l y a i d s t a n d a r d i z a t i o n a t t h i s

l e v e l s i n c e v a r i o u s h a r d w a r e and so ft wa re w i l l be used from one

i n s t i t u t i o n to th e n e x t . On a more g e n e r a l l e v e l , however, such

as the st an da rd iz ed use of ter min olo gy i n the naming o f f i n d i n g

a i d s and, perhaps, agreement on the be s t o v e r a l l d e s c r i p t i v e

p l a n f o r an i n s t i t u t i o n , s t e p s t o w a r d s s t a n d a r d i z a t i o n a re more





58

CHAPTER IV

IDEAS ON APPRAISAL

A r c h i v a l a p p r a i s a l i s t h e p r o c e s s o f e v a l u a t i n g r e c o r d s i n

order to decide w h i c h records warrant permanent p r e s e r v a t i o n i n

an a r c h i v a l i n s t i t u t i o n . The c o r o l l a r y o f t h i s state ment i s

t h a t those re co rd s not chosen f o r permanent p r e s e r v a t i o n a re t o

be d e s t r o y e d — e i t h e r i m m ed i a te l y o r a f t e r t e m p o r a r y r e t e n t i o n ,

u s u a l l y i n a reco rds cent er . Thus, the ex ec u ti o n of the

a p p r a i s a l f u n c t i o n r e p r e s e n t s a v e r y s e r i o u s r e s p o n s i b i l i t y for

a r c h i v i s t s .

As noted e a r l i e r , the f i r s t t im e t h a t a p p r a i s a l work was

conducted by a r c h i v i s t s on a la r ge s c a l e was at the N a t i o n a l

Arc hi ve s i n the 1930s.^ Through i t s c o n t in u e d e f f o r t s to deal

w i t h the p r o b l e m of record v o l u m e , t he N a t i o n a l A r c h i v e s soon

became rec og ni ze d as a wo rl d a r c h i v a l le ad er , and, more than

any other i n d i v i d u a l A m e r i c a n a r c h i v i s t , T.R. Sc he ll en be rg

p o p u l a r i z e d the a r c h i v i s t ' s new r o l e i n r e c o r d s a p p r a i s a l . I t

i s u s e f u l , then , to loo k at Sc he ll en be rg 's defense of the

a r c h i v i s t ' s involvement i n a p p r a i s a l , i n c l u d i n g an exa min ati on

o f h i s d e f i n i t i o n of ar c h iv e s and o f the r e l a t i o n s h i p between

a p p r a i s a l and records management; examine h i s st ud y, The

A p p r a i s a l o f Modern P u b l i c Records, i n w h i c h h i s a c t u a l a p p r a i s a l

g u i d e l i n e s are set f o r t h ; and, f i n a l l y , p l a c e h i s v i e w s i n the

context of the recent d e v e l o p m e n t s i n r e c o r d s a p p r a i s a l .

In order to ap pr ec ia te the n e e d fo r Sc he ll en be rg to defend

the a r c h i v i s t ' s a p p r a i s a l work, i t i s n e c e s s a r y t o r e f l e c t on



the E u r o p e a n a r c h i v a l s i t u a t i o n p r i o r t o th e 19 30s. In M u l l e r ,

F e i t h , and F r u i n ' s Manual f o r the A r r a n g e m e n t and D e s c r i p t i o n

o f A r c h i v e s , the s u b j e c t o f a p p r a i s a l i s n o t even d i s c u s s e d ,

n o t — a s the t i t l e seems t o s u g g e s t — b e c a u s e the a u t h o r s wished

t o c o n s i d e r o n l y a r r a n g e m e n t and d e s c r i p t i o n , b u t s i m p l y because2

a p p r a i s a l was no t an i m p o r t a n t i s s u e a t t h a t t i m e . The

p r e v a l e n t a t t i t u d e was t h a t an a r c h i v a l i n s t i t u t i o n should

p r e s e r v e the e n t i r e d o c u m e n t a t i o n o f an a d m i n i s t r a t i v e body,

though i t was u n d e r s t o o d t h a t an agency would d e s t r o y a p o r t i o n

o f i t s r e c o r ds t h r o u g h the r e g u l a r e x e c u t i o n o f i t s b u s i n e s s .

T h i s was a r e a l i s t i c a p p r o a c h t o a r c h i v a l management a t a time

when r e c o r d volume was r e l a t i v e l y s m a l l . In th e t w e n t i e t h

c e n t u r y , however, the g r o w t h o f governments and th e development

o f new t e c h n o l o g i e s l e d to the d r a s t i c i n c r e a s e i n the volume

o f government r e c o r d s . I t soon became a p p a r e n t t h a t a g r e a t e r

p o r t i o n o f the d o c u m e n t a t i o n had to be d e s t r o y e d . Some

European a r c h i v i s t s , p a r t i c u l a r l y H.O. M e i s s n e r o f P r u s s i a and

Gustaw K a l e n s k i o f P o l a n d , p u b l i s h e d a r t i c l e s d e a l i n g w i t h the

new s u b j e c t of a p p r a i s a l , b u t t h e i r work d i d not i m m e d i a t e l y

become w e l l known o u t s i d e t h e i r r e s p e c t i v e c o u n t r i e s . " ^

In E n g l a n d , S i r H i l a r y J e n k i n s o n was a d a m a n t l y opposed t o

the a r c h i v i s t ' s i n v o l v e m e n t i n a p p r a i s a l . A c c or d i ng to

J e n k i n s o n , a r c h i v e s i n c l u d e d , by d e f i n i t i o n , a l l documen tary

m a t e r i a l s "drawn up o r used i n the c o u r s e o f an a d m i n i s t r a t i v e

o r e x e c u t i v e t r a n s a c t i o n " and " s u b s e q u e n t l y p r e s e r v e d i n t h e i r

own c u s t o d y f o r t h e i r own i n f o r m a t i o n by th e p e r s o n o r persons

r e s p o n s i b l e f o r t h a t t r a n s a c t i o n and t h e i r l e g i t i m a t e

s u c c e s s o r s . " The i m p e t u s f o r p r e s e r v a t i o n was t o r e s t w i t h the

a d m i n i s t r a t o r , and any a p p r a i s a l c a r r i e d ou t by a r c h i v i s t s wou ld



60

des tro y the very i n t e g r i t y of the a r c h i v e s . Th is was the

p r e d o m i n a n t p o i n t o f view among most E n g l i s h a r c h i v i s t s f o r t he

f i r s t h a l f o f t h i s c e n t u r y .

S c h e l l e n b e r g was s h a r p l y c r i t i c a l of J e n k i n s o n ' s views on

a p p r a i s a l . 5 He r e a l i z e d t h a t the v er y d i f f e r e n t a r c h i v a l

s i t u a t i o n i n t h e U n i t e d S t a t e s meant t h a t a d i f f e r e n t approach

w o u l d have to be t a k e n t o w a r d s the a p p r a i s a l i s s u e . As he put

A m e r i c a n a r c h i v i s t s are c o n c e r n e d wi th an o v e r w h e l m i n g masso f d o c u m e n t a t i o n . They must reduce t h i s mass t o make i tu s a b l e . They r e a l i z e th at not a l l rec ord s can be pre ser ved ,

t h a t some

o f them have

to be de st ro ye d, and th a t ad i s c r i m i n a t i n g d e s t r u c t i o n o f a p o r t i o n o f them i s i n f a c ta s e r v i c e t o s c h o l a r s h i p . They know t h a t a c a r e f u ls e l e c t i o n of the d o c u m e n t a t i o n p r o d u c e d by a modern

government i s n e c e s s a r y i f they are not to g l u t t h e i r

s t a c k s w i t h i n s i g n i f i c a n t m a t e r i a l s t h a t w i l l l i t e r a l l y

submerge t h o s e t h a t a r e v a l u a b l e . A m e r i c a n a r c h i v i s t sb e l i e v e t h a t t h i s s e l e c t i o n s h o u l d be made by t h o s e most

c o g n i z a n t o f t he i n t e r e s t s o f s c h o l a r s h i p , namely thea r c h i v i s t s who a re f a m i l i a r w i t h r e s e a r c h i n t e r e s t s andr e s e a r c h n e e d s . . . . A m e r i c a n a r c h i v i s t s , i n t h e i r concernw i t h t he s e l e c t i o n o f documents, have g i v e n more t h o u g h t t o

a p p r a i s a l s t a n d a r d s than have t h e i r E u r o p e a n

c o l l e a g u e s ;and i n t h i s r e s p e c t I b e l i e v e they have s o m e t h i n g w o r t h w h i l e t o c o n t r i b u t e t o a r c h i v a l t h i n k i n g . 6

T h i s was n o t a t h e o r e t i c a l c o n s i d e r a t i o n , b u t r a t h e r a

m a t t e r o f p r a c t i c a l r e s p o n s e t o a v e r y p r e s s i n g need. J u s t as

S c h e l l e n b e r g h a d a d v o c a t e d t h a t t he p r i n c i p l e o f o r i g i n a l order

n e e d not be o b s e r v e d i n e v e r y c i r c u m s t a n c e i n the arrangement o f

a r c h i v e s , h e s i m i l a r l y c h a l l e n g e d t h e t r a d i t i o n t h a t a r c h i v i s t s

s h o u l d n ot be i n v o l v e d i n a p p r a i s a l .

I f a r c h i v i s t s were to work a s r e c o r d s a p p r a i s e r s , then

d e f i n i t i o n s o f a r c h i v e s s u c h as the one o f f e r e d by Jenkinson

could not be a c c e p t e d . S c h e l l e n b e r g c o u n t e r e d by r e f i n i n g t he

d e f i n i t i o n of archives so that the e l e m e n t o f s e l e c t i o n became the

c o r n e r s t o n e . I n Modern A r c h i v e s , he s t a t e d :

...t her e i s no f i n a l o r u l t i m a t e d e f i n i t i o n of the term



" a r c h i v e s " t h a t must be a c c e p t e d w i t h o u t change and i np r e f e r e n c e t o a l l o t h e r s . The d e f i n i t i o n may be m o d i f i e di n e a c h c o u nt r y t o f i t i t s p a r t i c u l a r n e e d s . . . . Themodern a r c h i v i s t , I b e l i e v e , h as a d e f i n i t e need t or e d e f i n e a r c h i v e s i n a manner more s u i t e d to h i s ownr e q u i r e m e n t s . S i n c e t h e m a j o r p r o b l e m of the modern

a r c h i v i s t i s t o s e l e c t a r c h i v e s f o r permanent p r e s e r v a t i o nfrom among the mass o f o f f i c i a l r e c o r d s c r e a t e d b y p u b l i c( o r p r i v a t e ) i n s t i t u t i o n s o f a l l k i n d s , t he e l e m e n t o f 7

s e l e c t i o n s h o u l d b e i m p l i c i t i n t h e d e f i n i t i o n o f a r c h i v e s .

A c c o r d i n g l y , a r c h i v e s were d e f i n e d as t h o s e " r e c o r d s . . . which

a r e a d j u d g e d w o r t h y o f permanent p r e s e r v a t i o n f o r r e f e r e n c e and

r e s e a r c h p u r p o s e s and w h i c h have been d e p o s i t e d o r have been

s e l e c t e d f o r d e p o s i t i n an a r c h i v a l i n s t i t u t i o n . " In t u r n , he

d e f i n e d r e c o r d s as a l l documentary

m a t e r i a l s "made

o r r e c e i v e d

by any p u b l i c o r p r i v a t e i n s t i t u t i o n i n p u r s u a n c e o f i t s l e g a l

o b l i g a t i o n s o r i n c o n n e c t i o n w i t h t he t r a n s a c t i o n o f i t s proper

b u s i n e s s an d p r e s e r v e d o r a p p r o p r i a t e f o r p r e s e r v a t i o n b y t h a t

8

i n s t i t u t i o n o r i t s l e g i t i m a t e s u c c e ss o r . "

T h i s d e f i n i t i o n o f r e c o r d s , w i t h i t s e m p h a s i s on th e n a t u r a l

a c c u m u l a t i o n o f r e c o r d s a nd t h e i r p r e s e r v a t i o n i n o f f i c i a l

c u s t o d y , i s s t r i k i n g l y s i m i l a r t o J e n k i n s o n ' s d e f i n i t i o n o f

a r c h i v e s . I t c an be s t a t e d , t h e r e f o r e , t h a t S c h e l l e n b e r g 1 s

d e f i n i t i o n o f a r c h i v e s i s an e x t e n s i o n o f e a r l i e r d e f i n i t i o n s

t h r o u g h t h e i n c l u s i o n of the s t a t e m e n t on s e l e c t i o n . The

d e f i n i t i o n does n o t s p e c i f y t h a t i t i s t he a r c h i v i s t who must

c a r r y o u t t h i s s e l e c t i o n , b ut n e i t h e r i s i t i m p l i e d t h a t such an

a c t i o n w o u l d be c o n t r a r y t o a r c h i v a l p r i n c i p l e s . While

r e d e f i n i t i o n t o s u i t t he c i r c u m s t a n c e s i s a p r a c t i c e t h a t c o u l d

p r o v e to be very d a n g e r o u s to the s t a b i l i t y o f any p r o f e s s i o n ,

i n t h i s i n s t a n c e S c h e l l e n b e r g ' s r e f i n i n g of the d e f i n i t i o n o f

a r c h i v e s must be seen as a means o f p r o v i d i n g a f i r m i n t e l l e c t u a l

b a s i s f o r a v e r y n e c e s s a r y p r a c t i c e .

As we have s e e n , t he r e c o r d s management p r o f e s s i o n was f i r s t





h a s a l r e a d y been e x a m i n e d d u r i n g the d i s c u s s i o n s of p r o v e n a n c e ,

13

o r i g i n a l o r d e r , and d e s c r i p t i o n . The p o i n t t o be made here

i s t h a t c l a s s i f i c a t i o n — a r e c o r d s management f u n c t i o n — h a s a

d i r e c t l i n k w i t h the d i s p o s i t i o n o f r e c o r d s , w h i c h i n t u r n i s

a f f i l i a t e d w i t h the a r c h i v a l f u n c t i o n o f a p p r a i s a l . Thus

S c h e l l e n b e r g 1 s w r i t i n g s r e v e a l the i m p o r t a n c e o f r e c o g n i z i n g and

a c t i n g upon the i n t e r r e l a t i o n s h i p t h a t e x i s t s not o n l y between

a r c h i v a l and r e c o r d s management f u n c t i o n s b ut a l s o between th e

r e s p e c t i v e a r c h i v a l f u n c t io n s of a r r a n g e m e n t and d e s c r i p t i o n

a n d a p p r a i s a l . The c o o r d i n a t i o n and i n t e g r a t i o n o f a l l r e co r d

k e e p i n g p r a c t i c e s i s the o n l y way o f b r i n g i n g a b o u t e f f i c i e n c y

i n a r c h i v a l i n s t i t u t i o n s .

T h e A p p r a i s a l o f Modern P u b l i c R e c o r d s d e a l s a l m o s t

e x c l u s i v e l y w i t h the c r i t e r i a upon w h i c h a r c h i v i s t s can ba se

t h e i r a p p r a i s a l d e c i s i o n s . Very l i t t l e A m e r i c a n a p p r a i s a l

l i t e r a t u r e p r e c e d e d i t s p u b l i c a t i o n i n 1956. However, i n or der

t o a p p r e c i a t e the i n t e l l e c t u a l c o n t e x t of S c h e l l e n b e r g 's b u l l e t i n

i t i s u s e f u l t o c o n s i d e r two e a r l i e r p u b l i c a t i o n s w r i t t e n by

N a t i o n a l A r c h i v e s s t a f f members. In h i s a r t i c l e , "The S e l e c t i o n

o f R e c o r d s f o r P r e s e r v a t i o n , " p u b l i s h e d i n 1940, P h i l i p C. Brooks

d i s t i n g u i s h e d between the v a l u e of documents f o r the o r i g i n a t i n g

14

agency and t h e i r v a l u e f o r r e s e a r c h p u r p o s e s . D e t e r m i n i n g the

v a l u e o f the f i r s t k i n d was an a d m i n i s t r a t i v e c o n c e r n , o f the

s e c o n d k i n d an a r c h i v a l c o n c e r n . In m a k i n g a p p r a i s a l d e c i s i o n s ,

he e m p h a s i z e d the i m p o r t a n c e of u n d e r s t a n d i n g the h i s t o r y and

f u n c t i o n s o f th e agency and th e r e l a t i o n s h i p between the reco rds

under c o n s i d e r a t i o n and o t h e r a d m i n i s t r a t i v e re c o r d s . He a l s o

s t a t e d t h at a r c h i v i s t s must be aware o f c h a n g e s i n r e s e a r c h

i n t e r e s t and o f th e uses made of r e c o r d s a l r e a d y p r e s e r v e d .



These are v a l i d s u g g e s t i o n s w h i c h w o u l d a i d any a r c h i v i s t i n

a p p r a i s i n g r e c o r d s , b ut t h e y are d i s c u s s e d o n l y summarily by

B r o o k s . I n d e e d , they form o n l y a s m a l l p o r t i o n of the content

o f B r o o k s ' a r t i c l e , w h i c h was c o n c e r n e d p r i m a r i l y w i t h the " l i f e

h i s t o r y " o f a r e c o r d from i t s c r e a t i o n t o i t s e v e n t u a l

d i s p o s i t i o n .

In 1946, th e N a t i o n a l A r c h i v e s i s s u e d t h e S t a f f I n f o r m a t i o n

C i r c u l a r , The A p p r a i s a l o f C u r r e n t and Recent R e c o r d s , by

15

G. P h i l i p B a u e r . A s s e r t i n g t h a t " s t e r n and tr ue cos t

a c c o u n t i n g i s a p r e r e q u i s i t e o f a l l o r d e r l y a p p r a i s a l , " Bauer

c o n c l u d e d t h at i t was n ot th e money s a v i n g r e d u c t i o n o f r e c o r d s

t h a t r e q u i r e d j u s t i f i c a t i o n b u t r a t h e r t h e i r e x p e n s i v e

p r e s e r v a t i o n . He e n v i s i o n e d the e v e n t u a l d e v e l o p m e n t o f r i g i d

a p p r a i s a l c r i t e r i a b a s e d upon f i n a n c i a l c o n s i d e r a t i o n s t h a t would

reduce d r a s t i c a l l y the h o l d i n g s of th e N a t i o n a l A r c h i v e s . Bauer

was c r i t i c i z e d by h i s c o l l e a g u e , Herman Kahn, f o r v i e w i n g

a p p r a i s a l i n "a p u r e l y c o m m e r c i a l l i g h t . " Kahn was f u r t h e r

o p p o s e d t o th e i n t r o d u c t i o n o f s t r i c t a p p r a i s a l g u i d e l i n e s

b e c a u s e "the l a c k o f an e x t r e m e l y r i g i d d e f i n i t i o n o f p o l i c y

makes p o s s i b l e e x p e r i m e n ta t i o n , i n d e p e n d e n t t h o u g h t , c h a n g e — a n d

change means l i f e . " S c h e l l e n b e r g , as t he c h i e f a d m i n i s t r a t o r o f

th e N a t i o n a l A r c h i v e s D i v i s i o n i n the 1950s and as head o f th e

O f f i c e o f R e c o r d s A p p r a i s a l i n the e a r l y 1960s, was w e l l aware

o f the f i n a n c i a l s i d e o f r e co r ds a p p r a i s a l , and so he r e c o g n i z e d

the n e e d f o r p r a c t i c a l a p p r a i s a l g u i d e l i n e s . However, he was

a l s o f a m i l i a r w i t h the need t o a p p r a i s e r e c o r d s w i t h r e s e a r c h

and c u l t u r a l needs i n mind—needs w h i c h are c o n s t a n t l y c h a n g i n g —

and so he r e a l i z e d t h a t a b so l ut e a p p r a i s a l s t a n d a r d s c o u l d never

be r e a l i s t i c a l l y a c h i e v e d .



The A p p r a i s a l o f Modern P u b l i c Records, l i k e most o f

S c h e l l e n b e r g ' s w r i t i n g s , i s r i g i d l y s t r u c t u r e d and r e v e a l s a

great deal of a n a l y t i c a l t h i n k i n g on the p a r t of the au th or .

T h i s i s e s p e c i a l l y app arent i n the c a r e f u l d e v e l o p m e n t o f t he

v a r i o u s type s of va lu e t h at re co rd s may po ss ess , pr oc ee di ng from

the general to the s p e c i f i c . D e f i n i t i o n s of ter min olo gy al so

p l a y an i m p o r t a n t p a r t i n S c h e l l e n b e r g ' s p r e s e n t a t i o n . He began

by d i s t i n g u i s h i n g between the val ue tha t rec ord s m i g h t have " f o r

the o r i g i n a t i n g agency i t s e l f " and t h e i r v a l u e " f o r o t h e r

agenc ies and p r i v a t e us er s. " He c a l l e d these va lu es "pri mary "

16

and "secondary" r e s p e c t i v e l y . T h i s p r e l i m i n a r y d i s t i n c t i o n i s

s i m i l a r t o th e one made by B r o o k s and re p re se n ts no new l i n e of

thought. Sc he ll en be rg then s t a te d , as d i d Brooks, th at

a r c h i v i s t s are conc ern ed on ly w i t h the secon dary v a l u e s , and the

r e s t of the b u l l e t i n i s devoted to a co n s i de r a t io n of thes e.

S e c o n d a r y v a l u e s were f u r t h e r d i v i d e d i n t o two major

c a t e g o r i e s — " e v i d e n t i a l " and " i n f o r m a t i o n a l " v a l u e s . I n o r d e r

t o understand the b u l l e t i n a t a l l , i t i s e s s e n t i a l f i r s t t o

u n d e r s t a n d S c h e l l e n b e r g 1 s d e f i n i t i o n of these terms. E v i d e n t i a l

v a l u e s were de fi ne d as "the val ues t ha t at ta ch to rec ord s

b e c a u s e of the evi denc e they co nt ai n of Q t h e^ o r g a n i z a t i o n and

f u n c t i o n pLngJ " o f the o r i g i n a t i n g agency. He was c a r e f u l to

d i v o r c e t h i s term from a s i m i l a r one used by Je nk in so n to r e f e r

t o "the s a n c t i t y of the evide nce i n ar ch iv es th at i s de ri ve d

from 'unbroken cust ody,' or from th e way th ey came i n t o the

17

hands o f the a r c h i v i s t . " As Sc he ll en be rg ex pl ai ne d: "The

q u a l i t y of th e ev id en ce pe r se i s thu s no t the i s s u e he re , bu t

the ch ar ac te r of the matte r evid ence d." In fo rm at io na l valu es

were de fi ne d as "the value s th at at ta ch to rec ords because o f t he



i n f o r m a t i o n they c o n t a i n " on " p e r s o n s , o r t h i n g s , o r phenomena."

The t e r m " p e r s o n s " r e f e r r e d t o " e i t h e r i n d i v i d u a l s o r c o r p o r a t e

b o d i e s , " t h e t e r m " t h i n g s " to " p l a c e s , b u i l d i n g s , p h y s i c a l

o b j e c t s , an d o t h e r m a t e r i a l t h i n g s , " a nd th e term "phenomena"

r e l a t e d t o "what happens t o e i t h e r p e r s o n s o r t h i n g s — t o

c o n d i t i o n s , p r o b l e m s , a c t i v i t i e s , p r o g r a m s , e v e n t s , e p i s o d e s ,

and the l i k e . " He added t h a t t he s e p a r a t i o n between e v i d e n t i a l

and i n f o r m a t i o n a l v a l u e s was made " s o l e l y f o r p u r p o s e s o f

d i s c u s s i o n . The two t y p e s of va lu es are not mu tu al ly

„18

e x c l u s i v e .

The terms e v i d e n t i a l and i n f o r m a t i o n a l v a l u e s r e p r e s e n t

d i s t i n c t c o n c e p t s t h a t s i m p l i f y the a r c h i v i s t ' s i n t e l l e c t u a l

a p p r o a c h t o a p p r a i s a l . One o f S c h e l l e n b e r g ' s o b s e r v a t i o n s

r e g a r d i n g t h e n a t u r e of the work o f a r r a n g e m e n t and d e s c r i p t i o n

c a n a l s o s e r v e t o i l l u s t r a t e the i m p o r t a n c e o f t h i s simple

d i s t i n c t i o n . I n h i s v i e w , the. . . v e r y p r o c e s s o f a n a l y s i s i s one o f s e p a r a t i n g a n y t h i n g ,w h e t h e r an o b j e c t of the s e n s e s or of the i n t e l l e c t , i n t oi t s p a r t s . By t h i s p r o c e s s i t i s p o s s i b l e t o d i s t i n g u i s he a c h o f t h e p a r t s s e p a r a t e l y , and t o u n d e r s t a n d t h e i r

r e l a t i o n t o e a c h ot h e r and to the whole.19

S c h e l l e n b e r g d e s e r v e s t he c r e d i t f o r p o p u l a r i z i n g these

m e a n i n g f u l terms t h a t have s i n c e become w i d e l y used i n th e

a r c h i v a l p r o f e s s i o n .

He then p r o c e e d e d t o d i s c u s s a t l e n g t h th e p a r t i c u l a r

e l e m e n t s o f e v i d e n t i a l and i n f o r m a t i o n a l v a l u e s . W h i l e the

c o n c e p t o f e v i d e n t i a l v a l u e s may be more d i f f i c u l t t o gr as p tha n

t h a t o f i n f o r m a t i o n a l v a l u e s , t h e a c t u a l a p p l i c a t i o n o f t h e t e s t

o f e v i d e n t i a l v a l u e s i s t h e s i m p l e r o f t h e t wo . As S c h e l l e n b e r g

n o t e d , t h e t e s t

...can be a p p l i e d by a l l a r c h i v i s t s , f o r no a r c h i v i s t i s



l i k e l y to qu es ti on th at evide nce of every agency'so r g a n i z a t i o n a nd f u n c t i o n i n g s h o u l d be p r e s e r v e d .

D i f f e r e n c e s o f judgment w i l l a r i s e only as to the com

p l e t e n e s s w i t h w h i c h such evi den ce sh ou ld be pr es er ve d.

The t e s t of re se ar ch va lu e, on the ot he r hand, b r i n g s t o 2

v i e w records on w h i c h judgments are bound t o d i f f e r w i d e l y .

I n d e c i d i n g upon e v i d e n t i a l va lu es , he s t r e s s e d the importance

of ba si ng such de c i s i o n s on "a knowledge of the e n t i r e documen

t a t i o n of an a g e n c y ; they should not be made on a pi ec em ea l

21

b a s i s . " A l l a p p r a i s a l d e c i s i o n s were to be b a s e d on c a r e f u l

study. A demand f o r a knowledge of the e n t i r e d o c u m e n t a t i o n o f

any agency i s v e r y i n t i m i d a t i n g , but i t i s not as imp os si bl e as

i t m i g h t sound. T h i s s i m p l y u n d e r l i n e s t he p o i n t t h a t a p p r a i s a l

a r c h i v i s t s sh ou ld be very ex pe ri en ce d and very f a m i l i a r w i t h the

h i s t o r y and op er at io n of the agency u n d e r c o n s i d e r a t i o n . Such

experience and f a m i l i a r i t y can be st be gai ne d i f the a r c h i v i s t

c a r r i e s out a v a r i e t y o f a r c h i v a l f u n c t i o n s r a t h e r t ha n

s p e c i a l i z i n g i n one p a r t i c u l a r f u n c t i o n , a p o i n t t h a t

22

S c h e l l e n b e r g f u l l y supported.

In s u m m a r i z i n g S c h e l l e n b e r g ' s ac c ou n t o f a p p r a i s i n g , r e c o r d s

a c c o r d i n g t o e v i d e n t i a l v a l u e s , i t i s p o s s i b l e t o e x t r a c t t h r e e

b a s i c r u l e s . The f i r s t i s obv iou s and r e l a t e s d i r e c t l y to the

d e f i n i t i o n of e v i d e n t i a l v a l u e s , namely t h a t c e r t a i n records

w h i c h i l l u s t r a t e t he o r g a n i z a t i o n o f t h e agency sh ou ld be

p r e s e r v e d a l o n g w i t h o t h e r r e c o r d s w h i c h i l l u s t r a t e the

f u n c t i o n s of the a g e n c y . R e c o r d s b e a r i n g on t he o r g a n i z a t i o n o f

the agency are obv iou s and us u a l l y few i n number, i n c l u d i n g such

t y pe s a s o r g a n i z a t i o n a l c h a r t s and r e c o r d s d o c u m e n t i n g the

o r i g i n s of the agency. I t i s w i t h r e g a r d t o r e c o r d s i l l u s t r a t i v e

o f f u n c t i o n t h a t t he s e c o n d and t h i r d b a s i c r u l e s ap p ly . The

s e c o n d r u l e i s t h a t the fu nc ti on s of an agency can be divided

between t h e s u b s t a n t i v e , o r t h e m a j o r fu n ct io n s, and the





v a r i o u s f i e l d o f f i c e s were d i s p a r a t e i n c h a r a c t e r , t h en t he

re co rd s of such lower l e v e l o f f i c e s w o u l d assume a gr ea te r

. - , . -» 2 5e v i d e n t i a l v a l u e .

In h i s a r t i c l e , "No Grand fathe r Cla use : Rea cce ssi oni ng

Accessioned Records," Leona rd Rapp ort has c r i t i c i z e d S c h e l l e n b e r g

f o r t en din g "to ove rva lue the e v i d e n t i a l . " As a r e s u l t , says

Rapport, too many r e c o r d s h a v i n g e v i d e n t i a l v a l u e have been

r e t a i n e d . In su pp or t of t h i s c r i t i c i s m he c i t e d S c h e l l e n b e r g ' s

statement th at rec ord s hav ing e v i d e n t i a l value "should be

p r e s e r v e d r e g a r d l e s s o f w h e t h e r t her e i s an immediate o r even

2 6

a f o r e s e e a b l e s p e c i f i c use f o r them." Rapport's stat ement i s

u n f a i r b e c a u s e he q u o t e d Sc he ll en be rg out of con te xt. I t i s

o b v i o u s from the summ ariza tion of Sc he ll en be rg 's acco unt of

d e t e r m i n i n g e v i d e n t i a l val ues th at re co rd s ha vi ng such a valu e

w o u l d be r e l a t i v e l y s m a l l i n volume and th a t on ly the most

im po rt an t of such re co rd s w o u l d be pre ser ved . I n d e e d , i n any

a r c h i v a l i n s t i t u t i o n - , as S c h e l l e n b e r g h i m s e l f p o i n t e d o u t ,

r e c o r d s p o s s e s s i n g i n f o r m a t i o n a l v a l u e a re g e n e r a l l y much

g r e a t e r i n volume and are loo ke d upon as having more r e s e a r c h

27

importance than rec ord s po ss es si ng on ly e v i d e n t i a l v a l u e s .

F i n a l l y , i t must be remembered t h a t e v i d e n t i a l and i n f o r m a t i o n a l

values are not n e c e s s a r i l y m u t u a l l y e x c l u s i v e , and so re co rd s

w h i c h c o n t a i n e v i d e n t i a l v a l u e a c t u a l l y may have been p r e s e r v e d

because o f t h e i r i n f o r m a t i o n a l v a l u e .

Frank Boles and J u l i a Marks Young have a l s o c r i t i c i z e d

S c h e l l e n b e r g ' s h a n d l i n g o f e v i d e n t i a l val ues by cl a im in g th at

such val ue s are not re l e v a n t to i n s t i t u t i o n a l a r c h i v e s "whose

prim ary g oal i s to document o t h e r o r g a n i z a t i o n s o r s u b j e c t

2 8

a r e a s . " However, t h i s s t at e me n t i s m i s l e a d i n g . C o n s i d e r a t i o n



70

o f e v i d e n t i a l v a lu e s i s c e r t a i n l y i r r e l e v a n t t o th e a p p r a i s a l

o f r e c o r d s p e r t a i n i n g t o s u b j e c t a r e a s w h i c h f a l l o u t s i d e t h e

u s u a l a c q u i s i t i o n s p o l i c y o f an a r c h i v a l i n s t i t u t i o n simply

because such an a p p r a i s a l i s c o n c e r n e d w i t h i n f o r m a t i o n a l v a l u e s

r a t h e r than w i t h e v i d e n t i a l v a l u e s . Bu t c o n c e r n i n g t he a p p r a i s a l

o f r e c o r d s o f o r g a n i z a t i o n s o t h e r t h a n t he s p o n s o r i n g i n s t i t u t i o n

o f t he a r c h i v e s , c o n s i d e r a t i o n o f e v i d e n t i a l v a l u e s remains

i m p o r t a n t . I f an o r g a n i z a t i o n i s t o be documented p r o p e r l y , some

r e c o r d s s h o u l d be kep t whic h r e f l e c t i t s s t r u c t u r e and f u n c t i o n s .

R e g a r d i n g i n f o r m a t i o n a l v a l u e , S c h e l l e n b e r g s t a t e d t h a t

r e c o r d s p r e s e r v e d f o r t h i s r e a s o n w o u l d have t o meet t h e t e s t s

of u n i q u e n e s s , form, and i m p o r t a n c e . The f i r s t two of these

terms have s p e c i f i c b ut m u l t i p l e m e a n i n g s . The t e r m "uniqueness"

r e f e r s , f i r s t o f a l l , to "the u n i q u e n e s s o f t h e i n f o r m a t i o n , "

meaning t h a t " th e i n f o r m a t i o n c o n t a i n e d i n p a r t i c u l a r p u b l i c

re co rd s i s no t to be f o u n d i n o t h e r documentary s o u r c e s i n as

c o m p l e t e and as u s a b l e a form." T h i s i m p l i e s a knowledge o f

" a l l o t h e r s o u r c e s o f i n f o r m a t i o n on t h e m a t t e r under

c o n s i d e r a t i o n , " w h i c h a g a i n e m p h a s i z e s t h e need f o r e x p e r i e n c e

a n d c a r e f u l s t u d y and e x t e n d s the a r c h i v i s t ' s r e s p o n s i b i l i t y t o

i n c l u d e n o t o n l y a f a m i l i a r i t y w i t h t h e agency's d o c u m e n t a t i o n

but a l s o an awareness o f any r e l a t e d o u t s i d e d o c u m e n t a t i o n ,

w h e t h e r p u b l i s h e d o r u n p u b l i s h e d . A second meaning o f uniqueness

r e f e r s to "the u n i q u e n e s s of the re co rd s t h a t co n ta in the

i n f o r m a t i o n , " t ha t i s , w h e t h e r o r n o t p h y s i c a l d u p l i c a t e s o f t h e

r e c o r d s have a l r e a d y been p r e s e r v e d , i n w h i c h c a s e t h e m a t e r i a l s

29

under c o n s i d e r a t i o n l o s e t h e i r v a l u e .

The ter m "form " a l s o has two meanings. The f i r s t p e r t a i n s

to "the d e g r e e t o w h i c h t h e i n f o r m a t i o n i s c o n c e n t r a t e d . . . . I n



g e n e r a l , r e c o r d s t h a t r e p r e s e n t c o n c e n t r a t i o n s o f i n f o r m a t i o n

are the most s u i t a b l e f o r a r c h i v a l p r e s e r v a t i o n , f o r a r c h i v a l

i n s t i t u t i o n s a r e a l m o s t a l w a y s p r e s s e d f o r space t o house

r e c o r d s . " T h e s e c o n d meaning h a s t o do w i t h t h e p h y s i c a l form

of the r e c o r d s — w h e t h e r or not t h e i r p h y s i c a l c o n d i t i o n or

30

a r r a n g e m e n t w o u l d p r e v e n t t h e i r b e i n g used b y r e s e a r c h e r s .

B o t h of these meanings r e p r e s e n t i m p o r t a n t c o n s i d e r a t i o n s f o r

the a r c h i v i s t . However, w h i l e t h e term "form" r e a d i l y conveys

t he i d e a o f t h e p h y s i c a l c o n d i t i o n a nd arrangement o f th e

r e c o r d s , i t i s a p o o r t e r m to use to t r y to convey the idea of

the d e g r e e o f c o n c e n t r a t i o n o f i n f o r m a t i o n . S c h e l l e n b e r g can

be f a u l t e d o n o c c a s i o n f o r u t i l i z i n g a v o c a b u l a r y l a c k i n g i n

p r e c i s i o n . I n f a i r n e s s t o h im , t h o u g h , a t l e a s t he went t o

g r e a t l e n g t h s t o d e f i n e a l l s u c h t e r m s o f d u b i o u s meaning. He

seems t o have been t r y i n g to pr es en t the d i f f i c u l t c o n c e p t s o f

a p p r a i s a l i n t he s i m p l e s t p o s s i b l e manner.

The t e s t s of u n i q u e n e s s and f o r m a re s t r a i g h t f o r w a r d i n

c o m p a r i s o n w i t h th e t e s t o f i m p o r t a n c e . A s S c h e l l e n b e r g

o b s e r v e d : " I n a p p l y i n g t h e t e s t o f i m p o r t a n c e , the a r c h i v i s t i s

i n the realm of the i m p o n d e r a b l e , f o r who can say d e f i n i t e l y i f

a g i v e n body o f r e c o r d s i s i m p o r t a n t , a nd f o r what p u r p o s e , and

t o whom?" A c c o r d i n g l y , he s t a t e d t h a t b e f o r e a p p l y i n g t he t e s t

o f i m p o r t a n c e , t he a r c h i v i s t s h o u l d f i r s t e n s u r e t h a t the

r e c o r d s meet th e t e s t s o f u n i q u e n e s s and form s i n c e t h e y " r e l a t e

t o p o n d e r a b l e s — t o m a t t e r s t h a t a r e c a p a b l e o f b e i n g a p p r a i s e d

on t he b a s i s o f a s c e r t a i n a b l e f a c t s . " I n o t h e r words, t h e t e s t s

o f u n i q u e n e s s and form i n v i t e g r e a t e r o b j e c t i v i t y than does the

t e s t o f i m p o r t a n c e . A p p r a i s a l b a s e d on the i m p o r t a n c e o f th e

i n f o r m a t i o n c o n t a i n e d i n t h e r e c o r d s p r o v i d e s a r c h i v i s t s w i t h



t h e i r g r e a t e s t c h a l l e n g e . More r e c o r d s a r e p r e s e r v e d f o r t h i s

than fo r any ot he r rea son , and i t i s h e r e t h a t t h e e x p e r i e n c e

and knowledge o f a r c h i v i s t s are most needed and most s e v e r e l y

t e s t e d . No r i g i d r u l e s c a n be a p p l i e d t o t h e d e t e r m i n a t i o n o f

the i m p o r t a n c e o f t h e i n f o r m a t i o n c o n t a i n e d i n r e c o r d s , b u t

S c h e l l e n b e r g p r o v i d e d some sound a d v i c e . He s t a t e d t h a t t h e

a r c h i v i s t s h o u l d c o n s i d e r th e needs of th e government before

c o n s i d e r i n g the needs o f r e s e a r c h e r s ; t h a t w i t h r e g a r d t o

r e s e a r c h e r s , p r i o r i t y s ho ul d be gi ve n to the needs o f h i s t o r y

and the s o c i a l s c i e n c e s r a t h e r than t o g e n e o l o g i c a l a nd

a n t i q u a r i a n n e e d s ; a nd t h a t d e c i s i o n s s h o u l d be made f o r

c o l l e c t i v e b o d i e s o f r e c o r d s , s u c h as s e r i e s , r a t h e r t h a n f o r

i n d i v i d u a l do cu men ts .^ These s t a t e m e n t s might sound somewhat

o v e r w h e l m i n g , b u t g i v e n S c h e l l e n b e r g ' s e x p e r i e n c e a t a l a r g e

p u b l i c a r c h i v e s t h e y a r e r e a d i l y u n d e r s t a n d a b l e a nd v a l i d .

Most of the r e m a i n d e r of the b u l l e t i n dea ls wi t h the

a p p l i c a t i o n of the te s t s of u n i q u e n e s s , form, and i m p o r t a n c e as

t h e y r e l a t e s p e c i f i c a l l y t o i n f o r m a t i o n o n p e r s o n s , t h i n g s , an d

phenomena. ( T h i s i n c l u d e s a b r i e f a c c o u n t of the sa mp li ng of

r e c o r d s a s an a p p r a i s a l t e c h n i q u e , w h i c h w i l l b e d i s c u s s e d l a t e r

i n t h i s c h a p t e r . ) I t i s w i t h r e g a r d t o t h e more s p e c i f i c

a p p r a i s a l t e s t s t h a t S c h e l l e n b e r g ' s comments become l e s s

i m p o r t a n t f o r many pr es en t day a r c h i v i s t s . There are two main

r e a s o n s f o r t h i s . F i r s t o f a l l , the e x a m p l e s he u s e d , not

s u r p r i s i n g l y , were t a k e n from h i s e x p e r i e n c e a t t he N a t i o n a l

A r c h i v e s , a n d many a r c h i v a l i n s t i t u t i o n s w o u l d not be fa ce d w i t h

the same k i n d o f s p e c i f i c a p p r a i s a l p r o b l e m s . S c h e l l e n b e r g

h i m s e l f made t h i s p o i n t i n t h e c o n c l u s i o n o f t h e b u l l e t i n when

he w r o t e : " A r c h i v i s t s o f d i f f e r e n t a r c h i v a l i n s t i t u t i o n s may...



use d i f f e r e n t c r i t e r i a i n e v a l u a t i n g s i m i l a r t y p e s of r e c o r d s ,

f o r what i s v a l u a b l e t o one a r c h i v a l i n s t i t u t i o n may be v a l u e l e s s

32

t o a n o t h e r . " A second r e a s o n i s t h a t S c h e l l e n b e r g was

o b v i o u s l y n e i t h e r c o n c e r n e d w i t h s u b s e q u e n t r e s e a r c h developments

i n such a r e a s as th e h i s t o r y o f s c i e n c e and t e c h n o l o g y , nor w i t h

t h e a p p r a i s a l o f machine r e a d a b l e r e c o r d s . As a g e n e r a l o b s e r

v a t i o n , t h e n , i t can be s t a t e d t h a t S c h e l l e n b e r g ' s comments on

g e n e r a l a p p r a i s a l c r i t e r i a a re e x t r e m el y v a l u a b l e , w h i l e h i s

comments on s p e c i f i c c r i t e r i a ar e of l e s s v a l u e .

R e g a r d i n g the t y p e o f t r a i n i n g t h a t a r c h i v i s t s s h o u l d have

t o p r e p a r e them f o r the t a s k of a p p r a i s a l , S c h e ll e n b e rg was

s u p p o r t i v e o f a b a c k g r o u n d i n h i s t o r y . When d i s c u s s i n g th e

a p p l i c a t i o n of th e t e s t o f e v i d e n t i a l v a l u e , he w r o t e :

I t i n v o l v e s an o b j e c t i v e a p p r o a c h t h a t the modern a r c h i v i s t

i s e s p e c i a l l y t r a i n e d t o t a k e ; f o r h i s t r a i n i n g i n

h i s t o r i c a l m e t h o d o l o g y has t a u g h t him t o l o o k i n t o theo r i g i n , d e v e l o p m e n t , and th e w o r k i n g o f human i n s t i t u t i o n sand t o use r e c o r d s f o r the p u r p o s e .

L a t e r i n the b u l l e t i n he o b s e r v e d :

S i n c e most r e c o r d s t h a t come i n t o the c a r e o f an a r c h i v i s t

a r e r e l a t i v e l y o l d , the i n t e r e s t s o f h i s t o r i c a l r e s e a r c har e most i m p o r t a n t to h i m . . . . Modern a r c h i v i s t s ar eg e n e r a l l y t r a i n e d as h i s t o r i a n s , and i t may t h e r e f o r e beassumed t h a t t h e y are c o m p e t e n t t o a p p r a i s e the v a l u e o fp u b l i c r e c o r d s f o r h i s t o r i c a l r e s e a r c h .

He added t h a t " i f h i s a n a l y s i s does no t y i e l d the i n f o r m a t i o n

t h a t i s needed i n the a p p r a i s a l o f r e c o r d s , the a r c h i v i s t s h o u l d33

seek the h e l p o f e x p e r t s " from o t h e r d i s c i p l i n e s . I t s h o u l d

n o t be assumed t h a t S c h e l l e n b e r g was s a y i n g t h a t a r c h i v i s t s

s h o u l d not come f r o m t h e s e o t h e r d i s c i p l i n e s . A l s o , i t must be

r e i t e r a t e d h e r e t h a t S c h e l l e n b e r g was no t s a y i n g t h a t a r c h i v i s t s

s h o u l d be h i s t o r i a n s i n d i s g u i s e . He was s i m p l y making th e

o b s e r v a t i o n t h a t most a r c h i v i s t s do, i n d e e d , have a background



i n h i s t o r i c a l m e t h o d o l o g y , and t h a t t h i s m e t h o d o l o g y , through

i t s a n a l y s i s of p r i m ar y s o ur c e m a t e r i a l , i s p a r t i c u l a r l y

r e l e v a n t t o the a r c h i v a l f u n c t i o n o f a p p r a i s a l .

The concluding p a r a g r a p h s of th e b u l l e t i n are f i l l e d w i t h

sound common s e ns e. S c h e l l e n b e r g s t a t e d t h a t a p p r a i s a l c r i t e r i a

" c a n n o t be reduced t o e x a c t s t a n d a r d s . Our s t a n d a r d s can be

l i t t l e more t h an g e n e r a l p r i n c i p l e s . " I t f o l l o w s from t h i s that

a p p r a i s a l c r i t e r i a "need n o t be a p p l i e d w i t h a b s o l u t e c o n s i s

t e n c y . . . . C o m p l e t e c o n s i s t e n c y i n j u d g i n g i n f o r m a t i o n a l v a l u es

i s as u n d e s i r a b l e as i t i s i m p o s s i b l e o f a c c o m p l i s h m e n t . " These

comments c a l l to mind the s i m i l a r ones made by Herman Kahn i n

c r i t i c i s m o f G. P h i l i p B a u e r ' s demands f o r r i g i d a p p r a i s a l

g u i d e l i n e s . More i m p o r t a n t l y , however, th e comments r e v e a l

S c h e l l e n b e r g ' s own a t t i t u d e t o w a r d s h i s b u l l e t i n . I t was not a

work i n t e n d e d t o g i v e a r c h i v i s t s a s e t o f s t r i c t a p p r a i s a l r u l e s ,

b u t r a t h e r a s e t o f g u i d e l i n e s w i t h i n w h i c h the a r c h i v i s t c o u l d

work f l e x i b l y . In a n a l o g o u s terms, the b u l l e t i n has g r e a t e r

s i m i l a r i t y w i t h a stu den t's guide on th e b a s i c manner of w r i t i n g

essays than w i t h a s t u d e n t ' s g u i d e on the r u l e s o f grammar and

p u n c t u a t i o n . Once a g a i n we see t h a t S c h e l l e n b e r g 1 s a p p r o a c h t o

the s t a n d a r d i z a t i o n o f a r c h i v a l p r i n c i p l e s and t e c h n i q u e s was

34

o f t e n v e r y g e n e r a l i n scope. And i n th e c a r r y i n g o ut o f

a p p r a i s a l , t h e r e was t o be no replacement f o r i n depth re se ar ch

a n a l y s i s . He c a u t i o n e d t h a t " a p p r a i s a l s o f r e c o r d s s h o u l d not be

b a s e d on i n t u i t i o n o r a r b i t r a r y s u p p o s i t i o n s o f va lu e; they

s h o u l d be b a s e d i n s t e a d on thorough ana ly ses o f th e d o c u m e n t a t i o n

b e a r i n g on th e m a t t e r t o w h i c h the r e c o r d s p e r t a i n . A n a l y s i s i s

35the e s s e n c e o f a p p r a i s a l . "S c h e l l e n b e r g ' s f i n a l statement i n h i s a p p r a i s a l b u l l e t i n



r e p r e s e n t s b o t h a w a r n i n g and an encouragement t o a r c h i v i s t s .

He w r o t e :

An a r c h i v i s t d e a l i n g w i t h modern r e c o r d s r e a l i z e s tha t nota l l o f them c an be p r e s e r v e d , t h a t some o f them have t o bed e s t r o y e d , and t h a t , i n f a c t , a d i s c r i m i n a t i n g d e s t r u c t i o n

o f a p o r t i o n o f them i s a s e r v i c e t o s c h o l a r s h i p . . . . Hemust c a l l a t t e n t i o n t o t h e f a c t t h a t a government has o n l ya l i m i t e d amount o f f u n d s f o r t h e p r e s e r v a t i o n o f i t sdocumentary r e s o u r c e s a nd t h a t t h e s e funds must be a p p l i e dj u d i c i o u s l y f o r t h e p r e s e r v a t i o n o f t he most i m p o r t a n t o fthese resources.36

The w a r n i n g comes from the use of the word " d e s t r u c t i o n , " as

a r c h i v i s t s a r e r e m i n d e d of the f i n a l i t y o f t h e i r a p p r a i s a l

d e c i s i o n s . I t s h o u l d be r e c a l l e d h e r e t h a t S c h e l l e n b e r g d i d n o t

want r e c o r d s c e n t e r s t o be used as a means o f p u t t i n g o f f these

37

d e c i s i o n s . T h e encouragement comes from th e use of the word

" p r e s e r v a t i o n , " a s a r c h i v i s t s ar e r e m i n d e d of the v a l u e and

n e c e s s i t y o f t h e i r work. Thi s i s a f i t t i n g c o n c l u s i o n t o t h e

b u l l e t i n a s i t b r i n g s t o t h e f o r e S c h e l l e n b e r g ' s b a s i c i d e a t h a t

a r c h i v i s t s must be i n v o l v e d i n t h e a p p r a i s a l o f r e c o r d s .

Over the p a s t t h i r t y y e a r s , a r c h i v i s t s have c o n t i n u e d t o

w r e s t l e w i t h t he p r o b l e m o f a p p r a i s a l . No modern a r c h i v i s t

w o u l d s e r i o u s l y c h a l l e n g e t h e n e c e s s i t y o f t he a p p r a i s a l

f u n c t i o n , n o r t he a r c h i v i s t ' s i n v o l v e m e n t i n i t . I n Canada, f o r

e x a m p l e , t h i s theme was expounded t h r o u g h o u t the 1960s by th e

Dominion A r c h i v i s t , W. Kaye Lamb, a nd h i s s u c c e s s o r , W i l f r i d38

S m i t h . M e a n w h i l e , E n g l i s h and E u r o p e a n a r c h i v i s t s did not

l i n g e r unduly ove r t h e i r a v e r s i o n t o t h e a r c h i v i s t ' s i n v o l v e m e n t

i n a p p r a i s a l . For e x a m p l e , th e G r i g g Commission, w h i c h s a t from

1952 t o 1955, d i d f o r B r i t a i n what t he Hoover Commissions d i d

f o r the Un it ed S t at e s. As the p r o b l e m o f modern r e c o r d b u l k

became a c o n c e r n f o r European a r c h i v i s t s , they r e s p o n d e d by

b r i n g i n g a g r e a t d e a l o f o r i g i n a l t h i n k i n g i n t o r e c o r ds a p p r a i s a l .



Some a r c h i v i s t s have b u i l t upon the i d ea s e s t a b l i s h e d by

S c h e l l e n b e r g . The b e s t example of t h i s i s Maynard J . B r i c h f o r d ' s

A r c h i v e s and M a n u s c r i p t s : A p p r a i s a l and A c c e s s i o n i n g , p u b l i s h e d

i n 1977 as p a r t o f the S o c i e t y o f A m e r i c a n A r c h i v i s t s b a s ic

39

manual s e r i e s . T h is i s t h e o n l y m a j o r work i n E n g l i s h on the

s u b j e c t o f a p p r a i s a l t h a t has a p p e a r e d s i n c e The A p p r a i s a l of

Modern P u b l i c R e c o r d s . Most o f B r i c h f o r d 1 s g u i d e l i n e s are

b a s i c a l l y the same as S c h e l l e n b e r g ' s . He made use o f the terms

" e v i d e n t i a l " and " i n f o r m a t i o n a l " v a l ue s and c i t e d S c h e l l e n b e r g

a t o t a l o f t h i r t e e n t i m e s i n a manual t h a t i s o n l y t w e n t y - t h r e e

pages i n l e n g t h . In f a c t , the manual i s n o t r e m a r k a b l e f o r how

i t d i f f e r s from S c h e l l e n b e r g 1 s a c c o u n t o f a p p r a i s a l , but f o r

what i t adds t o i t . For example, B r i c h f o r d d i r e c t l y d i s c u s s e d

the r e l a t i o n s h i p between r e c o r d s management and a p p r a i s a l ,

whereas S c h e l l e n b e r g a p p r o a c h e d the s u b j e c t i n d i r e c t l y and d i d

not m e n t i o n i t a t a l l i n t h e b u l l e t i n . B r i c h f o r d a d d r e s s e d th e

q u e s t i o n of the a p p r a i s a l of n o n - t e x t u a l r e c o r d s and the

monetary a p p r a i s a l o f m a n u s c r i p t s . W h i l e S c h e l l e n b e r g d i d not

m e n t i o n n o n - t e x t u a l r e c o r d s s p e c i f i c a l l y , i t ca n be assumed t h a t

h i s g u i d e l i n e s w o u l d be r e l e v a n t on a g e n e r a l l e v e l t o the more

t r a d i t i o n a l n o n - t e x t u a l r e c o r d s . And s i n c e he was concerned

o n l y w i t h p u b l i c r e c o r d s , t h e r e was n e v e r any r e a s o n t o c o n s i d e r

monetary a p p r a i s a l s o f p r i v a t e a r c h i v e s . B r i c h f o r d a l s o

i n c l u d e d a most u s e f u l a p p e n d i x e n t i t l e d , " F u n c t i o n a l C a t e g o r i e s

o f R e c o r d s Grouped by R e l a t i v e I m p o r t a n c e , " i n w h i c h th e

r e l a t i v e i m p o r t a n c e ranges from r e c o r d s t h a t a re " U s u a l l y

V a l u a b l e , " s u c h as d i a r i e s and m i n u t e s , down t o r e c o r d s t h a t ar e

" U s u a l l y W i t h o u t V a l u e , " such as d u p l i c a t e c o p i e s . The

i n c l u s i o n o f a s i m i l a r t a b l e w o u l d have f u r t h e r enhanced th e



u s e f u l n e s s o f S c h e l l e n b e r g ' s b u l l e t i n .

The e a r l i e r c i t e d a r t i c l e by L e o n a r d R a p p o r t c o n t a i n s n o t

o n l y c r i t i c i s m s o f S c h e l l e n b e r g b u t a l s o some o b s e r v a t i o n s which

can be s e e n as e x t e n s i o n s o f i d e a s p ut f o r t h by S c h e l l e n b e r g .

R a p p o r t a r g u e d t h a t n o t a l l of th e h o l d i n g s o f an a r c h i v a l

i n s t i t u t i o n need be p e r m a n e n t l y p r e s e r v e d , b u t r a t h e r t h a t th e

h o l d i n g s s h o u l d be s u b j e c t t o p e r i o d i c r e a p p r a i s a l s i n o r d e r t o

40

determine i f t h e i r p r e s e r v a t i o n s h ou l d be c o n t i n u e d . I t w i l l

be r e c a l l e d t h a t S c h e l l e n b e r g was i n v o l v e d i n the r e a p p r a i s a l of

a c c e s s i o n e d r e c o r d s i n the 1950s, b u t t h i s was n e c e s s i t a t e d by

the backlog o f work t h a t had a c c u m u l a t e d d u r i n g W o r l d War Two

41

and d i d n o t c o n s t i t u t e r e g u l a r p r oc e du r e. What i s most

i n t e r e s t i n g a b o u t Rapport's argument i s t h a t i t means t h a t

a r c h i v e s w o u l d no l o n g e r be d e f i n e d as r e c o r d s deemed w o r t h y o f

permanent p r e s e r v a t i o n , bu t r a t h e r as r e c o r d s deemed w o r t h y o f

c o n t i n ue d p r e s e r v a t i o n . T h i s i s o b v i o u s l y d i f f e r e n t from

S c h e l l e n b e r g ' s d e f i n i t i o n b u t , more i m p o r t a n t l y , i t i s i n

k e e p i n g w i t h S c h e l l e n b e r g 1 s state ment th a t a r c h i v i s t s o f

d i f f e r e n t times and p l a c e s w o u l d have t o r e d e f i n e a r c h i v e s i n

a c c o r d a n c e w i t h t h e i r u n i q u e environments.

A n o t h e r r e c e n t d e v e l o p m e n t i n the a p p r a i s a l of r e c o r d s has

42

been a growing i n t e r e s t i n the t e c h n i q u e s o f sampling.

S a m p l i n g ca n be d e f i n e d as the s e l e c t i o n o f a s m a l l number o f

r e c o r d s t o s e r v e as an example o f a l a r g e r body o f r e c o r d s . The

o b j e c t , o f c o u r s e , i s t o keep the fewest number o f records

n e c e s s a r y t o r e f l e c t the c o n t e n t s o f the e n t i r e body. No

a r c h i v i s t , p a s t o r p r e s e n t , has advocated widespread use o f

s a m p l i n g , b u t i t has been r e c o g n i z e d as a p o s s i b l e means o f

p r e s e r v i n g i n f o r m a t i o n c o n t a i n e d i n l a r g e homogenous b o d i e s o f



78

r e co r d s w i t h o u t p r e s e r v i n g a l l of th e r e c o r d s . S c h e l l e n b e r g

d i s c u s s e d s a m p l i n g i n h i s b u l l e t i n , b u t h i s i d e a s are now l a r g e l y

o u t d a t e d . He b e l i e v e d t h a t r e c o r d s p e r t a i n i n g to everyday

c o n t e m p o r a r y s o c i a l and e c o n o m i c matter s shoul d be p r e s e r v e d

a c c o r d i n g to th e " p r i n c i p l e of s p e c i a l s e l e c t i o n . " T h i s meant

t h a t "a few r e c o r d s " w o u l d be p r e s e r v e d

...because they co nt ai n data th at are r e p r e s e n t a t i v e o ri l l u s t r a t i v e of the w h o l e , b e c a u s e they deal wi th ani m p o r t a n t o r s i g n i f i c a n t event o r a c t i o n , o r b e c a u s e theyc o n t a i n data that are c o n s i d e r e d a d e q u a t e f o r a study o fp a r t i c u l a r s o c i a l o r economic c o n d i t i o n s .

He d i d no t e l a b o r a t e on the a c t u a l sampling procedure, bu t he

d i d s t a t e t h a t th e method o f s p e c i a l s e l e c t i o n was p r e f e r a b l e

t o s t a t i s t i c a l s a m p l i n g f o r a number of r e a s o n s . He wrote:

The a r c h i v i s t p r e s e r v e s r e c o r d s f o r unknown uses; thes t a t i s t i c i a n must know i n advance the p a r t i c u l a r ways i n

which h i s samples ar e t o be used. The a r c h i v i s t s e l e c t sr e c o r d s t h a t have c h a r a c t e r i s t i c s i l l u s t r a t i v e o f th e

w h o l e ; the s t a t i s t i c i a n , i n a c co r da n ce w i t h w e l l - d e f i n e dmathematical formulae, s e l e c t s a sample tha t pre sen tsi n f o r m a t i o n of m e a s u r a b l e r e l i a b i l i t y on p a r t i c u l a rc h a r a c t e r i s t i c s of the un iv er se from which i t i s tak en.A s t a t i s t i c a l sample i s more exac t than the r e p r e s e n t a t i v eor i l l u s t r a t i v e body o f r e c o r d s p r e s e r v e d by the

a r c h i v i s t . 4 3

T h i s a v e r s i o n t o s t a t i s t i c a l s a m p l i n g was i n k e e p i n g w i t h th e

thought o f S c h e l l e n b e r g ' s day. In one o f the e a r l i e s t and best

known a c c o u n t s of sam pli ng, P au l Lewinson, a c o l l e a g u e of

S c h e l l e n b e r g ' s , a l s o d i s p l a y e d s u s p i c i o n s r e g a r d i n g s t a t i s t i c a l

s a m p l i n g , t h o u g h he d i d no t r u l e ou t the p o s s i b i l i t y t h a t "some

day a s t a t i s t i c a l , m a t h e m a t i c a l l y b a s e d sample o f known

44

r e l i a b i l i t y may be co ns id er ed worth drawing f o r p r e s e r v a t i o n . "

The most i n t e n s i v e study o f s a m p l i n g t o date i s The Use o f

Sampling Techniques by th e E n g l i s h a r c h i v i s t , F e l i x H u l l , i n

45

1981. H u l l d i s t i n g u i s h e d between fou r types of s a m p l i n g — " t h e

e x a m p l e , " w h i c h r e q u i r e s "the s e l e c t i o n from an ephemeral s e r i e s



of pa pe rs o f one or more s p e c i m e n s t o i l l u s t r a t e a d m i n i s t r a t i v e

p r a c t i c e a t a p a r t i c u l a r date;" the method of "pu rpo sive

sam pli ng, " which ta kes pl ac e "when a s e l e c t i o n i s made on a

p r e c o n c e i v e d s e t o f c r i t e r i a , the i n t e n t i o n b e i n g t o r e t a i n the

most s i g n i f i c a n t or imp ort ant rec or ds of a c l a s s o r s e r i e s ; "

s e l e c t i o n a c c o r d i n g t o " s y s t e m a t i c s a m p l i n g , " w h i c h "depends

upon the establishment of a p a r t i c u l a r p a t t e r n o f s e l e c t i o n i n

t h a t e i t h e r every nth f i l e i s p r e s e r v e d , o r e l s e a l l t h e p a p er s

f o r a p a r t i c u l a r month, y e a r o r o t h e r c h r o n o l o g i c a l u n i t ; " and

f i n a l l y , "random s a m p l i n g , " w h i c h " i m p l i e s t h a t e v e r y u n i t i n

a s e r i e s has an equal chance o f r e p r e s e n t i n g t h a t s e r i e s " and

c a n n ot t h e r e f o r e be c a r r i e d out "without some s o p h i s t i c a t e d

e l e m e n t s , " i n p a r t i c u l a r " a random number t a b l e . " The f i r s t

two typ es of sa mp li ng ar e s i m i l a r t o S c h e l l e n b e r g 1 s s p e c i a l

s e l e c t i o n , w h i l e t h e l a s t type i s s i m i l a r to Sc he ll en be rg 's and

L e w i n s o n ' s vie w of s t a t i s t i c a l s a m p l i n g . H u l l a c k n o w l e d g e d that

each of the fo ur methods has p a r t i c u l a r m e r i t s , but he tended to

d i s m i s s the example and purp os ive methods b e c a u s e o f what he saw

as t h e i r l a r g e s u b j e c t i v e e l e m e n t , a nd , n o t s u r p r i s i n g l y , tended

t o fa vo r the random method whenever p o s s i b l e b e c a u s e o f i t s

46

r e l a t i v e o b j e c t i v i t y . I t i s o b v i o u s , t h e r e f o r e , t h a t

S c h e l l e n b e r g ' s a c c o u n t o f s a m p l i n g does not co nt a i n the

s o p h i s t i c a t i o n o f more re ce nt acc ount s.

Random s a mp l in g , w i t h i t s e m p h a s i s on o b j e c t i v i t y , i s

i n d i c a t i v e of the re ce nt tr en d, e s p e c i a l l y among European

a r c h i v i s t s such as West Germany's Hans Booms, to d e r i v e an

o b j e c t i v e t h e o r e t i c a l appro ach t o a p p r a i s a l . U n f o r t u n a t e l y , none

of t he r e l e v a n t l i t e r a t u r e has yet been t r a n s l a t e d i n t o E n g l i s h ,

though some commentaries on the work of Booms are a v a i l a b l e .



80

Ac co rd in g to the A m e r i c a n a r c h i v i s t , Nancy P e a c e , the t h r u s t of

Booms' argument i s t h a t t h e most commonly known approach t o

a p p r a i s a l , such a s t h e one o u t l i n e d b y S c h e l l e n b e r g , i s o v e r l y

s u b j e c t i v e and s p e c u l a t i v e . Peace n o t e d t h a t Booms has argued

f o r "an o b j e c t i v e e v a l u a t i o n method t h a t f l o w s f r o m the va lu e

system o f t h e i n f o r m a t i o n u n i v e r s e t h a t t h e a r c h i v i s t i s

r e s p o n s i b l e f o r t r a n s m i t t i n g . " She e l a b o r a t e d :

Booms n o t e d t h a t t h i s m e t h o d o l o g y assumes t h at thee v a l u a t i o n o f what w i l l be t r a n s m i t t e d w i l l p r o c e e d i n at o t a l s o c i a l e n v i r o n m e n t , r e q u i r i n g t h a t a r c h i v i s t s nol o n g e r make t h e i r e v a l u a t i o n s s o l e l y on the b a s i s o f , oro n ly w i t h i n , t h e i r own a r c h i v a l e n v i r o n m e n t . . . . A c c o r d i n g

t o Booms, by f o l l o w i n g the new m e t h o d o l o g y , a r c h i v i s t sw i l l n o t s p e c u l a t e o n what f u t u r e h i s t o r i a n s may want, butw i l l c r e a t e a r e c o r d t h a t r e f l e c t s t o d a y ' s va l u e s . Thea r c h i v i s t ' s j o b , he a s s e r t e d , i s t o document s o c i e t y i na l l i t s m u l t i p l i c i t y and t o t r a n s m i t t o p o s t e r i t y amanageable a c c o u n t of r e c o r d s . 4 7

From these comments, t h e r e i s l i t t l e t o s u g g e s t t h at the ado pti on

o f Booms' p r o p o s a l s w o u l d r e s u l t i n more o b j e c t i v i t y , o r even

t h a t h i s p r o p o s a l s a r e i n n o v a t i v e . The s t a t e m e n t t h a t

e v a l u a t i o n s s h o u l d b e b a s e d on a c o n s i d e r a t i o n o f t h e " t o t a l

s o c i a l e n v i r o n m e n t " i s s i m i l a r t o S c h e l l e n b e r g ' s a s s e r t i o n t h a t

a r c h i v i s t s must be f a m i l i a r w i t h th e e n t i r e d o c u m e n t a t i o n

r e l e v a n t t o t h e r e c o r d s b e i n g a p p r a i s e d . S i m i l a r l y , Booms'

p r e f e r e n c e f o r e v a l u a t i o n s b a s e d on a knowledge of pr es en t

r e s e a rc h i n t e r e s t s r a t h e r t h a n on s p e c u l a t i o n s a b o u t f u t u r e

r e s e a r c h needs i s n ot c o n t r o v e r s i a l .

The S w e d i s h a r c h i v i s t , Ake Kromnow, i n h i s a r t i c l e "The

A p p r a i s a l o f Contemporary R e c o r d s , " made t he f o l l o w i n g o b s e r

v a t i o n : " I n t h i s d i s c u s s i o n o f t h e p r o b l e m s o f a p p r a i s a l , two

main l i n e s o f development can be d i s t i n g u i s h e d : a s t r o n g b e l i e f

i n e x p e r i e n c e - b a s e d judgment of t he a r c h i v i s t , and a d e s i r e to

f i n d more o b j e c t i v e c r i t e r i a f o r a p p r a i s a l and d e s t r u c t i o n . "



The f o r m e r l i n e o f development i s s i m i l a r t o S c h e l l e n b e r g ' s

v i e w o f a p p r a i s a l , w h i l e Kromnow i d e n t i f i e d th e l a t t e r l i n e o f

d e v e l o p m e n t w i t h Booms. Kromnow c o n c l u d e d t h a t "both l i n e s o f

d e v e l o p m e n t c o n t a i n a g r e a t d e a l o f t r u t h , " a n d w h i l e a r c h i v i s t s

s h o u l d s t r i v e f o r g r e a t e r o b j e c t i v i t y i t s h o u l d a l s o be

r e c o g n i z e d t h a t a " c e r t a i n amount o f s u b j e c t i v i t y . . . c a n n o t be

4 8

a v o i d e d . " S i n c e s u b j e c t i v i t y c a n n o t be e l i m i n a t e d from

a p p r a i s a l , i t i s t h e r e f o r e a r g u a b l e t h a t a degree of a p p r a i s a l

o b j e c t i v i t y g r e a t e r t h a n t h a t o b t a i n e d b y S c h e l l e n b e r g might

n e v e r b e a c h i e v e d . I n h i s b u l l e t i n , S c h e l le n b e r g s t r e s s e d time

and a g a i n t h a t a n a l y s i s i s t he k ey t o e f f e c t i v e a p p r a i s a l .

T h e r e f o r e , th e d i f f e r e n c e between good and b a d - - o r o b j e c t i v e a nd

b i a s e d — a p p r a i s a l s w o u l d be t he same as th e d i f f e r e n c e between

good and b ad academic r e s e a r c h p a p e r s , n a m e l y , t h a t t h e s u p e r i o r

u se o f r e s e a r c h t e c h n i q u e s w o u l d r e s u l t i n t he b e t t e r j o b .

R e g a r d i n g t h e a p p r a i s a l o f machine r e a d ab l e a r c h i v e s , Meyer

F i s h b e i n h a s n o t e d t h a t because o f t h e f a s t s e a r c h c a p a b i l i t i e s

of c o m p u t e r s , a r c h i v i s t s "must r e j e c t t h e i d e a o f t he volume o f

49

i n f o r m a t i o n d e t e r r i n g r e s e a r c h . " F i s h b e i n was c e r t a i n l y

s p e a k i n g a b o u t a p o s s i b l e f u t u r e d e v e l o p m e n t , not a p re se nt

r e a l i t y . S c h e l l e n b e r g n e v e r a d d r e s s e d the s ub j e ct of the

a p p r a i s a l o f machine r e a d a b l e r e c o r d s . H i s l a s t p u b l i c a t i o n o n

a p p r a i s a l — a n o b s c u r e a r t i c l e from th e C a r i b b e a n A r c h i v e s

C o n f e r e n c e o f 1965—added no th in g new to h i s more famous b u l l e t i n

e x c e p t f o r a b r i e f s t a t e m e n t t h a t p r i v a t e p a p e r s can be ap pr ai se d

i n a manner s i m i l a r t o p u b l i c r e c o r d s . 5 0 T e c h n o l o g i c a l

advancements may one day p e r m i t a r c h i v i s t s t o p r e s e r v e a l l

a v a i l a b l e c o m p u t e r i z e d d o c u m e n t a t i o n , bu t t h a t day i s a l o n g way

o f f . In the meantime, a p p r a i s a l r e m a i n s a c h i e f c o n c e r n o f



a r c h i v i s t s .

I t i s u n f o r t u n a t e t h a t S c h e l l e n b e r g 1 s p l a n n e d book on

r e c o r d s management, t o be w r i t t e n i n c o n j u n c t i o n w i t h E v e r e t t

0 . A l l d r e d g e , n e v e r m a t e r i a l i z e d , s i n c e he may have a d d r e s s e d

51

some o f t h e s e r e c e n t a p p r a i s a l i s s u e s . B ut S c h e l l e n b e r g ' s

e x i s t i n g w r i t i n g s on a p p r a i s a l a r e o f u n q u e s t i o n a b l e i m p o r t a n c e .

He ch al le ng ed the t r a d i t i o n t h at a r c h i v i s t s were to be mere

r e c i p i e n t s o f a d m i n i s t r a t i v e r e c o r d s , s t a t i n g i n s t e a d t h a t

a r c h i v i s t s must be i n v o l v e d i n a p p r a i s a l . T h i s p o s i t i o n i s now

a c c e p t e d by a r c h i v i s t s the w o r l d o v e r . Thus S c h e l l e n b e r g played

a key r o l e i n the m o d e r n i z a t i o n o f t he a r c h i v a l p r o f e s s i o n . He

was the f i r s t t o w r i t e i n d e t a i l about a p p r a i s a l g u i d e l i n e s , and

h i s breakdown of the v a l u e s o f r e c o r d s i n t o e v i d e n t i a l and

i n f o r m a t i o n a l p r o v i d e s t h e a p p r a i s a l o f a r c h i v e s w i t h a

t h e o r e t i c a l b a s i s . He a l s o a f f i r m e d t h a t a p p r a i s a l t e c h n i q u e s

w i l l p r o b a b l y n e v e r be a b s o l u t e l y s t a n d a r d i z e d . T h i s means that

knowledge and c a r e f u l a n a l y s i s a r e t h e keys t o s u c c e s s f u l

a p p r a i s a l , and th a t a r c h i v i s t s must be w i l l i n g to take f u l l

r e s p o n s i b i l i t y f o r t h e i r a p p r a i s a l d e c i s i o n s . R e s p o n s i b i l i t y i s

the b o t t o m l i n e of a p p r a i s a l . Sc he ll en be rg was not one to hedge

on m a k i n g d e c i s i o n s , and p e r h a p s t h i s i s t he q u a l i t y t h a t

e n a b l e d h im t o be t h e g r e a t e s t a p p r a i s a l a r c h i v i s t o f h i s e r a .



83

CHAPTER V

CONCLUSION

T h e o d o r e R. Sc he l le n be r g was the most renowned spokesman

f o r t h e N a t i o n a l A r c h i v e s o f t h e U n i t e d S t a t e s t h r o u g h o u t the

1950s and e a r l y 1960s. The N a t i o n a l A r c h i v e s h ad been t h e f i r s t

a r c h i v a l i n s t i t u t i o n t o c a r r y o u t any s u s t a i n e d a t t e m p t to d ea l

w i t h t h e p r o b l e m s c r e a t e d b y t h e l a r g e volumes o f p u b l i c r e c o r d s

p r o d u c e d by modern g o v e r n m e n t s . In the 1940s, an arrangement

and d e s c r i p t i o n p r o g r a m was d e v e l o p e d b a s e d o n t h e r e c o r d group

c o n c e p t and t he a r c h i v a l i n v e n t o r y , w h i l e i n t h e a r e a o f

a p p r a i s a l the r o l e of the a r c h i v i s t a s a p p r a i s e r became f i r m l y

e s t a b l i s h e d . S c h e l l e n b e r g c e r t a i n l y r e f l e c t e d N a t i o n a l A r c h i v e s

p o l i c y , bu t i t must be remembered t h a t he p l a y e d an i m p o r t a n t

p a r t i n f o r m u l a t i n g t h a t p o l i c y . F u r t h e r m o r e , h i s p u b l i c a t i o n s ,

though n ot w e l l w r i t t e n from a l i t e r a r y p o i n t o f v i e w , r e v e a l

a c o m b i n a t i o n o f i n d e p e n d e n t r e s e a r c h , a n a l y s i s , and thought.

I t c an be s a i d t h a t S c h e l l e n b e r g p e r s o n i f i e d t h e modern

a r c h i v i s t . He was c o n c e r n e d p r i m a r i l y w i t h s e r v i n g t he

r e s e a r c h e r w h o found h i m s e l f f a c e d w i t h a p l e t h o r a o f documen

t a r y m a t e r i a l s . As a r e s u l t , he s k i l l f u l l y b l e n d e d a r c h i v a l

t h e o r y a nd p r a c t i c e . I f t h e p r a c t i c a l a p p l i c a t i o n o f t h e t h e o ry

h e l p e d t o d e a l w i t h r e s e a r c h needs a nd w i t h t h e p r o c e s s i n g o f

l a r g e volumes o f r e c o r d s , t h e n t h e t h e o r y w o u l d be up he ld .

O t h e r w i s e , t h e t h e o r y w o u l d be o v e r r u l e d a nd sometimes even

c h a n g e d . S i n c e t h e p r i n c i p l e o f p r o v e n a n c e p r o v i d e d a r c h i v i s t s



84

w i t h a means of a r r a n g i n g a nd d e s c r i b i n g r e c o r d s en masse, i t

was accep ted by Sc he ll en be rg . Observance o f o r i g i n a l order

sometimes means t h a t r e s e a r c h e r s a re impeded i n t h e i r work, and

so Schellenberg advocated abandonment of the r u l e i n these

c i r c u m s t a n c e s . And s i n c e modern r e c o r d volume n e c e s s i t a t e s t h e

p r e s e r v a t i o n of on ly a p o r t i o n of the reco rds i n ex i st en c e,

S c h e l l e n b e r g c h a l l e n g e d t h e t r a d i t i o n of the a r c h i v i s t ' s non-

i n v o l v e m e n t i n a p p r a i s a l a nd s u p p o r t e d t h i s c h a l l e n g e by r e f i n i n g

the d e f i n i t i o n of ar ch iv es i n or der to in cl ud e the e l e m e n t o f

s e l e c t i o n .

He represented the modern a r c h i v i s t i n o t h e r ways, too.

He was c on ce rn ed w i t h the i n t e r r e l a t i o n s h i p between a l l r e c o r d

k e e p i n g p r a c t i c e s , i n c l u d i n g the e s s e n t i a l r e l a t i o n s h i p between

a r c h i v a l and records management. I f rec ord s are handled pr op er ly

w h i l e i n c u r r e n t u s e , t h e i r s u b s e q u e n t a p p r a i s a l , arrangement,

and d e s c r i p t i o n f o r a r c h i v a l p u r p o s e s i s g r e a t l y f a c i l i t a t e d .

He was a l s o i n t e r e s t e d i n t he s t a n d a r d i z a t i o n o f a r c h i v a l

p r i n c i p l e s and tec hni que s but re co gn iz ed th at such s ta nd ar d

i z a t i o n w o u l d n e v e r ach iev e the p r e c i s i o n of the l i b r a r y p r o

f e s s i o n . Sc he l le nb er g was a g re a t advoc ate of the u n i q u e n e s s

of the a r c h i v a l p r o f e s s i o n as d i s t i n c t from the h i s t o r y and

l i b r a r y p r o f e s s i o n s . He was one of the f i r s t A m e r i c a n a r c h i v i s t s

t o be a s c h o l a r of h i s own p r o f e s s i o n and by do in g so he enhanced

the d i g n i t y of the work of the a r c h i v i s t . At the pr es en t ti me ,

some a r c h i v i s t s f e e l th at the s c h o l a r l y a r c h i v i s t must be one

who writes h i s t o r y b a s e d on the re co rd s u n d e r h i s or her care.'''

S c h e l l e n b e r g ' s example teaches o th er wis e.

D e s p i t e h i s i m p o r t a n t c o n t r i b u t i o n s t o t h e m o d e r n i z a t i o n o f

4^ie a r c h i v a l p r o f e s s i o n , a t l e a s t some of Sch ell enb erg 's ide as



are now ou td at ed . In the ar ea of a r r a n g e m e n t and d e s c r i p t i o n ,

h i s i n s i s t e n c e t h a t r e c o r d s must be p h y s i c a l l y arr ang ed i n the

s t a c k s i n the pro per r e l a t i o n t o e a c h other has been r e p l a c e d

by the i de a of ha vi ng t h i s i d e a l a r r a n g e m e n t recor ded on paper

when i t s m a i n t e n a n c e i n the st ac ks i s i m p r a c t i c a l . Furthermore,

the recent p r a c t i c e o f i n d e x i n g i n v e n t o r i e s i s an improvement

o v e r S c h e l l e n b e r g ' s scheme o f i n d e x i n g t h e a c t u a l r e c o r d s , w h i l e

i n the are a of samp ling the re ce nt tec hni que s are more s o p h i s

t i c a t e d t h an i n S c h e l l e n b e r g ' s e r a . These p oi nt s are not

intended as m a j o r c r i t i c i s m s o f S c h e l l e n b e r g b u t r a t h e r t o show

t h a t he was a pr od uc t of h i s ti me , and t h a t the a r c h i v a l

p r o f e s s i o n , l i k e any s u c c e s s f u l p r o f e s s i o n , does not r e s t on

p a s t a c c o m p l i s h m e n t s b u t r a t h e r c o n t i n u e s t o seek new answers

t o bo th o l d and new p r o b l e m s . Sc he ll en be rg was very much a

t r a n s i t i o n a l f i g u r e between the a r c h i v a l id eas of the nin et ee nt h

ce nt ur y and tho se of t od ay .

The f u n d a m e n t a l a r c h i v a l p r i n c i p l e s and t ec hn iq ue s,

however, have changed very l i t t l e ov er the p a s t two or th re e

d e c a d e s . As S c h e l l e n b e r g h i m s e l f n o t e d r e g a r d i n g t h e p o s s i b i l i t y

o f a n a t i o n a l automated a r c h i v a l n e t w o r k , "the use of modern

gadgetry c a n n o t su pp la nt the use of pr op er te ch ni qu es and

2

p r i n c i p l e s . " I t i s wi th reg ard to the f u n d a m e n t a l s t h a t

S c h e l l en b e r g ' s w r i t i n g s make t h e i r g r e a t e s t c o n t r i b u t i o n , b u t i t

i s p o s s i b l e t h a t many pr es en t day a r c h i v i s t s are unaware o f t he

e x t e n t o f t h i s c o n t r i b u t i o n . Holmes' a r t i c l e on the f i v e l e v e l s

o f a r r a n g e m e n t i s w e l l known, b u t many w o u l d be s u r p r i s e d t o

l e a r n t h a t S c h e l l e n b e r g d i s c u s s e d t h es e l e v e l s as a b l y as and

i n more d e t a i l than did Holmes. Regarding d e s c r i p t i o n ,

S c h e l l e n b e r g ' s name i s h a r d l y known a t a l l and y e t h i s breakdown



o f t h e d e s c r i p t i v e e l e m e n t s i n t o s u b s t a n t i v e and s t r u c t u r a l

a t t r i b u t e s p r o v i d e s a r c h i v i s t s w i t h a p r o c e d u r e t h a t can be

e m p l o y e d i n any s i t u a t i o n . I n t he a r e a o f a p p r a i s a l , h i s

b u l l e t i n i s now o f t e n o v e r l o o k e d as a r c h i v i s t s seek t he i d e a l

o f o b j e c t i v i t y . F or e x a m p l e , F e l i x H u l l began h i s study o f

s a m p l i n g w i t h a b r i e f h i s t o r i c a l a c c o u n t o f a r c h i v a l a p p r a i s a l

i n w h i c h he m e n t i o n e d S c h e l l e n b e r g on ly as an e a r l y advocate

o f t he a r c h i v i s t ' s i n v o l v e m e n t i n a p p r a i s a l . The b u l l e t i n was

not e v e n mention ed, though H u l l d i d i n c l u d e i t i n h i s b i b l i o

g r a p h y . I r o n i c a l l y , H u l l summarized an a r t i c l e w r i t t e n by an

E n g l i s h a r c h i v i s t i n 1979 w h i c h p u t f o r t h t h e same b a s i c

a p p r a i s a l g u i d e l i n e s as d i d S c h e l l e n b e r g , e v e n to the p o i n t of

i d e n t i f y i n g " e v i d e n t i a r y " and i n f o r m a t i o n a l v a l u e s . ^

S c h e l l e n b e r g 1 s a p p r a i s a l g u i d e l i n e s , as o u t l i n e d i n h i s b u l l e t i n ,

a re o f c o n t i n u i n g r e l e v a n c e . The d i v i s i o n between e v i d e n t i a l

a n d i n f o r m a t i o n a l v a l u e s s i m p l i f i e s the a p p r a i s a l p r o c e s s , and

the e m p h a s i s on a n a l y s i s s u g g e s t s t h a t t h i s i s t he o n l y sure

way to a p p r o a c h o b j e c t i v i t y i n a p p r a i s a l .

P e r h a p s the r e a s o n t h a t S c h e l l e n b e r g 1 s a c h i e v e m e n t s i n

a r r a n g e m e n t , d e s c r i p t i o n , and a p p r a i s a l a re p r e s e n t l y n e g l e c t e d

i s t h a t h i s most famous l e g a c y , Modern A r c h i v e s : P r i n c i p l e s and

T e c h n i q u e s , c o n t a i n s r e l a t i v e l y l i t t l e d e t a i l on the a c t u a l

p r a c t i c e s t h a t make up t h e s e f u n c t i o n s . I t i s n e c e s s a r y t o

examine h i s o t h e r w r i t i n g s i n o r d e r t o d i s c o v e r t h i s d e t a i l .

R e g a r d i n g a p p r a i s a l , i t was j u s t m e n t i o n e d t h a t h i s b u l l e t i n i s

p e r h a p s b e i n g f o r g o t t e n i n t h e r e c e n t s u r g e f o r more o b j e c t i v e

a p p r a i s a l c r i t e r i a . In the a r e a of a r r a n g e m e n t and d e s c r i p t i o n ,

h i s S t a f f I n f o r m a t i o n P a p e r , P r i n c i p l e s o f A r r a n g e m e n t , was no t

w i d e l y c i r c u l a t e d , w h i l e The Management o f A r c h i v e s has become



known p r i m a r i l y f o r i t s s t a te m e n ts t h a t a r c h i v a l p r i n c i p l e s and

tec hni que s can be ap p l i e d to p r i v a t e rec or ds and tha t l i b r a r y

s c h o o l s are the be st pl ac es f o r a r c h i v a l s tu d i e s to be taug ht.

S c h e l l e n b e r g 1 s c o n t r i b u t i o n s i n t he a r e a s o f a p p r a i s a l , a r r a n g e

ment, and d e s c r i p t i o n deser ve a wi de r r e c o g n i t i o n . H i s e x t e n s i v e

coverage of the b a s i c a p p r o a c h e s to these a r c h i v a l f u n c t i o n s

w o u l d be of co ns i de ra bl e val ue to new a r c h i v i s t s and stu de nt s

of a r c h i v e s , b u t i t i s l i k e l y th at onl y the exp eri enc ed

a r c h i v i s t w o u l d f u l l y ap pr ec ia te the depth of Sch ell enb erg 's

knowledge.



88

NOTES FOR CHAPTER I I

F o r more d e t a i l on S c h e l l e n b e r g ' s a n c e s t r y and e a r l y l i f e

see Jane F. Sm it h, "Theodore R. S c h e l l e n b e r g : A m e r i c a n iz e r andP o p u l a r i z e r , " A m e r i c a n A r c h i v i s t 44 ( F a l l 1 9 8 1 ) : 313-326.

2

T.R. S c h e l l e n b e r g , " E d i t o r Abraham L. S c h e l l e n b e r g , "M e n n o n i t e L i f e 9 ( J a n u a r y 1954) : 25 .

3

I b i d . , p. 25.

4 D a l l a s D. I r v i n e t o S c h e l l e n b e r g , 19 March 1934, P e r s o n a lL e t t e r s R e c e i v e d , T h eo d or e R. S c h e l l e n b e r g P a p e r s , K a n s as S t a t eH i s t o r i c a l S o c i e t y , Topeka, Ka. ( m i c r o f i l m , U n i v e r s i t y o fB r i t i s h C o l u m b i a L i b r a r y ) .

"^Theodore R. S c h e l l e n b e r g to K a r l S c h e l l e n b e r g , 22 November

1961, P e r s o n a l L e t t e r s , S c h e l l e n b e r g P a p e r s ( m i c r o f i l m ) .

^Connor c i t e d J e n k i n s o n i n N a t i o n a l A r c h i v e s , T h i r d AnnualR e p o r t o f the A r c h i v i s t o f th e U n i t e d S t a t e s (Washington:N a t i o n a l A r c h i v e s , 19 3 8 ) , pp. 4-5.

7

N a t i o n a l A r c h i v e s , " D i r e c t i o n s f o r the P r e p a r a t i o n ofF i n d i n g Mediums," i n Sevent h Annu al Rep ort of th e A r c h i v i s t( 1 9 4 2 ) , p. 65.

Q

S e c t i o n 3 o f th e N a t i o n a l A r c h i v e s A c t of 19 34 re ad s i n

p a r t : "He [the A r c h i v i s t ] s h a l l have f u l l power t o i n s p e c tp e r s o n a l l y o r by d e p u t y the r e c o r d s o f any agency o f the U n i t e d

S t a t e s Government w h a t s o e v e r and w h e r e s o e v e r l o c a t e d , and s h a l lhave the f u l l c o o p e r a t i o n o f any and a l l p e r s o n s i n c h a r g e o fsuch r e c o r d s i n such i n s p e c t i o n s . . . . " ( N a t i o n a l A r c h i v e s A c t ,S t a t u t e s a t L a r g e 48, s e c . 3, 1122 ( 1 9 3 4 ) ) .

9

Emmett J . Leahy t o S c h e l l e n b e r g , 22 May 194 7 and 29O c t o b e r 1947, G e n e r a l P r o f e s s i o n a l C o r r e s p o n d e n c e , S c h e l l e n b e r gP a p e r s ( m i c r o f i l m ) .

" ^ S c h e l l e n b e r g c o r r e s p o n d e d on t h e s e s u b j e c t s t h r o u g h o u t194 7. See G e n e r a l P r o f e s s i o n a l C o r r e s p o n d e n c e .

1 1

S m i t h , "Theodore R. S c h e l l e n b e r g , " p. 317.

12

F o r a d e t a i l e d a c c o u n t of th e Hoover Commissio ns seeR o b e r t W. K r a u s k o p f , "The Hoover Commis sions and F e d e r a lR e c o r d k e e p i n g , " A m e r i c a n A r c h i v i s t 21 (Octo ber 1958): 371-

399.13

O l i v e r W. Holmes, "The N a t i o n a l A r c h i v e s a t a Turn i n

t he Road," A m e r i c a n A r c h i v i s t 12 (Oct ober 1949 ): 339-354.

14

K r a u s k o p f , "Hoover Commissions," pp. 385-386.

15S c h e l l e n b e r g , " S t a t e m e n t made i n 195 0 i n d e f e n s e o f my

p l a n s o f a d m i n i s t e r i n g the N a t i o n a l A r c h i v e s , " P e r s o n a l



89

O b s e r v a t i o n s r e : N a t i o n a l A r c h i v e s , S c h e l l e n b e r g Papers

( m i c r o f i l m ) .

16

E r n s t Posner, "The N a t i o n a l A r c h i v e s and the A r c h i v a lT h e o r i s t , " A m e r i c a n A r c h i v i s t 18 ( J u l y 195 5): 213.

1 7

Wayne C. Gr ov er t o H.L. W h it e , 20 Mar ch 1953, copy i nF o r ei g n P r o f e s s i o n a l A c t i v i t i e s C o r r e s p o n d e n c e , S c h e l l e n b e r gP a p e r s ( m i c r o f i l m ) .

1 R

S c h e l l e n b e r g t o A.C. S c h w a r t i n g , 7 J u l y 1954, P e r s o n a lL e t t e r s , S c h e l l e n b e r g P a p e r s ( m i c r o f i l m ) .

19

I an M a c l e a n , " A r c h i v a l W o r l d L e a d e r " i n " I n Memoriam:Theodore R. S c h e l l e n b e r g , " A m e r i c a n A r c h i v i s t 33 ( A p r i l 1970):197.

20

H.L. W h i t e t o G.G. R o s s i t e r , 18 November 1954, copy i nF o r ei g n P r o f e s s i o n a l A c t i v i t i e s C o r r e s p o n d e n c e , S c h e l l e n b e r g

P a p e r s ( m i c r o f i l m ) . Da vi d S. M a c M i l l a n i s qu ot ed by D onal dR. McCoy, The N a t i o n a l A r c h i v e s : A m e r i c a ' s M i n i s t r y o fDocuments, 19 34-196 8 (Chap el H i l l : U n i v e r s i t y of No rt hC a r o l i n a P r e s s , 19 78 ), p. 179.

21

S c h e l l e n b e r g t o A.C. S c h w a r t i n g , 7 J u l y 1954, P e r s o n a lL e t t e r s , S c h e l l e n b e r g P a p e r s ( m i c r o f i l m ) .

22

L e s t e r J . Cappon, r e v i e w o f Modern A r c h i v e s : P r i n c i p l e sand Techniques, by T.R. S c h e l l e n b e r g , i n L i b r a r y Q u a r t e r l y 28( J a n u a r y 19 58 ): 67. O l i v e r W. Holmes, " H i s t o r y and Theo ry o fA r c h i v a l P r a c t i c e , " i n Rolan d E. Ste ve ns, ed., U n i v e r s i t y

A r c h i v e s (Champ aign, 19 65 ), p. 20.2 3

McCoy, N a t i o n a l A r c h i v e s , p. 319 and S m i t h , "T.R.S c h e l l e n b e r g , " p. 321 .

24

S c h e l l e n b e r g D i a r y , 28 F e b ru a r y 1957, 26 Au gu st 1960,13 September 1961, 15 December 1961, 19 Jan ua ry 1962, P e r s o n a lO b s e r v a t i o n s r e : N a t i o n a l A r c h i v e s , S c h e l l e n b e r g Papers( m i c r o f i l m ) .

25

S c h e l l e n b e r g , " A n a l y s i s of Developments w i t h i n theN a t i o n a l A r c h i v e s and Records S e r v i c e s , " 27 Ma rc h 1968, P e r s o n a lO b s e r v a t i o n s r e : N a t i o n a l A r c h i v e s .

2 6 S c h e l l e n b e r g D i a r y , 12 A p r i l 1957.

27

S c h e l l e n b e r g D i a r y , 26 Au gu st 1960.

2 8

H.G. J o n e s , The Re co rd s o f a N a t i o n (New York: Atheneum,

19 69 ), p. 75.29

S c h e l l e n b e r g D i a r y , 10 Ma rc h 195 8.

3 0 S c h e l l e n b e r g D i a r y , 20 December 1961."

31

M a r t i n E l z y , " S c h o l a r s h i p V e r s u s Economy: Records



90

A p p r a i s a l at the N a t i o n a l A r c h i v e s , " P r o l o g u e 6 ( F a l l 1974):187.

32

H.G. J o n e s , r e v i e w o f The Management of A r c h i v e s , byT.R. S c h e l l e n b e r g , i n A m e r i c a n A r c h i v i s t 28 (Oc tobe r 1965):556 .

3 3

W i l l i a m F. B e r n h a r d t t o S c h e l l e n b e r g , 20 O c t o b e r 1964,P u b l i c a t i o n s C o r r e s p o n d e n c e , S c h e l l e n b e r g P a p e r s ( m i c r o f i l m ) .

3 4 S c h e l l e n b e r g , The Management o f A r c h i v e s (New York:C o l u m b i a U n i v e r s i t y P r e s s , 1 9 6 5 ) , p. 70.

35

S c h e l l e n b e r g , " A r c h i v a l T r a i n i n g i n L i b r a r y S c h o o l s , "A m e r i c a n A r c h i v i s t 31 ( A p r i l 1 9 6 8 ) : 155-165, and H.G. Jones," A r c h i v a l T r a i n i n g i n A m e r i c a n U n i v e r s i t i e s , 1938-1968,"

A m e r i c a n A r c h i v i s t 31 ( A p r i l 1 9 6 8 ) : 135-154.

36

Management of A r c h i v e s , pp. 71-72, and 79.3 7 S c h e l l e n b e r g t o Roger W. Shugg, 19 A u g u s t 1957 and 27

F e b r u a r y 1963, P u b l i c a t i o n s C o r r e s p o n d e n c e , S c h e l l e n b e r g Papers( m i c r o f i l m ) .

3 8

S c h e l l e n b e r g t o E v e r e t t 0. A l l d r e d g e , 8 F e b r u a r y 1968,P e r s o n a l O b s e r v a t i o n s r e : N a t i o n a l A r c h i v e s , S c h e l l e n b e r gP a p e r s ( m i c r o f i l m ) .

39

L e s t e r J . Cappon e t a l . , "In Memoriam: Theodore R.

S c h e l l e n b e r g , " A m e r i c a n A r c h i v i s t 33 ( A p r i l 1 9 7 0 ) : 190-202.

4 0

S c h e l l e n b e r g r e f e r r e d t o a r c h i v i s t s as " g u a r d i a n s o f th et r u t h " i n Modern A r c h i v e s : P r i n c i p l e s and T e c h n i q u e s (Chicago:U n i v e r s i t y of C h i c a g o P r e s s , 1 9 5 6 ) , p. 236.



NOTES FOR CHAPTER I I I

The f i r s t E n g l i s h t r a n s l a t i o n o f th e Dutc h manual, by

A r t h u r H. L e a v i t t , a p p e a r e d i n 1940. A r e i s s u e o f t h i s

t r a n s l a t i o n was p u b l i s h e d i n 1968. See S. M u l l e r , J.A. F e i t h ,and R. F r u i n , Manual f o r t h e Arrangement and D e s c r i p t i o n of

A r c h i v e s , 2d ed ., t r a n s . A r t h u r H. L e a v i t t (New Y o r k : H.W.

W i l s o n , 1968) .

2

H i l a r y J e n k i n s o n , Manual o f A r c h i v e A d m i n i s t r a t i o n(London: Pe rc y Lund, Humphri es, 192 2).

3

F o r a h i s t o r i c a l a c c o u n t o f th e p r a c t i c e o f arrangementi n the U n i t e d S t a t e s , see F r a n k B. E v a n s , "Modern Methods of

A r r a n g e m e n t o f A r c h i v e s i n t h e U n i t e d S t a t e s , " A m e r i c a nA r c h i v i s t 29 ( A p r i l 19 66 ): 241-263. And se e pp. 5-7 above.

4

O l i v e r W. Holmes, " A r c h i v a l A r r a n g e m e n t — F i v e D i f f e r e n tO p e r a t i o n s a t

F i v e D i f f e r e n t L e v e l s , " A m e r i c a n

A r c h i v i s t 27

(January 1964) : 21-41.5

R i c h a r d C. B e r n e r , A r c h i v a l Theory and P r a c t i c e i n th e

U n i t e d S t a t e s : A H i s t o r i c a l A n a l y s i s ( S e a t t l e : U n i v e r s i t yo f W a s h i n g t o n S t a t e , 1 9 8 3 ) , p. 5.

S c h e l l e n b e r g , European A r c h i v a l P r a c t i c e s i n A r r a n g i n gR e c o r d s , S t a f f I n f o r m a t i o n C i r c u l a r , no. 5 (Washington:N a t i o n a l A r c h i v e s , 19 3 9 ) , p. 15.

7

S c h e l l e n b e r g , The Management of A r c h i v e s (New York:C o l u m b i a U n i v e r s i t y P r e s s, 1 9 6 5 ) , p. 105.

8

I b i d . , pp. 91-92.

9

I b i d . , p. 93.

" ^ M u l l e r , F e i t h , and F r u i n , M a n u a l , p. 36.

^ H i l a r y J e n k i n s o n , "The E n g l i s h A r c h i v i s t : A New

P r o f e s s i o n , " an i n a u g u r a l l e c t u r e f o r a new c o u r s e i n a r c h i v e sa d m i n i s t r a t i o n d e l i v e r e d a t U n i v e r s i t y C o l l e g e , London, 14

O c t o b e r 1947, c i t e d by S c h e l l e n b e r g , Management of A r c h i v e s ,p. 92.

12

European A r c h i v a l P r a c t i c e s , p. 17.

13

I b i d . , p. 18.

14

Management of A r c h i v e s , p. 105.

^"5

See p. 9 above.

16

See European A r c h i v a l P r a c t i c e s , and Modern A r c h i v e s :P r i n c i p l e s and T e c h n i q u e s ( C h i c a g o : U n i v e r s i t y o f Chicago

P r e s s , 1 9 5 6 ) , pp. 188-190.



92

1 7See Frank B o l e s , " D i s r e s p e c t i n g O r i g i n a l Order,"

A m e r i c a n A r c h i v i s t 45 (W in te r 19 82) : 26-32.

18

Modern A r c h i v e s , p. 53.

1 9

I b i d . , pp. 62-63.

2 0

S c h e l l e n b e r g , "The P r i n c i p l e o f P r o v e n a n c e and ModernR e c o r d s i n the U n i t e d S t a t e s , " A m e r i c a n A r c h i v i s t 28 (January1965) : 41.

2 1

S e e pp. 19-21 above.

2 2

S e e pp. 21-23 above.

2 3

P . J . S c o t t , "The R e c o r d Group C o n c e p t : A Case f o rAbandonment," A m e r i c a n A r c h i v i s t 29 ( O c t o b e r 1 9 6 6 ) : 493-504.

Some o f t h e s e c r i t i c i s m s w i l l be examined i n the d i s c u s s i o n o fa r r a n g e m e n t a t the s e r i e s l e v e l .

24See p. 7 above.

25


2 6

Management of A r c h i v e s , p . x v i .

2 7

S c h e ll e n b e rg , P r i n c i p l e s o f A r r a n g e m e n t , S t a f f I n f o r m a t i o nP a p e r , no. 18 ( W a s h i n g t o n : N a t i o n a l A r c h i v e s , 1 9 5 1 ) , pp. 5 and7. See a l s o Management of A r c h i v e s , p. 165.

2 8

Management of A r c h i v e s ,

p . x v i .

2 9 I b i d . , pp. 165-166.

30

S c h e l l e n b e r g , The P r e p a r a t i o n o f P r e l i m i n a r y I n v e n t o r i e s ,S t a f f I n f o r m a t i o n C i r c u l a r , no. 14 ( W a s h i n g t o n : N a t i o n a lA r c h i v e s , 1 9 5 0 ) , p. 3, and P r i n c i p l e s of A r r a n g e m e n t , pp. 9-11.

31

Modern A r c h i v e s , p. 184. See a l s o P r i n c i p l e s o fA r r a n g e m e n t , pp. 9-10.

32

B e r n e r , A r c h i v a l Theory and P r a c t i c e , p. 62. See a l s o

U n i v e r s i t y o f W a s h i n g t o n L i b r a r i e s , M a n u a l ~ f o r A c c e s s i o n i n g ,A r r a n g e m e n t , and D e s c r i p t i o n o f M a n u s c r i p t s and A r c h i v e s , 2d ed.

( S e a t t l e : U n i v e r s i t y o f Wash ingt on, 1982).33

See Donna Webber, r e v i e w o f Manual f o r A c c e s s i o n i n g ,A r r a n g e m e n t , and D e s c r i p t i o n , by the U n i v e r s i t y o f WashingtonL i b r a r i e s , i n A m e r i c a n A r c h i v i s t 46 (Summer 19 83 ): 331-333.

34

Management o f A r c h i v e s , p. 170.

I b i d . , p. x v i .

3 6

I b i d . , pp. 168-169.

3 7 I b i d . , p. 169.




P r i n c i p l e s o f Arrangement, p. 11.

Management o f A r c h i v e s , p. 170 .

P r i n c i p l e s o f Arrangement, p. 11.

Management o f A r c h i v e s , p. 170 .

3 8

I b i d . , p. 169.

39

Holmes, " A r c h i v a l Arrangement," p. 28.

40

41

42

43

44

45

Holmes, " A r c h i v a l Arrangement," p. 29.

4 6 S c o t t , " R e c o r d Group C o n c e p t , " p. 49 7.

4 7 C a r l V i n c e n t , "The Recor d Group: A C o n c e p t i n E v o l u t i o n , "A r c h i v a r i a 3 ( W i n t e r 1976-77), p. 13*.

4 8


4 9

I b i d . , pp. 190-196.

5 0

H o l m e s , " A r c h i v a l Arrangement," pp. 36-39.

51

D o n a l d R. McCoy, The N a t i o n a l A r c h i v e s : America'sM i n i s t r y o f Documents, 19 34-1938 ( C h a p e l H i l l : U n i v e r s i t y o f

N o r t h C a r o l i n a P r e s s , 1978), pp. 212-213.52

L e s t e r J . Cappon, " H i s t o r i c a l M a n u s c r i p t s as A r c h i v e s :Some D e f i n i t i o n s and T h ei r A p p l i c a t i o n , " A m e r i c a n A r c h i v i s t 19( A p r i l 1 9 5 6 ) : 110.

5 3

R o b e r t L. B r u b a k e r , " A r c h i v a l P r i n c i p l e s and the C u r a t o ro f M a n u s c r i p t s , " A m e r i c a n A r c h i v i s t 29 (Octobe r 1966) : 505.

54

Management o f A r c h i v e s , p. IX.

5 5

I b i d . , p. 95.

5 6 I b i d . , pp. 173-174.

5 7

I b i d . , pp. 178-179.

5 8

I b i d . , p. 183.

5 9

I b i d . , pp. 190-197.

^ R u t h B. B o r d i n and R o b e r t M. Warner, The Modern M a n u s c r i p tL i b r a r y (New Y o r k : S c a r e c r o w P r e s s , 1 9 6 6 ) ; L u c i l e M. Kane, A

Guide t o the Care and A d m i n i s t r a t i o n o f M a n u s c r i p t s ( N a s h v i l l e :A m e r i c a n A s s o c i a t i o n f o r S t a t e and L o c a l H i s t o r y , 1966).

61




94

fi 2

Management of A r c h i v e s , p. 106.

6 3

I b i d . , pp. 119-140, and Modern A r c h i v e s , pp. 95-97.

64

Management of A r c h i v e s , pp. 122-133.

6 5

I b i d . , pp. 133-134.

6 6

I b i d . , p. 133.

6 7

I b i d . , pp. 269-270

S c h e l l e n b e r g D i a r y , 26 A u g u s t 1960, P e r s o n a l O b s e r v a t i o n sr e : N a t i o n a l A r c h i v e s , Theodore R. S c h e l l e n b e r g Pa pe rs , KansasS t a t e H i s t o r i c a l S o c i e t y , Topeka, Ka. ( m i c r o f i l m , U n i v e r s i t yo f B r i t i s h C o l u m b i a L i b r a r y ) .

^Management of A r c h i v e s , p. 273.

7 0

I b i d . , p. 274.71

B r u b a k e r , " A r c h i v a l P r i n c i p l e s , " p. 514.

72

R i c h a r d C. B e r n e r t o Theodore R. S c h e l l e n b e r g , 2 8December 1966, G e n e r a l P r o f e s s i o n a l C o r r e s p o n d e n c e , S c h e l l e n b e r gP a p e r s ( m i c r o f i l m ) .

73 . .

B e r n e r , A r c h i v a l Theory and P r a c t i c e ; U n i v e r s i t y ofW a s h i n g t o n L i b r a r i e s , Manual f o r A c c e s s i o n i n g , A r r a n g e m e n t , andD e s c r i p t i o n .

74

T e r r y E a s t w o o d , " D e s c r i p t i v e P r a c t i c e s o f C a n a d i a nA r c h i v e s : d r a f t of a s e c t i o n of the r e p o r t of the Work ingGroup on A r c h i v a l D e s c r i p t i v e S t a n d a r d s , " V a n c o u v e r , 19 84.

75

Management of A r c h i v e s , p. 79.7 6

See p. 25 above.





96

18A p p r a i s a l , pp. 6-7.

1 9 S c h e l l e n b e r g , " A r c h i v a l P r i n c i p l e s o f Arrangement,"

A m e r i c a n A r c h i v i s t 24 (J an ua ry 1961) : 11.

A p p r a i s a l , p. 8.

2 1 I b i d . , p. 11.

22

See pp. 21-22 above.2 3

A p p r a i s a l , p. 17.24

Meyer F i s h b e i n , " A p p r a i s a l o f T w e n t i e t h C e n t u r y R e c o r d sf o r H i s t o r i c a l Use," I l l i n o i s L i b r a r i e s 52 ( F e b r u a r y 1 9 7 0 ) : 158.

See a l s o F i s h b e i n , "A V i e w p o i n t on A p p r a i s a l o f N a t i o n a lR e c o r d s , " A m e r i c a n A r c h i v i s t 33 ( A p r i l 1 9 7 0 ) : 175-187.

25A p p r a i s a l , p. 17.

" Leonard Rapport* "No G r a n d f a t h e r C l a u s e : R e a p p r a i s i n gA c c e s s i o n e d R e c o r d s , " A m e r i c a n A r c h i v i s t 44 ( S p r i n g 1981):146-147. The c i t a t i o n o f S c h e l l e n b e r g i s from A p p r a i s a l , p. 7.

o 7

A p p r a i s a l , p. 22.

2 8

F r a n k B o l e s and J u l i a Marks Young, " E x p l o r i n g the Bl ack

Box: The A p p r a i s a l o f U n i v e r s i t y A d m i n i s t r a t i v e Records,"A m e r i c a n A r c h i v i s t 48 ( S p r i n g 1985): 123.

29

A p p r a i s a l , pp. 22-24.3 0 I b i d . , pp. 24-25.

3 1 I b i d . , pp. 25-27

3 2 I b i d . , p. 44.

3 3 I b i d . , pp . 8, 38, and 45.

34

See pp. 25 and 56-5 7 ab ov e.35

A p p r a i s a l , pp. 44-45.36

I b i d . , p. 46.

37

See p. 2 0 ab ov e.

38

W. Kaye Lamb, "The F i n e A r t o f D e s t r u c t i o n , " i n A. J.

H o l l a e n d e r , e d . , E s s a y s i n Memory o f S i r H i l a r y J e n k i n s o n(London: S o c i e t y o f A r c h i v i s t s , 1 9 6 2 ) , pp. 50-56, and W i l f r i d

S m i t h , " A r c h i v a l S e l e c t i o n : A Canadi an View," J o u r n a l o f th eS o c i e t y o f A r c h i v i s t s 3 (O ctober 1967): 275-280.

39

Maynard J . B r i c h f o r d , A r c h i v e s and M a n u s c r i p t s : A p p r a i s a land A c c e s s i o n i n g ( C h i c a g o : S o c i e t v o f A m e r i c a n A r c h i v i s t s ,1977) .



4 0 R a p p o r t , "No G r a n d f a t h e r C l a u s e . "

41

See p. 14 a bo ve .

42

F or an i n d i c a t i o n o f t h i s t r e n d , see Gary A. M i t c h e l l ,"The A p p r a i s a l o f C a n a d i a n M i l i t a r y P e r s o n n e l F i l e s o f th eF i r s t World War" (M.A.S. d i s s e r t a t i o n , U n i v e r s i t y o f B r i t i s h

Co lu mb ia , 1984) .4 3 A p p r a i s a l , pp. 40- 41.

44

P a u l L e w i n s o n , " A r c h i v a l S a m p l i n g , " A m e r i c a n A r c h i v i s t(October 19 57 ): 307.

45

F e l i x H u l l , The Use o f Sa mp li ng Tech ni qu es i n theR e t e n t i o n o f Reco rds ( P a r i s : UNESCO, 1981).

4

^ I b i d . , pp. 11-14.

4 7

P e a c e , " D e c i d i n g What t o Sav e," pp. 10- 11.48

Ake Kromnow, "The A p p r a i s a l of Contemporary Rec ord s,"Arc hiv um 26 (197 9): 45-48.

49

F i s h b e i n , " V i e w p o i n t on A p p r a i s a l , " p. 18 3.5 0 S c h e l l e n b e r g , " P r i n c i p l e s o f A r c h i v a l A p p r a i s a l , " i n

C a r i b b e a n A r c h i v e s C o n f e r e n c e , D o c u m e n t a t i o n , document 9a(Mona, J a m a i c a , 1 9 6 5 ) .

51

See p. 2 6 above.



NOTES FOR CHAPTER V

For example, see G eo rg e B o l o t e n k o , " A r c h i v i s t s andH i s t o r i a n s : K e e p e r s of th e W e l l , " A r c h i v a r i a 16 (Summer 1983):5-25.

2

S c h e l l e n b e r g , "A N a t i o n w i d e S ys t em o f C o n t r o l l i n gH i s t o r i c a l M a n u s c r i p t s i n the U n i t e d S t a t e s , " A m e r i c a n A r c h i v i s t28 ( J u l y 1 9 6 5 ) : 409.

3 F e l i x H u l l , The Use o f S a m p l i n g T e c h n i q u e s i n the

R e t e n t i o n o f Records ( P a r i s : UNESCO, 1 9 8 1 ) . The a r t i c l e whichH u l l summarized i s M. R e i g e r , "Modern R e c or d s R e t i r e m e n t andA p p r a i s a l P r a c t i c e , " UJISLAA 1 (19 7 9 ) .



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