Understanding Archives and Manuscripts Book Review

• O’Toole, James M. Understanding Archives and Manuscripts, Chicago: Society of American Archivists, 1990.

James O'Toole's Understanding Archives and Manuscripts is a helpful guide to understanding basic information about the history and development of the science of archives. O'Toole contends that knowing how records came to be, what functions they document, what information they contain, and how that information can be used is fundamental to understanding archives and manuscripts. In the first chapter, O'Toole discusses how record making developed from oral transmission used by the earliest preliterate people to the modern proliferation of texts in literate societies through various means. He notes that the shift from oral transmission to written texts produced more precision, more permanent records, and more progress, especially when writing became a widely used form of communication. As literacy increased in society, so did the proliferation of records, which in turn meant that society began to value whole sets of records more than the individual parts.

O'Toole points out that there are six basic reasons for the creation of records: personal, social, economic, legal, instrumental, and symbolic. People save records for both practical and ephemeral reasons. Records archived for practical reasons can be saved either for their priginal intended use or some unknown secondary purpose. O'Toole then traces the development of various instruments that have been used to record information. He notes that sometimes progress in the means of communication results in more information being recorded (ie. printing press), and sometimes it means less (ie. telephone). He concludes the chapter by pointing out that modern records are abundant, decentralized, interrelated, social, have value as a whole, and have shifiting usefulness.

In the second chapter, O'Toole recounts the development of archives, particularly in America, and he notes that archival science is a growing discipline in America. He discusses the fact that ancient civilizations used the word archives to refer to any written records. Modern archival practices really began during the French Revolution when records began to be kept to protect the rights of the people.

O'Toole notes that public records were important in America from the time of the establishment of Jamestown. In the late 18th century, there also developed a historical manuscript tradition that began with the work of the Massachusetts Historical Society, which was established in 1791. This tradition focused on gathering, saving, preserving, and publishing historical manuscripts to ensure continued access to them. During the 19th century, the focus on the historical manuscript tradition in the US far outweighed the focus on the public records tradition. This trend began to change shortly before the beginning of the 20th century with the establishment of the Public Archives Commission of the American Historical Association. The 1930s brought several developments for archives including the building of the National Archives, the formation of the Society of American Archivists, and the Historical Records Survey of the Works Progress Administration. In the decades that followed, archival science went through a period of diversification of interests (ie. records management) and of consolidation of professional identity (various types of standardization).

The final two chapters describe the work of archivists and thee types of knowledge and values that archivists need to possess. Archivists should develop knowledge about the creators of the records with which they work. They should understand how records are created, how they are used, and the types of activities they document. In addition to all these, they should understand basic archival principles such as provenance and original order, and they should have a working knowledge of how to take intellectual and physical control of records for which they are responsible.

Understanding Archives and Manuscripts is an extremely helpful guide to the archival profession. O'Toole explains both the history and concepts behind archival science in simple language. He also provides a basic bibliography of archival texts as an appendix. I would, without reservation, place this text in the hands of a student worker who was considering a career in archives. In fact, I may do just that tomorrow.

Modern Archives: Principles and Techniques Book Review

• Schellenberg, Theodore R. Modern Archives: Principles and Techniques, Chicago: University of Chicago Press, 1956. SAA Archival Classics Series. Chicago: Society of American Archivists, 2003.

Even commenting on a book like this can be a little unnerving. Schellenberg's Modern Archives is an archival classic, and for me to even say that is tantamount to saying that the Grand Canyon is grand. The thing needs no praise, especially from someone as insignificant as me. It is also unnerving because for me to criticize the book in any way is tantamount to my looking at a particular part of the Grand Canyon and saying, "Well, right here it does not look so grand." Again, I am insignificant, and Schellenberg is not. He is the hero of archivists–an archivist's archivist, if there ever was one. So, I confess at the beginning of this review that I am probably unqualified to say anything of this work.

In this book, Schellenberg discusses a wide variety of topics related to archives and records management. He begins by describing the way national archives programs developed in France (Archives Nationales in 1795), England (Public Record Office in 1838), and the United States (National Archives in 1934). The reasons for the existence of archives are governmental efficiency, cultural preservation, personal interest, and official (ie. so a government can do its work.) He notes that records must meet at least two qualifications to be considered archives. First, they must be "created or accumulated to accomplish some purpose." Second, they must "be preserved for reasons other than which they were created or accumulated." He also notes the Jenkinson believed a third qualification was necessary; an archive must have "the possibility of proving an unblemished line of responsible custodians."

Schellenberg points out a couple of fundamental differences between archives and libraries. First, they differ in holdings. The materials holdings of libraries were created in a different manner from the holdings of archives. Likewise, the way a library acquires its holdings differs from the way an archive acquires its holdings. Libraries and archives also differ in their methods. The two types of institutions differ in the way they appraise, select, arrange, describe their respective materials. Still, each type of institution can benefit the other. Archivists should also cooperate with record managers or officers. An archivist is concerned with the work of records managers because he or she will eventually receive their records, describe their records, and provide availability to their records in accord with policies that the originating institution set forth. Archivists should participate in discussions with records managers about how records are arranged. The two occupations have differing roles relating to the primary and secondary value of records. Record managers judge the primary value. Archivists ultimately judge the secondary value, although they receive input in this regard from records managers.

Schellenberg devotes a whole section to records management. This section deals primarily with government records. He contends that the nature of records is that they ever increase in number, volume, and complexity. The most difficult types of records to manage are the ones that are the most important. Records dealing with origins, policies, and procedures are attended with difficulty and do not pass quickly into non-current use. Each government agency should have a staff concerned with record keeping that works with an archivist to determine what records have enduring value. Records pass from current use in an agency's office, to non-current use in a records management center, to non-current use in an archives.

Schellenberg's section on archives covers several topics of importance with regard to archives. He addresses the conditions of archival management by pointing out that modern archives are difficult to deal with because they are difficult to identify and come in a variety of forms. Yet they must be maintained because they are often unique and are valuable for many purposes. Schellenberg pointed out that NARA basically separated the activities conducted in managing archives into four parts: disposition activities, preservation and arrangement activities, description and publication activities, and reference service activities. Work in an archives should be assigned by subject matter. Workers should generally understand archival principles, but they should also have background in a field of work that can complement the materials that they will work with in the archives. There should be an organizing plan to the work of an archives to ensure that the work on collections progresses evenly.

In discussing appraisal, Schellengberg notes that in America, two values determine whether or not records should be retained. Evidential value refers to the evidence that documents the function of the government that produced the records. There are three tests for determining evidential value: the position of each office in a structure, the functions performed by an office, and the activities carried out by an office. The most important records will usually come from the top of a hierarchy. Four types of records should be analyzed of evidential value: policy records, operating records, housekeeping records, and publications. Informational value refers to records providing information about persons, corporations, events, and problems. When appraising records for informational value, the archivist is not always concerned with their provenance. Basically, appraisal means the archivist is to consider the various types of research for which scholars can use the records. Schellenberg conceives of the archivist as historically trained. When archivists encounter a particular type of information in records with which they are unfamiliar, they should consult a scholar familiar with that type of research to see if the records are significant.

Schellenberg briefly touches upon preservation practices. If any section of this work could be strengthened, it is the section on preservation. He points out that the two types of threats to records are internal and external (environmental). He says that good facilities are necessary to an archives and will generally eliminate the external threats. He points out that records are often threatened by materials intrinsic to them. He also says that at the time of his writing, laminating was an acceptable and preferred means of preservation activity for paper. He notes that this practice was in the process of evaluation.

Schellenberg's discussion of arrangement is quite helpful, particularly because he recounts the history of terms such as fonds, respect des fonds, provenance, and original order. He points out that the principles of archival arrangement are quite different from the principles of record keeping, primarily because archivists arrange records from multiple agencies in a way that demonstrates their relation to one another. He recounts the history of arrangement first by considering Europe. France's Archives Nationales originally had subject based arrangement developed by Camus and Daunou. In 1839, however, Guizot departed from this system and proposed that records be grouped in fonds according to the creating institution. In 1841, the term respect des fonds first occurred in a circular produced by the Minister of the Interior, Count Duchatel. However, within the fonds, France still arranged by subject. Prussia (ie. Heinrich von Sybel, 1881) extended this concept by developing the idea of provenance, claiming that an archives should group according to the administrative units and maintain the arrangement of the creating agency. The Dutch extended these ideas and claimed that records should be arranged according to the original order of the registry. Finally, English archivists, particularly Jenkinson, claimed that archivists should never transgress original order, even in regards to miscellaneous items within records.

In America, archivists for the National Archives faced several problems. First, they had to determine what to call groups of records because their groups differed somewhat from European records. They settled on the term "record group." Second, they had to decide how to divide the records of various agencies within the departments of NARA. Third, they had to decide on how to arrange record groups. Finally, they had to decide how to arrange records within record groups. Schellenberg concludes this subject by suggesting that several things. First, records should be in separate units according to agency. The holdings of archives should be divided into units or groups. They should maintain records in the order in which they were received. Finally, records being used for informational purposes should be arranged in the way that best serves scholars.

Schellenberg discusses description by noting that it has four basic elements: authorship, physical type, title of the unit, physical structure of the unit. In America, records are modern in form and content. Very few records predate the 19th century. At the National Archives, they divide their records into approximately 300 record groups and use two different schemes to describe their records. The provenance scheme is the preferred method. Here, the archivists describe record groups according to their hierarchy and administrative function. They produce finding aids in various stages of development for all record groups. The National Archives also sparingly uses a pertinence scheme of description. They occasionally develop either reference information papers or detailed lists about special topics. Obviously, this method cannot be applied to entire repositories.

Schellenberg briefly addresses publication before turning his attention to reference in the final chapter. Here he looks at the policies governing access and use. He argues that archivists should encourage openness of records for the public good and discourage unreasonable limitations on access. However, doing what is best for the public good also means that certain types of records, such as those that pertain to the security of the nation, present foreign affairs, confidential business information, or personal information, should have very limited or restricted access. Schellenberg also makes several points concerning use. First, all users should be treated similarly. Second, reasonable requests should ideally be filled in order of importance, without regard for the status of the person making the requests. Archivists should, however, ask for identification to ensure that the patron is trustworthy. Likewise, patrons should sign a statement acknowledging that they received the materials. Lending (as opposed to using) of materials should be discouraged, although it is sometimes appropriate to lend records to the creating agency. Finally, reproduction services are generally appropriate, as are certain types of information services requests.

Selecting and Appraising Archives and Manuscripts Book Review

• Boles, Frank. Selecting and Appraising Archives and Manuscripts, Chicago: Society of American Archivists, 2005.

Frank Boles's Selecting and Appraising Archives and Manuscripts assesses the often troubling and convoluted subject of archival selection. Boles believes that selection is a more accurate term than appraisal because it is more transparent about the fact that (gasp!) archivists sometimes have to determine to throw things away (all of you theologians can think of it as the archival version of passive reprobation.) Boles believes that archivists select because selection is a societal need, and archivists are the best trained professionals for selecting.

Boles surveys the history of theories on selection, and he notes that the waters are now muddied concerning what archivists should do in regard to selection. Several proposals have been offered. The english archivist, Hillary Jenkinson, proposed that archiving was almost purely an administrative activity. In essence, he advised that archivists keep rather than select. T. R. Schellenberg, the former NARA archivist, emphasized selecting materials with reference to secondary users. In other words, Schellenberg seems to have believed in archiving for the purpose of history and culture. Later, Gerald Ham contended that selection involved selecting records that document evidence of the human experience. Most archivists since the 1970s have found some position between Schellenberg and Jenkinson. A practical school developed that was more Schellenbergian. It tried to build a better framework for selection, but it lacked the focus on documenting cultural history. Several other movements and tools (New Paradigm, Macro Appraisal, Functional Analysis, Risk Management, AS 4390) leaned more toward the Jenkensonian model in downplaying cultural history and secondary users because their proponents believed that archives are just records. Other archivists have countered that some records (ie. Constitution, Declaration of Independence) have symbolic value and are culturally important.

Boles proposes several broad principles for selection that can apply, in some measure, to any archives. First, archivists may select for a variety of goals as befits the institution. Second, selection can occur at any time. An archivist can participate in the creation of records, or save them from being destroyed. Finally, both the context (ie. Jenkinson) and content (ie. Schellenberg) of records matter. The purposes of the institution or repository will determine how to balance these factors.

Boles contends that selection should be based on an archives's mission. He notes that there are basically two types of repositories, each of which has different missions. Institutional archives exist to document the life and work of an institution. Collecting repository documents records dealing within a certain predefined subject area. Often, especially in educational settings, these two functions are combined. Both types of institutions often have broad mandates, and both should have collecting policies that govern the types of records they collect. Boles discusses the ways that records management, records schedules, records continuums, and functional analysis apply to archives and noted that strengths and weaknesses of each.

Boles argues that the taxonomy for selection on the micro-appraisal level falls into three broad categories: value of information, cost, and political implications. Boles fully describes many factors involved in assessing each of these categories.

Boles describes a six step model for selection that included defining goals and understanding the scope of the repository's collections; determining the types of records that are "out there"; prioritizing materials to acquire; defining the functions and documentary levels to acquire; selecting records based upon the above steps; periodic updating of the selection model (at least every five years). Finally, Boles offers arguments for why non-textual formats should be given equal consideration in selection despite their attendant difficulties.

Ethics and the Archival Profession Book Review

• Benedict, Karen, editor. Ethics and the Archival Profession: Introduction and Case Studies, Chicago: Society of American Archivists, 2003.

The Society of American Archivists's Ethics and the Archival Profession is a an explanation of the 1992 revision of their "Code of Ethics for Archivists." The 2005 revision of this document is available from the SAA website. The code governs the ethical conduct of archivists, and the SAA's original code was the first ethical code developed for archivists. Karen Benedict strives, in this work, to make a firm distinction between ethical and professional principles. Ethical principals are the moral obligations incumbent upon a practicioner of a profession. Issues of professional conduct are generally issues regarding how an archivist relates to patrons, other archives, and his or her institution of employment. Benedict notes that both the 1980 and 1992 versions of the code include items that deal with the ethical and the professional. In my opinion, the 2005 revision of the code appears to be more narrowly focused upon the ethical obligations of the profession.

Benedict outlines several practical areas that ethics affects within institutions. She notes that the code recommends that institutions avoid competition. This recommendation raises several questions pertaining to how archivists practically do this. Another area of practical concern is donor relations. This is of concern because relating to donors often touches upon legal issues (right to privacy, taxes, intellectual property) and ethical issues (access, confidentiality, and authenticity.) Other practical areas for ethics include professional benchmarks regarding issues such as staffing and budget. These issues determine how well archives can preserve collections.

Benedict also points out that there are distinctions between laws and ethics. Occasionally, these two come into conflict. Archivists may be required by law to do what is professionally unethical. Likewise, in striving to be ethical, they may be required to break the law. Benedict recommends that in such circumstances, archivists much act in accord with conscience with full understanding of the potential consequences for their actions. The main areas of legality that archivists generally have to reckon with are issues of privacy rights and property rights. Privacy rights can affect restiricting materials or selecting collections. Property rights can affect areas such as theft. Archivists should be aware of the laws that govern these areas and should assure their donors that they are aware of the legal obligations in these areas.

The remainder of Benedict's work provides a variety of helpful case studies that touch upon every area of the 1992 revision of the code. Benedict provides several helpful appendices, one of which includes the 1992 revision of the "Code of Ethics for Archivists." Although many of the sections of the code have now changed, the issues addressed in this book are of enduring value. Although many of the case studies no longer apply to the newly released code, they still serve as helpful guides to appropriate professional conduct for archivists.

Accidental Systems Librarian Book Review

Gordon, Rachel Singer. The Accidental Systems Librarian, Medford, NJ: Information Today, Inc., 2003.

Rachel Singer Gordon’s The Accidental Systems Librarian, is intended to be a basic guide to the various duties that systems librarians undertake. The title of the book comes from the fact that many librarians find themselves taking on systems duties without any formal training. Gordon begins her treatment by listing many of the duties that systems librarians might undertake. These can involve anything from installing hardware to networking to dealing with vendors to being the point person for digitization projects. Because of these varied duties, selecting a title for a systems librarian can be difficult, and the titles for systems librarians are often varied. She notes that the technical aspects involved in systems librarianship tempt some to leave the systems element to those who have an IT background rather than librarians. She says this is a bad idea because librarians understand the needs and vocabulary of other librarians. The librarian does not learn the IT vocabulary naturally, but it is usually easier for librarians to pick up systems language than vis versa. In essence, the systems librarian becomes a liasion between the library, the library administrator, new staff, and the IT department. Gordon also suggests that systems staff should develop documentation of systems tasks and that libraries develop a set of competencies for the systems libararian, and a set of competencies for the library staff. The New Jersey Library Association offers one example of such competencies.

Gordon provides a good overview for the categories of computer knowledge a systems librarian may need. These include an understanding of Microsoft software, Macintosh, Open Source software, networking, web design, intergrated library systems management, troubleshooting, programming, security, and antivirus. She also suggests that a systems librarian should be active in organizing knowledge. Organizing knowledge involves such things as inventorying computer equipment, compiling various types of statistics for the library, and keeping up with licensing, support information, and systems documentation.

Gordon also says that a librarian’s background provides a good background for library systems work in yet another way; the librarian is familiar with methods for researching. This ability helps in systems work because almost every problem systems librarians encounter requires them to look for an answer. At times, this requires a librarian to look in multiple places. This method applies to repairs, troubleshooting, and purchasing. Likewise, librarians are used to having to ferret out the exact piece of information that patrons want. This should enable them to help customer service representatives know exactly how to help them. They should be prepared with detailed information regarding the issue that necessitated their call.

Gordon encourages systems librarians to pursue numerous avenues of social networking to assist them in their work. These avenues include listservs, associations, conferences, informal networks, and collaborative projects. Developing such contacts will be useful when troubleshooting problems or evaluating products. It also gives the systems librarian a chance to assist other librarians in their work.

Gordon’s chapter on instruction techniques offers several helpful tips. First, she points out that systems librarians often are responsible for instructing both staff and patrons to use technology. For patrons, this can include instruction on how to use Microsoft Office products, the OPAC, databases, or any number of other technologies. For staff, the list can include all of these plus any software used in the course of work in the library. Gordon says that any instruction should be brief, simple, applicable, and to the point. Whether one is instructing patrons or staff, the practical advantages to learning the lesson should be patently obvious. Classes can be formal if the library has a computer lab, but may need to be informal if it does not. Systems librarians should take whatever opportunities they have, even if they are one on one, to offer technology instruction. Gordon takes a similar tack with education for systems librarians. She notes that often libraries are on a tight budget and do not have the financial ability to provide formal education for systems librarians. In such cases, systems librarians may have to look at alternative methods for education, including conferences, workshops, books, and web based training. The final two chapters offer helpful suggestions on how one can plan for various technology changes and how one can proceed in his or her systems librarian career.

The Accidental Systems Librarian is an invaluable (at least for me, at this time in my career) work for anyone who finds themselves in such a position. Gordon’s book is not just a basic overview of the systems librarian position. It is a resource builder. The websites, articles, and books she cites within the book serve as a veritable toolbox for the librarian with systems responsibilities.

Starting an Archives Book Review

Yakel, Elizabeth. Starting an Archives, Chicago: Society of American Archives and Scarecrow Press, 1994.

Elizabeth Yakel’s Starting an Archives is an entry level book on how one should go about starting an archival program within an institution. Yakel begins her work by noting that the term archive can denote the official noncurrent records of an institution, the agency that preserves such records, or the building in which such records are housed. Yakel distinguishes between archives and manuscripts by pointing out that manuscripts can refer to an individual’s papers, a collection of items put together by a person or persons, or individual items obtained because of some special significance. In short, an archive is produced by an institution and a manuscript is produced by a person.

An institution that starts an archive has crucial decisions to make about the institutional commitment, archival staff, and archival facilities. The institution has to decide if it wants to commit the time, money, and resources to starting such a program. The benefits are great in terms of preservation, but they can be expensive. Some institutions may let an outside agency care for their records. If an institution decides to start an archive, the administration should give the archive authority over records and place it as an independent wing within the institution, probably under a vice president. It must also commit to funding such things as staff compensation, a supply budget, and education. The selection of archival staff should be limited to persons who are active workers that are interested in preserving records. The archives is not just a place to send older workers so they can retire. The people who work within archives should immerse themselves in archival culture. Finally, an archives must be willing to invest what can be a substantial amount of money to the upkeep of a building in which to house the archive.

Yakel contends that several documents are necessary to the formation of an archive. First, the archive needs a statement of authority, that delineates where the archive falls within the hierarchy of the institution. The archive also needs a mission statement that describes what the archive documents, how the program was initiated, what materials it collects, and what groups it serves. Additionally, the archive needs a document that sets forth the plans and priorities of the archive for both the long and short terms. Finally, the archive needs to have an annual report, a collection development policy, a description of positions, a budget, and an advisory board.

Yakel provides an in depth look at what elements should be included in a collection development policy. She contends that one of the first things that an archive needs to do is survey their records to see exactly what materials comprise the materials. This process informs both the mission and the collection development policy of the institution. Archivists should also make a practice of appraising records within their institiution in order to determine which records are of enduring value. Likewise, archivists should maintain intellectual control over their materials via paperwork. Their should be a clear paper trail from the time of accessioning all the way through the life of the materials until, if necessary, deaccessioning. This paper trail includes an accession record, a deed of gift or transfer form, and a deaccession list.

Yakel’s chapter on arrangement and description defines several useful concepts. Provenance is the concept that records from one creator should not be mixed with those of another. Record Groups are records that are arranged together and related because of provenance. A series is a division of similarly organized materials created by the creator of the records. All arrangement of records is to take place with these concepts, as well as the idea of original order, in mind. Yakel contends there are five levels of arrangement: repository, record group, series, file unit, and item. One essential feature of records description is the finding aid. Yakel says this is comprised, at minimum, of two parts: a orientating narrative section, and a file or container list.

Learning PHP 5 Book Review

• Sklar, David. Learning PHP 5. Beijing: O’Reilly, 2004.

Learning PHP 5 is an entry level book on PHP. PHP is a server side scripting language that allows one to add dynamic content to websites. In contrast from other scripting languages, such as JavaScript, PHP executes all of its operations on a server rather than on the computer of the person who is using a web page. PHP can be easily embedded into HTML. It is a very popular language because it is free, open source, cross-platform compatible, has a rather easy learning curve, and allows you to hide your code. When a client requests a PHP page from a server, the server uses a PHP interpreter to parse the request and convert the PHP program embedded in the HTML into HTML.

Book Reviews

One of the main ways that I intend to share information about archives and technology in general on this blog is through the creating book reviews and study notes as I study several books. For those interested in seeing the books I intend to review over the next few weeks, see the book review tab at the top of the page.