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The ideas of T. R. Schellenberg on the appraisal, arrangement, and description of archives Stapleton, Rick 1985

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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 the Department o f 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 Stephen S t a p l e t o n , 1985 In presenting t h i s thesis i n p a r t i a l f u l f i l m e n t of the requirements for an advanced degree at the University of B r i t i s h Columbia, I agree that the Library s h a l l make i t f r e e l y available for reference and study. I further agree 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 h i s or her representatives. I t i s understood that copying or publication of t h i s thesis for f i n a n c i a l gain s h a l l not be allowed without my written 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 University of B r i t i s h Columbia 1956 Main Mall Vancouver, Canada V6T 1Y3 D a t e 10 September 1985 DE-6 (3/81) ABSTRACT T h i s t h e s i s i s an e x a m i n a t i o n o f the i d e a s o f the eminent American a r c h i v i s t , T.R. S c h e l l e n b e r g (1903-1970), on the arrangement, 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 . The f o r m u l a t i o n o f these i d e a s i s s e t i n t h e c o n t e x t o f the N a t i o n a l A r c h i v e s o f the U n i t e d S t a t e s where S c h e l l e n b e r g was employed f o r more than t w e n t y - f i v e y e a r s . The N a t i o n a l A r c h i v e s was the 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 attempt t o d e a l w i t h the problems c r e a t e d by l a r g e volumes o f r e c o r d s . A c c o r d i n g l y , S c h e l l e n b e r g 1 w r i t i n g s — t h e most famous of w h i c h i s the book Modern A r c h i v e s ; P r i n c i p l e s and Techniques ( 1 9 5 6 ) — a r e concerned p r i m a r i l y w i t h f i n d i n g s o l u t i o n s t o t h e s e p r o b l e m s , e s p e c i a l l y w i t h r e g a r d t o arrangement, d e s c r i p t i o n , and a p p r a i s a l . H i s s k i l l f u l b l e n d i n g o f a r c h i v a l t h e o r y and p r a c t i c e i n the p r e s e n t a t i o n o f g e n e r a l p r i n c i p l e s and t e c h n i q u e s i s emphasized, as w e l l as h i s i m p o r t a n t r o l e i n the m o d e r n i z a t i o n o f the a r c h i v a l p r o f e s s i o n . Through a comparison w i t h the w r i t i n g s o f o t h e r a r c h i v i s t s , i t i s c o n c l u d e d t h a t S c h e l l e n b e r g 1 s i d e a s have a c o n t i n u i n g r e l e v a n c e f o r p r e s e n t day a r c h i v i s t s . TABLE OF CONTENTS ABSTRACT i i CHAPTER I INTRODUCTION 1 CHAPTER I I LIFE 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. S c h e l l e n b e r g (1903-1970) was an American a r c h i v i s t o f 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 1956, h i s Modern A r c h i v e s ; P r i n c i p l e s and Techniques became the f i r s t a r c h i v a l t e x t b o o k t o be w r i t t e n by an 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 J e n k i n s o n ' s A Manual o f A r c h i v e A d m i n i 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 o f A r c h i v e s (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 the N a t i o n a l A r c h i v e s , where he spent most o f 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 e d u c a t i o n and s e r v e d 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 A m erica. Even though 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 knowledge, o n l y 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. S c h e l l e n b e r g , 1903-1970" i s a e u l o g y w h i c h appeared i n the American 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 d e a t h . The o t h e r , Jane Smith'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 and P o p u l a r i z e r , " p u b l i s h e d i n the American A r c h i v i s t i n 1981, d e a l s 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 e e r and does n o t t r e a t h i s a r c h i v a l i d e a s i n any d e t a i l . The purpose o f t h i s p r e s e n t study i s t o c o n c e n t r a t e on S c h e l l e n b e r g ' s i d e a s i n the a r e a s o f arrangement, 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 , which c o n s t i t u t e the c o r 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 p r e s e n 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, h i s a c t u a l i d e a s are a l m o s t c e r t a i n l y n o t as w e l l known today. As p r e s e n t day a r c h i v i s t s c o n t i n u e t o s e a r c h f o r improved approaches t o arrangement, 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 o f the p a s t . 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 c h a p t e r o f t h i s t h e s i s , w h i l e h i s i d e a s on a p p r a i s a l are t r e a t e d i n the f o u r t h c h a p t e r . In o r d e r t o p l a c e S c h e l l e n b e r g i n the c o n t e x t o f h i s t i m e s , the second c h a p t e r i s devoted t o h i s c a r e e r a t the N a t i o n a l A r c h i v e s . F o r 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 t o p u b l i c r e c o r d s o f a t e x t u a l k i n d s i m p l y because he wrote 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 o b s e r v a t i o n s on the arrangement 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 d i s c u s s e d i n The  Management o f A r c h i v e s , are 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 c h a p t e r . 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 s t u d y , o f 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 a t 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 p r o v e d t o be v a l u a b l e . Other i m p o r t a n t s o u r c 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 the 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 o t h e r major w r i t i n g s on arrangement, d e s c r i p t i o n , and a p p r a i s a l , b o t h p a s t and p r e s e n t , which p r o v i d e a c o n t e x t f o 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 LIFE 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 born on the 24th o f Feb r u a r y 190 3 i n Harvey County, Kansas. He spent most o f h i s c h i l d h o o d i n the 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 had 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 the e d i t o r o f a German Mehnoriite newspaper."^" In l a t e r y e a r s 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 o t aware o f t h e i r s i n c e r i t y , one would 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 e r 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 to be t o l d , no m a t t e r how much the t r u t h might 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 about 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 sense o f s t u b b o r n i n d i v i d u a l i s m . An 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 teens the f a m i l y moved f o r a s h o r t time 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 earned 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 y e a r s 4 l a t e r , and h i s Ph.D. from the 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 1934. 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 r d t o the 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 him f o r " l e a d i n g our g e n e r a t i o n i n showing 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 would 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 to 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 the 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 the achievements he earned d u r i n g h i s c a r e e r . In h i s n e a r l y t h i r t y y e a r s a t 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 r e q u e n t l y opposed top management, e s p e c i a l l y d u r i n g the decade o f 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 i t 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 penchant f o r the t r u t h s e r v e d him 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 and t e a c h i n g which c o n t r i b u t e d s i g n i f i c a n t l y t o 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 t o 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 1961: " I t i s a p r o f e s s i o n i n t o which 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 the 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 to be a b l e t o work a t a l l d u r i n g the D e p r e s s i o n and New Deal y e a r s o f the 1930s. I n 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 as the E x e c u t i v e S e c r e t a r y o f the 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 sponsored by the American C o u n c i l o f Learned S o c i e t i e s and the S o c i a l S c i e n c e Research C o u n c i l and concerned 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 o f 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 k s S e r v i c e . N e i t h e r o f these p o s i t i o n s was s t a b l e , b u t 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 t o o b t a i n h i s appointment t o the N a t i o n a l A r c h i v e s as a deputy examiner 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 American government as an independent 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 the p r o p e r c a r e o f 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 o f 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 the 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 t o whatever s o u r c e s o f a i d they 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 v e A d m i n i s t r a t i o n (1922) , wh i c h was the o n l y such work a v a i l a b l e i n E n g l i s h a t t h a t t i m e , 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 , a re not c o l l e c t e d b u t 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 remained i n o f f i c i a l c u s t o d y . W h i l e 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 s i m p l y r e c e i v e r e c o r d s from government a g e 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 e s s o f d e t e r m i n i n g which r e c o r d s q u a l i f i e d as a r c h i v e s was ne v e r a c c e p t e d by the N a t i o n a l A r c h i v e s as p a r t o f 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 adopted the European p r i n c i p l e o f provenance. 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 k e p t 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 , the N a t i o n a l A r c h 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 department o f 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 u t 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 to 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 American l i b r a r i e s had 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 not 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 u p p l y a l l o f the answers f o r the N a t i o n a l A r c h i v e s . In o r d e r t o make an assessment o f the 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 focus 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 Columbia and the second 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 t en 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 the 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 i v e s B u i l d i n g would 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 such 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 problems unique 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 departments and a g e n c i e s t o submit 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 t o 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 proposed 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 examiners, such as S c h e l l e n b e r g , and the 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 Congress f o r a p p r o v a l . In 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 the f a c t t h a t the impetus 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 departments and a g e n c i e s , t h e r o l e o f the a r c h i v i s t i n the 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 the f i r s t t i m e . The problem o f managing l a r g e volumes o f r e c o r d s has c o n t i n u e d t o dominate the a t t e n t i o n o f 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 and t o an e x t e n t the 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 problems 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 the 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 out 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 these o p e r a t i o n s would have to be s t r e a m l i n e d . I t a l s o became ap 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 the 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, Connor s e t up a f i n d i n g mediums committee t o lo o k i n t o these problems. The recommendations of t h i s committee r e s u l t e d i n the abandonment of the l i b r a r y based o r g a n i z a t i o n o f 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 complete 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 t o the e v e n t u a l arrangement, 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 arrangement 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 ough the 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 groups," which 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 t o the p r i n c i p l e o f provenance 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 the work o f 8 7 arrangement and d e s c r i p t i o n . " A r e c o r d group would u s u a l l y c o r r e s p o n d t o the r e c o r d s o f a government agency b u t c o u l d a l s o c o n s i s t o f the 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 these groups 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 and would 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 the r e c o r d group and p r o c e e d i n g t o more d e t a i l e d d e s c r i p t i o n s o f the component s e r i e s . Thus, even though th e r e c o r d group concept was i n t r o d u 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 the q u a l i t i e s o f arrangement and d e s c r i p t i o n i n h e r e n t i n the p r i n c i p l e o f provenance. I t remains the g r e a t e s t c o n t r i b u t i o n o f the N a t i o n a l A r c h i v e s i n the f i e l d o f arrangement and d e s c r i p t i o n . In 1941, S o l o n J . Buck succeeded 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 . In the same y e a r the U n i t e d S t a t e s e n t e r e d the Second World War, and t h r o u g h o u t the course o f the war government b u r e a u c r a c y churned 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 the 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 problem was the 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 the N a t i o n a l A r c h i v e s had 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 the war 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 r d 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 the N a t i o n a l A r c h i v e s i n 1941 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 the 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 program was s i m p l y t o a d v i s e government departments and a g e n c i e s on the 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 t o a i d the work o f a p p r a i s a l . However, because o f the 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 Bureau o f the Budget s u p p o r t e d the program. Together, t h e Bureau and the 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 Congress, 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 s c h e d u l e s , as opposed t o d i s p o s a l l i s t s , whereby a u t o m a t i c 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 o u t w i t h o u t f u r t h e r word from Congress. 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 d r a w i n g up o f g e n e r a l s c h e d u l e s f o r r e c o r d s o f common c h a r a c t e r i s t i c s , such as housekeeping r e c o r d s , h e l d by two o r more a g e n c i e s . These t a c t i c s met w i t h c o n s i d e r a b l e s u c c e s s , b u t the c o n t i n u e d e x p a n s i o n o f the American government d i d n o t a l l o w a r c h i v i s t s and d e p a r t m e n t a l r e c o r d s o f f i c e r s t o keep pace. D u r i n g 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 developments i n the N a t i o n a l A r c h i v e s . In 1936, he was g i v e n a s i x month l e a v e o f absence from h i s d u t i e s as a deputy examiner t o s e r v e as the a s s o c i a t e d i r e c t o r of the second o f the 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 o f the s e r i o u s c h a l l e n g e t h a t f a c e d the N a t i o n a l A r c h i v e s w i t h r e g a r d t o the a p p r a i s a l o f modern r e c o r d s . Less than two y e a r s l a t e r he was a p p o i n t e d c h i e f o f the 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 the 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 r t 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 accomplishments were many. In the a r e a o f arrangement 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 , 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 g Records, i s s u e d 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 view and t h e view of the N a t i o n a l A r c h i v e s t h a t European t e c h n i q u e s were n o t always a p p l i c a b l e t o the American a r c h i v a l scene. For example, he r e o r g a n i z e d h i s d i v i s i o n ' s h o l d i n g s o f the r e c o r d s o f the Weather Bureau i n o r d e 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 the d i c t a t e s o f 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 the f i n d i n g mediums committee o f 1940. W i t h r e g a r d 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 a l s o t h e f i r s t t o develop s c h e d u l e s f o r the 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 to 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 i n 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 ten thousand c u b i c f e e t . B e f o r e r e t u r n i n g t o 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 s u c c e s s a t the War P r o d u c t i o n s Board. The b u s t l i n g c i t y o f Washington was f a r removed from S c h e l l e n b e r g 1 s s m a l l town background, b u 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 environment. 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 nearby A r l i n g t o n , V i r g i n i a , and o v e r the y e a r s t h i s homestead proved i t s worth as a c o m f o r t a b l e haven away from the p r e s s u r e s o f work. But w h i l e 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 the 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 t o 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 Board 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 former 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 u n d e r s t a n d the 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 t h e s l o u g h 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 a l s o e n c o u r a g i n g t h a t you w i l l not be r e t u r n i n g t o the 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 the l e t t e r s w hich S c h e l l e n b e r g s e n t t o Leahy are not a v a i l a b l e . Meanwhile, he c o n s i d e r e d w o r k i n g as an a r c h i v i s t w i t h the B o e i n g 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 American 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 reappearance a t the N a t i o n a l A r c h i v e s cannot 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 her a r t i c l e , "Theodore 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 and P o p u l a r i z e r , " Jane F. Smith s t a t e s t h a t S c h e l l e n b e r g 1 s r e t u r n t o the N a t i o n a l A r c h i v e s i n 1948 "was n o t g r e e t e d w i t h u n a l l o y e d e n t h u s i a s m 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 t o e l a b o r a t e but she does note t h a t 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 appointment 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 o f h i s c o l l e a g u e s d u r i n g h i s y e a r s as c h i e f o f the 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 o f the U n i t e d S t a t e s , Wayne C. Grover (1948-1965), had o t h e r problems b e s i d e 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 g r e a t s e c r e t t h a t something had t o be done about the tremendous volume o f r e c o r d s b e i n g c r e a t e d by government o f f i c e s . T h i s s i t u a t i o n was b e i n g examined by the Task F o r c e on Record Management, one o f s e v e r a l t a s k f o r c e s c r e a t e d by the F i r s t Hoover Commission t o i n v e s t i g a t e the e f f i c i e n c y o f the e x e c u t i v e branch o f the 12 f e d e r a l government. Leahy, who l i k e many former N a t i o n a l A r c h i v e s employees had e n t e r e d the b u r g e o n i n g f i e l d o f r e c o r d s a d m i n i s t r a t i o n , was the chairman o f 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 suggested 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 o f the 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 loo k a f t e r the "housekeeping" f u n c t i o n s o f the 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, program be i n t r o d u c e d i n t o each department of the 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 Records 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 i v e s D i v i s i o n and the Records Management D i v i s i o n . W ith the e x c e p t i o n of the 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 v e s D i v i s i o n m a i n t a i n e d th e same r e s p o n s i b i l i t i e s as the 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 o f b o t h d i v i s i o n s r e p o r t e d t o the A r c h i v i s t who i n t u r n r e p o r t e d t o the 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 o f the 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 developments i n an a r t i c l e which appeared i n the American 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 o f the 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 the 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 hich 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 independent agency i n 1984 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 the U n i t e d S t a t e s . ) The Records 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 . Nine r e c o r d s c e n t e r s were s e t up throughout the c o u n t r y . They soon housed one and a h a l f 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 w h i c h were no l o n g e r needed i n government o f f i c e s . Record 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 o f 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 t he f i r s t time s i n c e s t a t i s t i c s were k e p t . In t he meantime, S c h e l l e n b e r g was a p p o i n t e d head o f 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 o f 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 about 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 , b u t i t was not l o n g b e f o r e 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 appears t o have been accused o f 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 i n g the N a t i o n a l A r c h i v e s , " i n which 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 o r 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 o f the problem o r i t s e x t e n t , b u t i t i s c l e a r t h a t the disag r e e m e n t s 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 se r v e as the D i r e c t o r o f A r c h i v a l Management and he worked t i r e l e s s l y t o improve e v e r y a s p e c t o f the 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 never been a b l e t o r e c o v e r from the t u r m o i l caused by the e x t e n s i o n o f i t s s e r v i c e s d u r i n g the Second World 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 t h r e a p p r a i s a l and arrangement and d e s c r i p t i o n , and t h e number o f s t a f f p o s i t i o n s had not reached the pre-war 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 Records (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 y e a r l a t e r , he and h i s s t a f f undertook a r e a p p r a i s a l program and by 1955 the volume of r e c o r d s i n the N a t i o n a l A r c h i v e s was reduced from i n excess o f 900 thousand to j u s t under 750 thousand c u b i c f e e t . From the f u r t h e r e x p e r i e n c e g a i n e d through t h i s program S c h e l l e n b e r g w rote the 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 Records (1956) , which remains 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 o f a p p r a i s a l . S c h e l l e n b e r g the a u t h o r 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 the form o f a p r o c e d u r e s 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 Arrangement (1951). With these s o u r c e s a t hand the work o f the N a t i o n a l A r c h i v e s was a c c o m p l 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 produced and the h o l d i n g s 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 P o s n e r , the n o t e d a r c h i v a l w r i t e r and t e a c h e r , was v e r y i m p r e s s e d by the i n t e r n a l p u b l i c 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 o b s e r v e d t h a t " n o t h i n g 16 q u i t e comparable e x i s t s i n any o t h e r c o u n t r y . " S c h e l l e n b e r g f u r t h e r i n c r e a s e d the morale and p r o d u c t i v i t y o f h i s s t a f f through the i n t r o d u c t i o n o f a t r a i n i n g program f o r j u n i o r a r c h i v i s t s i n 1953. One o f the 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 U n i t e d S t a t e s i n 196 8. The t r a i n i n g program was j u s t the b e g i n n i n g o f S c h e l l e n b e r g ' s p a s s i o n a t e i n t e r e s t i n the e d u c a t i o n o f 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 achievements 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 growing 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 t o h i s work a t the N a t i o n a l A r c h i v e s . Ever 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 communication 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 response t o a r e q u e s t from 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 t o undertake 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 the a d v e n t u r e , and Grover was p r o b a b l y r e l i e v e d t o 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 Grover 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 o f 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 o f f o u r o r f i v e key peopl 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 de 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 n o t w i t h o u t h i s c r i t i c i s m s . He complained t o a f r i e n d : "I'm t i r e d o f b e i n g d i p l o m a t i c , o f 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 o f American 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." B u t , f o r t h e most p a r t , he found the A u s t r a l i a n p e o p l e t o be "a f i n e l o t " and, he had t o c o n f e s s , " I l i k e the a t t e n t i o n 18 they've g i v e n Alma and me, al m o s t r o l l i n g o u t the rug f o r us." In c o n t r a s t t o h i s a t t i t u d e towards 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 responded 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 i n d , i n the words o f A u s t r a l i a n a r c h i v i s t Ian Maclean, the i m p r e s s i o n o f "a r e l a x e 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 t h r o u g h o u t A u s t r a l i a , gave l e c t u r e s , and h o s t e d seminars on b o t h a r c h i v a l and r e c o r d s management t o p i c s . He a l s o spoke a t numerous R o t a r y Club m e e t i n g s , 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 , and was c o n s u l t e d by 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 the h a n d l i n g o f t h e i r r e c o r d 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 " i m p o r t a n t and e n d u r i n g , " w h i l e D a v i d S. M a c M i l l a n , U n i v e r s i t y o f Sydney a r c h i v i s t , was even more emphatic i n h a i l i n g the v i s i t as "the s i n g l e most i m p o r t a n t event i n the r e c e n t 20 h i s t o r y o f a r c h i v a l development 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 the B r i t i s h a r c h i v a l system i n f a v o r 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 a d o p t i o n o f American t e c h n i q u e s , e s p e c i a l l y w i t h r e g a r d t o r e c o r d s management and a p p r a i s a l . Perhaps th e 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 o f the book, 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 . W h i l 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 o f h a v i n g an o l d f o s s i l c i t e d t o me as an a 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 y J e n k i n s o n , former Deputy Keeper o f Records a t the B r i t i s h P u b l i c Record O f f i c e , who wrote a book t h a t i s not o n l y unreadable b u t t h a t has g i v e n the A u s t r a l i a n s a wrong s t a r t i n t h e i r a r c h i v a l work.21 With 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 e p t e d t r a d i t i o n s and w i t h the 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 S c h e l l e n b e r g d e c i d e d t o 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 succeeded i n w r i t i n g most o f the m a n u s c r i p t w h i l e i n A u s t r a l i a and even wrote some o f i t d u r i n g the r e t u r n t r i p t o 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 the 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 t h 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 the 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 the 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 t h e U n i t e d S t a t e s , an updated d e f i n i t i o n o f a r c h i v e s , an e x a m i n a t i o n o f the n a t u r e o f 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 , arrangement 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 e n 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 the book were based 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 o f Modern  A r c h i v e s was s o l d o u t 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 e s , i n c l u d i n g S p a n i s h , P o r t u g u e s e , 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 wrote 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 the 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 s o u r c e f o r c o n t i n u 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 o f f o u r 22 books " t h a t 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 c a t i o n and i n t e r n a t i o n a l a f f a i r s . I n 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 seminar 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 o f the t r a i n i n g program 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 1961, 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 the American U n i v e r s i t y i n Washington, where he f o l l o w e d i n t h e f o o t s t e p s o f E r n s t Posner who had been i n v o l v e d i n the program 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 o f the I n s t i t u t e on the 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 American U n i v e r s i t y , NARS, the L i b r a r y o f Congress, and the M a r y l a n d H a l l o f Records. In 195 8 and 1959, he even 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 chairman o f the S o c i e t y o f American 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 seven South American 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 o f the 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 achievements d i d n o t go u n n o t i c e d . In 195 7, the GSA awarded him the 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 the p u b l i c a t i o n o f Modern A r c h i v e s . When the 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 t o 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 escape from the f r u s t r a t i o n s he e n c o u n t e r e d a t NARS. Throughout 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 Grover and Grover's deputy, Robert H. Bahmer, d e t e r i o r a t e d s t e a d i l y . Grover and Bahmer viewed S c h e l l e n b e r g as a power s e e k e r who, i n h i s f r u s t r a t i o n a t not 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 the 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 the o t h e r hand, S c h e l l e n b e r g viewed Grover as an i n c o m p e t e n t a d m i n i s t r a t o r who by f a i l i n g t o d e l e g a t e a u t h o r i t y l e f t him w i t h no c h o i c e b u t 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 t o be G r o v e r ' s l a c k o f 24 i n t e r e s t i n h i s accomplishments 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 the c h i e f elements o f t h a t c o n f l i c t , namely, the o p e r a t i o n s of the r e c o r d s management program a t NARS. The problem caused by the volume o f r e c o r d s had n o t 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 Records 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 the s i z e o f the U n i t e d S t a t e s government do n o t 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 because 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 not always p o s s i b l e t o determine which m a t e r i a l s i n the c e n t e r s were t o 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 n o t e a s i l y remedied d e s p i t e the work of the Second Hoover Commission i n 1954 and 1955 and the subsequent e f f o r t s o f NARS t o emphasize the c o n t r o l o f the c r e a t i o n o f r e c o r d s and n o 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 cerned about these i n t r a c t a b l e p r oblems. He b e l i e v e d t h a t the O f f i c e o f Records 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 t o the b a s i c problem o f c l a s s i f i c a t i o n t h a t the O f f i c e o f Records Management w i t h i n NARS has made the 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 d w i t h p e r i p h e r a l p roblems: w i t h the d e s i g n and c o n t r o l o f forms, 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 the 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 . H is w r i t i n g s r e v e a l a h o l i s t i c view o f 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 awareness o f the 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 about e f f i c i e n c y . G i v e n S c h e l l e n b e r g ' s c a r e f u l t h i n k i n g t h rough 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 o f NARS d i d n o t a c h i e v e 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 the app a r e n t abuses made of 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 commissioned by the GSA which 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 charge has encouraged 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 rover 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. 26 the two men. Perhaps 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 the i n e f f i c i e n c y o f the O f f i c e o f Records 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 arrangements whereby a r c h i v a l c o n s i d e r a t i o n s are 2 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 program." There i s s t a t i s t i c a l e v i d e n c e to back up t h i s c l a i m . In h i s book, Records of a N a t i o n , H.G. Jones p o i n t s o u t t h a t between 1949 and 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 the a p p r o p r i a t i o n s f o r the N a t i o n a l A r c h i v e s d u r i n g the same p e r i o d i n c r e a s e d by l e s s than 400 p e r c e n t . Jones a l s o n o t e s t h a t the number o f s t a f f a t the N a t i o n a l A r c h i v e s r o s e by o n l y 5 0 p e r c e n t i n those y e a r s w h i l e the e n t i r e 2 8 s t a f f a t NARS grew by 500 p e r c e n t . I t must be remembered, though, t h a t NARS o p e r a t e d w i t h i n the 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 the 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 budgetary c u t b a c k s e s p e c i a l l y i n the 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 Budget Bureau 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 program than 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 Grover reached i t s peak between 195 8 and 1961 o ver the i s s u e o f 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. Grover and Bahmer proposed 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 would be a s s i g n e d t o one a r c h i v a l f u n c t i o n , such as a p p r a i s a l , and o t h e r a r c h i v i s t s would be 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 arrangement. S c h e l l e n b e r g p r e f e r r e d the 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 which the same a r c h i v i s t s would 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 as 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 the q u e s t i o n f i r s t a r ose i n 1958 S c h e l l e n b e r g condemned Grover f o r b e i n g "bamboozled by the accomplishments o f a r e c o r d s management program" and f o r w a n t i n g " t o impose the 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 the i n t e l l e c t u a l work o f an a r c h i v a l i n s t i t u t i o n . " In 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 the s t a t i s t i c a l way o f measuring the s u c c e s s o f a r e c o r d s management p r o g r a m — s u c h as "how many-r e c o r d s are moved from one p l a c e t o a n o t h e r , how many f i l i n g cases are emptied, how many c u b i c f e e t o f r e c o r d s are d e s t r o y e d " -had so i m p r e s s e d Grover and Bahmer t h a t they w i s h e d 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 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 S c h e l l e n b e r g , such 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 , back to an o r g a n i z a t i o n s i m i l a r t o the one which had been i n p l a c e i n the 1 9 3 0 s — " a n d would r e n d e r 29 the i n s t i t u t i o n s t e r i l e from a s c h o l a r l y p o i n t o f view." F o r the moment l i t t l e was done about the m a t t e r , and w i t h the passage of time S c h e l l e n b e r g p r o b a b l y t h o u g h t t h a t 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 the O f f i c e o f the N a t i o n a l A r c h i v e s was t o take p l a c e i m m e d i a t e l y . The O f f i c e was t o be r e p l a c e d by t h r e e new O f f i c e s — C i v i l , M i l i t a r y , and Records A p p r a i s a l , the l a t t e r t o be headed by S c h e l l e n b e r g . S c h e l l e n b e r g was u n d e r s t a n d a b l y shocked and i n f u r i a t e d . D e s p i t e the f a c t t h a t the appointment 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 p l a n s had been f i n a l i z e d w i t h o u t h i s knowing about 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 o f the N a t i o n a l A r c h i v e s had been t a k e n ,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 b u t then changed h i s mind and approached the new j o 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 the 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, t h u s e m p h a s i z i n g the p o s i t i v e element of p r e s e r v a t i o n r a t h e r t h a n the n e g a t i v e element o f d e s t r u c t i o n . But S c h e l l e n b e r g q u i c k l y came t o the sad c o n c l u s i o n t h a t h i s purpose was " t o b a i l o u t the O f f i c e o f Records Management f o r an 30 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 d i a r y 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 har b o u r e d i n t e n s e i l l f e e l i n g towards NARS u n t i l h i s death seven 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 t o 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 example, 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 t f 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 n t 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 date o r f o r k e e p i n g them 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 l A r c h i v e s and Records 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 g t h e s e 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 problems 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 such 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 the 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 impact 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 might 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 than 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 u t 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 too 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 the 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 the very 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 n o t 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 remained 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 o f 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 development o f these y e a r s was the p u b l i c a t i o n o f The Management o f A r c h i v e s i n 1965, i n whic 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 o f bo t h 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 , Arrangement and D e s c r i p t i o n of P r i v a t e and P u b l i c Records, would 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 , b u 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 o f 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 o f 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 t o the growing number o f 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 t he management o f 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 c a r e 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 American i s s u e because i n t h e absence o f 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 papers had become t h e concern o f 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 housed b o t h 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 of A r c h i v e s were those r e g a r d i n g the e d u c a t i o n o f 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 "the p r o p e r 34 p l a c e s i n which 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 these 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 American U n i v e r s i t i e s . Other a r c h i v i s t s , such as H.G. Jones o f N o r t h C a r o l i n a , u p h e l d the view t h a t the t r a i n i n g o f a r c h i v i s t s belonged i n u n i v e r s i t y h i s t o r y departments. T h i s l e d t o a debate between S c h e l l e n b e r g and Jones a t the S o c i e t y o f American A r c h i v i s t s c o n f e r e n c e o f 1966 and p u b l i c a t i o n of the 35 p a pers t h e y r e a d i n the American 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 the f a c t t h a t a r c h i v i s t s must have a thorough 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 ncern w i t h methodology, 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 would 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 . He f u r t h e r contended 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 e x t e n t o f 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 g i v e 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 concern w 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 y t 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 f t 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 , the l e s s i t i s p o s s i b l e t o impose on i t a n y t h i n g more than g e n e r a 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 o f 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 can be 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 t h e o t h e r hand, the 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 rned w i t h the use o f documentary m a t e r i a l , not 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 the 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 never s t a t e d t h a t a r c h i v i s t s s h o u 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 u t 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 unique 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 fo c u s of The Management o f A r c h i v e s i s arrangement 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 , " and S c h e l l e n b e r g ' s main purpose was " t o p r o v i d e s i m p l e and c l e a r i n s t r u c t i o n on how t o a r r a n g e and d e s c r i b e p u b l i c and p r i v a t e p a p e r s . " 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 y e a r a f t e r the p u b l i c a t i o n o f Modern A r c h i v e s , and i t was i n t e n d e d t o be 3 7 "a companion book t o 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 t o 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 o l l e a g u e E v e r e t t 0. A l l d r e d g e and t o address r e c o r d s management and a p p r a i s a l . T h i s work never m a t e r i a l i z e d , l a r g e l y because 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 towards Grover and Bahmer, who had succeeded Grover as a r c h i v i s t i n 1965. In 1968, S c h e l l e n b e r g wrote t o A l l d r e d g e : " I do n o t w i s h t o r i s k p u b l i s h i n g a n y t h i n g so l o n g as the p r e s e n t a r c h i v i s t , and h i s p r e d e c e s s o r , 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 n o t as numerous as h i s p u b l i c a t i o n s on arrangement and d e s c r i p t i o n . D e s p i t e the 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 e n c o u n t e r e d t h r o u g h o u t h i s c a r e e r , 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 t o the development of 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 t h a 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 to the p r o f e s s i o n . A f t e r h i s death i n 19 70 he was e u l o g i z e d i n the American A r c h i v i s t by s i x o f h i s f e l l o w a r c h i v i s t s as a w o r l d a r c h i v a l l e a d e r o f g r e a 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 t o the work o f 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 t h e development o f the a r c h i v a l p r o f e s s i o n . More than any o t h e r a r c h i v i s t a t 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 the modern American a r c h i v a l p r o c e d u r e s . H i s w r i t i n g s , r e v e a l a w e a l t h o f wisdom and e x p e r i e n c e g a i n e d through more than t h i r t y y e a r s o f a r c h i v a l work. In h i s a t t e m p t s t o 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 o f 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 o f 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 t o 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 o f the t r u t h . " 28 CHAPTER I I I IDEAS ON ARRANGEMENT AND DESCRIPTION In the a r c h i v a l p r o f e s s i o n arrangement can be d e f i n e d as the p r o c e s s by which p h y s i c a l c o n t r o l o v e r 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 provenance. The p r i n c i p l e o f provenance 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 fonds and r e s p e c t pour 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 term provenance i s o f t e n used t o r e f e r t o the f i r s t element 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 provenance, 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 . Respect pour 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 the 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 deve l o p e d i n Europe i n the middle 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 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 and r e c o r d k e e p i n g 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 system, were becoming h i g h l y d e v e l o p e d . Provenance 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 the so c a l l e d Dutch 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 account 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 t he U n i t e d S t a t e s the term "arrangement" came i n t o common use a f t e r t he 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 concept i n 1941. T h i s concept was based on the p r i n c i p l e s o f provenance and o r i g i n a l o r d e r and was d e s i g n e d to d e a l w i t h the immense volume o f government r e c o r d s . G r a d u a l l y , the n o t i o n was d e v e l o p e d a t the N a t i o n a l A r c h i v e s t h a t these 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 arrangement 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 o f 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 o f arrangement w i t h i n each body. The most famous and, 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 arrangement 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 American 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 the f i r s t l e v e l o f arrangement i s the r e p o s i t o r y l e v e l i n which the complete h o l d i n g s o f a r e p o s i t o r y are broken down i n t o a few major 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 p u r p o s e s . 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 o f each group are k e p 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 government, such as a department, and a subgroup to a branch o r o f f i c e o f t h a t agency. These f i r s t two l e v e l s o f arrangement p e r t a i n t o provenance, w h i l e the 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 o f 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 based on f i l i n g , such as a correspondence s e r i e s , and each r e c o r d group o r subgroup i s u s u a l l y made up o f 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 , the 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 re 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 . O f t e n the arrangement p r o c e s s does n o t r e a c h these f i n a l two l e v e l s . The l a s t s t e p i n arrangement i s the 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 of r e c o r d s . J u s t as arrangement a c h i e v e s p h y s i c a l c o n t r o l over 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 rough the 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 cannot 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 arrangement and i s dependent upon i t . The b e s t modern example of t h i s i s the 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 the N a t i o n a l A r c h i v e s a t the same time as the development of the r e c o r d group c o n c e p t . Records are d e s c r i b e d i n the i n v e n t o r y f i r s t a t the r e c o r d group l e v e l and then a t the s e r i e s l e v e l , w i t h the 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 subgroup. Arrangement and d e s c r i p t i o n , t h e n , are a t the c e n t e r o f a r c h i v a l t h e o r y and p r a c t i c e . R i c h a r d B e r n e r , a former p u p i l of 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 of the U n i v e r s i t y A r c h i v e s and M a n u s c r i p t D i v i s i o n of the U n i v e r s i t y o f Washington L i b r a r i e s , has n o t e d t h a t arrangement and d e s c r i p t i o n "are 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 are c o h e r e n t and are d e r i v e d from a unique 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 the 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 the l i t e r a t u r e o f arrangement and d e s c r i p t i o n . Holmes, i n the a r t i c l e c i t e d above, 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 and the S t a f f I n f o r m a t i o n Paper, P r i n c i p l e s o f  Arrangement, i n the company o f the manuals o f J e n k i n s o n and the Dutch t r i o . Indeed, b e f o r e Holmes' a r t i c l e appeared, S c h e l l e n b e r g had a l r e a d y produced f i v e p u b l i c a t i o n s f o r the 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 , and one book, a l l d e a l i n g i n whole o r i n p a r t w i t h the 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 g i 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 , proceeds t o h i s a c c o u n t of the l e v e l s o f arrangement, i n c l u d e s a b r i e f l o o k a t h i s a t t i t u d e towards the arrangement 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 view of h i s g e n e r a l approach 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 provenance S c h e l l e n b e r g 1 s o p i n i o n remained 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 . In 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 , 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 g R ecords, he r e f e r r e d t o provenance 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 than 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 "the p r i n c i p l e o f provenance i s b a s i c and i n f l e x i b l e and r e l a t e s to a m a t t e r o f t h e h i g h e s t importance 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 t o 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 m p l y because i t i s g e n e r a l l y r e c o g n i z e d as v a l i d i n the 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 s h o u l d 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 rea s o n s are 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 the most common reason f o r the w i d e s p r e a d acceptance of provenance 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 arrangement 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 o t h e r 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 "the p r i n c i p l e s e r v e s t o p r o t e c t 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 . " E l a b o r a t i n g on t h i s p o i n t , he 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 t h 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 the 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 t o 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 the 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 unique 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 "are u s u a l l y produced t o a c c o m p l i s h some purpose, 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 s u b j e c t " - - t h e y s h o u l d then be a r r a n g e d a c c o r d i n g t o the manner i n which they were c r e a t e d and n o t 9 a c c o r d i n g t o the s u b j e c t s t o 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 s i n c e they r e f l e c t the w i d e s p r e a d a c c e p t a n c e o f provenance t h r o u g h o u t the a r c h i v a l w o r l d . In some ways, e s p e c i a l l y w i t h r e g a r d t o 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 can be seen as a r e s t a t e m e n t o f the views e x p r e s s e d by the Dutch t r i o and by J e n k i n s o n . The former s t a t e d t h a t the " v a r i o u s documents o f an a r c h i v a l c o l l e c t i o n throw l i g h t upon one a n o t h e 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 e r 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 o n l y s u r v i v e s u n i m p a i r e d so l o n g 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 are 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 from v a r i o u s s o u r c e s and t o reduce the p r i n c i p l e s and t e c h n i q u e s o f 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 . . H i s comments on the r e a s o n s why provenance must be o b s e r v e d are good examples 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 stepped o u t s i d e the bounds e s t a b l i s h e d by h i s European p r e d e c e s s o r s . I n t h e Dutch manual and i n J e n k i n s o n ' s w r i t i n g s , o r i g i n a l o r d e r was u p h e l d on t h e same l e v e l as provenance. A f t e r j u s t f o u r y e a r 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 o f 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 as he was s u p p o r t i v e o f the p r i n c i p l e o f provenance. 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 European governments 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 s b 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 r p r o p o r t i o n o f the 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 a re 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 because i n the co u r s e o f our n a t i o n a l h i s t o r y r e c o r d s were n o t o r g a n i z e d w i t h the view t o t h e i r t r a n s f e r e n c e t o an 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 y l a c k i n g by wh i c h the p r i n c i p l e s o f the German and Dutch a 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 o f the 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 de 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 arrangement 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 compunction about d i s t u r b i n g the o r i g i n a l o r d e r " i f such a move improves r e s e a r c h e r a c c e s s t o the r e c o r d s . "The t e s t here i s a v e r y p r a c t i c a l one, t h a t o f 14 u s a b i l i t y . " For example, 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 t o r e a r r a n g e the r e c o r d s o f the Weather Bureau h e l d a t the N a t i o n a l A r c h i v e s . ^ " 5 S c h e l l e n b e r g was n o t the f i r s t t o 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 examples 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 arose i n Europe i n the 19 30s. On the American scene, however, h i s o b s e r v a t i o n s o f the d i f f e r e n c e s between European and American 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 son f o r the development o f unique American 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 growing concern o f the 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 t o o v e r r u l e a b s o l u t e observance 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 e r w r i t t e n i n 1982, Frank B o l e s c i t e d S c h e l l e 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 17 u 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 the 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 , though, t h i s rearrangement i s b e i n g c a r r i e d out on' paper, something 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 took 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 from b e g i n n i n g t o end. Not 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 they 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 . For example, 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 the 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 , " thus e m p h a s i z i n g the r o l e o f the r e s e a r c h e r and a d d i n g f u r t h e r s u p p o r t t o the 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 needs. A n o t h e r more complex 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 thoughts on the 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 , and 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 reas o n e d t h a t the 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 the 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 based 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 he 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 b r o a d purposes f o r which 18 i t was e s t a b l i s h e d . " In such a system, unique f i l e headings would 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 these 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 system 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 the 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 t h e r e s u l t o f f u n c t i o n ; they are used i n r e l a t i o n t o f u n c t i o n ; they 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 base the 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 o f the agency i n t o o f f i c e s and b r a n c h e s . S c h e l l e n b e r g opposed t h i s system and argued 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 o r b r a n c h would 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 . But i f t h i s were n o t the c a 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 not be o b s e r v e d . R e l a t i n g these s t a t e m e n t s t o provenance 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 the 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 to t h e i r provenance 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 t o 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 of 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 , they would be much more 20 r e v e a l i n g o f the programs and p o l i c i e s o f t h 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 would 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 observance 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 the number o f t i m e s t h a t the a r c h i v i s t c o u l d m a i n t a i n the 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 the 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 system o f r e c o r d c o n t r o l t h a t would g i v e the a r c h i v i s t a head s t a r t i n the work of arrangement and d e s c r i p t i o n , s i m i l a r t o the advantages o f the European r e g i s t r y system. Such c o n t r o l has not been f u l l y a c h i e v e d even though new developments 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 the 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 the 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 systems. Perhaps 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 ver be a c h i e v e d , b u t the e l i m i n a t i o n o the dichotomy between the work o f the a r c h i v i s t and the r e c o r d s manager may have an e f f e c t i n b r i n g i n g i t about. 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 and 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 scope. D e s p i t e h i s 21 h o s t i l i t y towards the r e c o r d s management program a t NARS, S c h e l l e n b e r g can be seen as a t r a n s i t i o n a l f i g u r e i n the c h a n g i n g r o l e o f the a r c h i v i s t from the 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 t o the growing concept 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 and 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 , and t h i s can be'seen t h r o u g h a c o n s i d e r a t i o n o f the arrangement of a r c h i v e s a t the v a r i o u s r e c o r d l e v e l s . For 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 of arrangement as o u t l i n e d by Holmes w i l l p r o v i d e the s t r u c t u r e f o r the 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 arrangement a t each o f 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 about arrangement a t the 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 branches w i t h i n the 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 as d e f e n s e , i n d u s t r y , and n a t u r a l r e s o u r c e s , and t h i s amounts t o the same t h i n g as Holmes' d i s c u s s i o n o f the f i r s t l e v e l o f arrangement. Both 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 about arrangement c a r r i e d o u t 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 program. W i t h i n each o f these 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 , arrangement, 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 Grover 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 between the two men. Most 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 America 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 the 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 th e r e c o r d group was the b a s i s o f the arrangement and d e s c r i p t i o n p r o c e s s , even though the major weaknesses of the r e c o r d group system were w e l l known. The use o f the phrase " 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 of r e c o r d group posed o b v i o u s d i f f i c u l t i e s . But the problems were o f f s e t by the immediate advantages o f the system, e s p e c i a l l y the a b i l i t y t o a r r a n g e and d e s c r i b e l a r g e volumes o f 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 the use o f the r e c o r d group 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 the l a t e 1960s i n such a r t i c l e s as P . J . S c o t t ' s "The Record Group Concept: A Case f o r Abandonment," p u b l i s h e d i n the American A r c h i v i s t i n 23 1966. By t h a t time S c h e l l e n b e 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 waning, and so he d i d n o t comment on the o p i n i o n s p r e s e n t e d by S c o t t . Indeed, 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 v e 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 In 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 the " 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 o f F i n d i n g Mediums" as i s s u e d by 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 t h e c h o i c e of the term. 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 England where the 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 r e c o r d o f f i c e the r e c o r d u n i t s s h o u l d be c a l l e d ' a r c h i v e groups,' whereas i n the U n i t e d S t a t e s where the 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 an a r c h i v e s the 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 of A r c h i v e s he p r e f e r r e d the 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 the 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 reduced 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 groups "are 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 , • • „26 o r i g i n s . R e g a r d i n g the arrangement of r e c o r d groups i n r e l a t i o n to each 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 the 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 groups s h 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 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 the f o r m e r , and t h a t r e c o r d groups " s h o u l d 2 7 be m a i n t a i n e d as i n t e g r a l u n i t s . " Perhaps what i s most i n t e r e s t i n g to the p r e s e n t day a r c h i v i s t i n the 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 towards the arrangement of 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 the p h y s i c a l arrangement of the r e c o r d groups i n the 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 the 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 the 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 are 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 the 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 the 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 as head o f 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 i n the 1950s was the rearrangement of the h o l d i n g s i n the 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 ones, 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 arrangement and i s , p e r h a p s , an a d o p t i o n o f the s i m i l a r p rocedure 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 o f the second l e v e l o f arrangement. 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 subgroup. S c h e l l e n b e r g , on the o t h e r hand, d e a l t w i t h t h 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 c u s s e d as the y e a r s went by. For the sake o f c l a r i t y i t i s e a s i e r t o l o o k 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 o f A r c h i v e s he s t a t e d t h a t the subgroup " i s comprised 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 o f 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 group." 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 been superseded o r d i s c o n t i n u e d ; f i e l d o f f i c e s o f the p a r e n t agency; o r , the r e c o r d s o f each 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 group, t h a t i s , a r e c o r d group " c o n s i s t i n g o f •> 9 r e c o r d s o f a g i v e n c l a s s o f o r g a n i z a t i o n s . " " As w i t h the arrangement o f r e c o r d groups, subgroups would be k e p t as i n t e g r a l u n i t s and would 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 each 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 o f the 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 40 c o u l d be grouped t o g e t h e r a c c o r d i n g t o f a c t o r s o t h e r than o r g a n i z a t i o n a l o r i g i n , and t h a t each o f the s e g r o u p i n g s would c o n s t i t u t e a subgroup. The o r g a n i z a t i o n a l method was t o be p r e f e r r e d , b u t o t h e r s u g gested means o f c r e a t i n g subgroups were through the f u n c t i o n a l method o r th r o u g h such methods as type o f r e c o r d , c h r o n o l o g i c a l p e r i o d s , o r g e o g r a p h i c a l a r e a s . The l a s t t h r e e methods o f g r o u p i n g s e r i e s a re s t r a i g h t f o r w a r d . The f u n c t i o n a l method r e q u i r e s some e l a b o r a t i o n . S c h e l l e n b e r g w r o t e : F r e q u e n t l y a g e n c i e s f o r which r e c o r d groups have been e s t a b l i s h e d have passed t h r o u g h so many o r g a n i z a t i o n a l changes t h a t the r e c o r d s accumulated by many superseded o r d i s c o n t i n u e d u n i t s w i t h i n them have l o s t t h e i r a d m i n i s t r a t i v e i d e n t i t y . The f u n c t i o n s o f the a g e n c i e s may have remained unchanged though the u n i t s t h a t performed them may have been a l t e r e d o r a b o l i s h e d ; and the r e c o r d s - p e r t i n e n t t o the f u n c t i o n s may span many such u n i t s w i t h o u t any c l e a r b r e a k s t o d i s t i n g u i s h those t h a t were produced by the s u c c e s s i v e u n i t s . I n such c a s e s , the subgroups are e s t a b l i s h e d i n r e l a t i o n t o f u n c t i o n s . 3 1 S i n c e these a l t e r n a t e means o f s u b g r o u p i n g do n o t c o r r e s p o n d t o the o r g a n i z a t i o n a l method, and g i v e n the e a r l i e r d e f i n i t i o n of s e r i e s as an e n t i t y based on f i l i n g , i t appears t h a t S c h e l l e n b e r g c o n f u s e d subgroups and s e r i e s . D e s p i t e the c o n f u s i o n , however, the means o f arrangement d e s c r i b e d above are v a l i d . To e x p l a i n t h i s p o i n t , i t i s u s e f u l f i r s t t o e l a b o r a t e on t h e importance o f o r g a n i z a t i o n based s u b g r o u p i n g and then t o compare t h i s method w i t h the a l t e r n a t i v e s o f f e r e d by S c h e l l e n b e r g . R i c h a r d B e r n e r has deve l o p e d an arrangement and d e s c r i p t i o n program a t the U n i v e r s i t y o f Washington L i b r a r i e s t h a t r e l i e s h e a v i l y on s u b g r o u p i n g by 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 o n l y . A c c o r d i n g t o B e r n e r , i f s e r i e s are a s s i g n e d t o t h e i r a p p r o p r i a t e subgroups d u r i n g the arrangement p r o c e s s , then the subsequent d e s c r i p t i o n becomes e a s i e r and more p r e c i s e . I f t h i s i s n o t done, "the s e r i e s o f the p a r t i c u l a r subgroup w i l l be s c a t t e r e d among the g e n e r a l s e r i e s o f the p a r e n t agency," i n which case 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 subgroup would 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 each o f the g e n e r a l s e r i e s o f 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 o u t , "the 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 subgroups i t c o n t a i n s becomes u n n e c e s s a r y : i t has been t a k e n c a r e o f w i t h o u t such a n a l y s i s by h a v i n g f i r s t a r r a n g e d the 32 r e c o r d s i n t o subgroups." T h i s i s a good and w orkable system though i t has been c r i t i c i z e d f o r the rearrangement t h a t o f t e n t a k e s p l a c e which 33 may j e o p a r d i z e a m e a n i n g f u l o r i g i n a l o r d e r . Another major weakness i s t h a t i t i s a v e r y work i n t e n s i v e system. 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 are t r a n s f e r r e d to 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 g r o u p i n g may become e a s i e r . But i n the s u b g r o u p i n g o f r e c o r d s e r i e s , i t i s o b v i o u s t h a t t h e r e a r e 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 subgroups cannot be d e t e r m i n e d . T h i s would e s p e c i a l l y be t r u e a t the N a t i o n a l A r c h i v e s of the 1950s when huge volumes o f o l d and d i s o r g a n i z e d r e c o r d s were b e i n g a r r a n g e d and d e s c r i b e d . In such c a s e s t h e f u n c t i o n a l method o f g r o u p i n g s e r i e s , a l o n g w i t h the o t h e r a l t e r n a t i v e s s u g g ested by S c h e l l e n b e r g , 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 o f i s s u e i s t h a t such g r o u p i n g s o f s e r i e s cannot be r e f e r r e d t o as subgroups s i n c e subgroups, by d e f i n i t i o n , must be based 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 g e n e r a l g r o u p i n g s o f s e r i e s r e q u i r e a name a t a l l , t h e y can be r e f e r r e d t o s i m p l y as s e r i e s , w i t h 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 never 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 c o u l d be grouped a c c o r d i n g t o the 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 from d e s i g n a t i n g such g r o u p i n g s as subgroups. In f a c t , he d i d 34 n o t g i v e these 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 the a r c h i v a l p r o f e s s i o n the term " 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 ith 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 ve the most u s e f u l . In Management of 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 updated d e f i n i t i o n o f r e c o r d group. 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 are 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 of 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 as t h i s d e f i n i t i o n i s , i t cannot s t a n d on i t s own. S c h e l l e n b e r g always m a i n t a i n e d t h a t t h e r e were t h r e e f a c t o r s on which the 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 based. The p r e f e r r e d f a c t o r i s t h a t o f "the arrangement 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 group. He w r o t e : Each of t h e 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 r f i l i n g system s h o u l d be t r e a t e d as a r e c o r d u n i t . . . . I t does ho 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 an a 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 c o r d s o 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 system s h o u l d be r e g a r d e d as one u n i t . Nor does the q u a n t i t y o f r e c o r d s m a t t e r , f o r a s e r i e s may be l a r g e o r s m a l l . 3 6 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 t h a t c o u l d be used i n the e s t a b l i s h m e n t o f a s e r i e s i s the t a k i n g i n t o account of "the r e l a t i o n o f r e c o r d s t o a c t i v i t y , " t h a t i s , the a r b i t r a r y d e s i g n a t i o n o f a l o t o f r e c o r d 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 of b u s i n e s s . " T h i s l a t t e r c a t e g o r y 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 the term " s e r i e s " c o v e 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 and c r e a t i n g s e r i e s and 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 o f the d e f i n i t i o n o f s e r i e s as an e n t i t y based on f i l i n g . W i t h r e g a r d t o the arrangement 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 8 q u a l i t y . " As Holmes o b s e r v e d , 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 arrangement 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 . " In o t h e r words 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 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 because 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 any s p e c i f i c p l a n . The arrangement work c a r r i e d out a t t h i s l e v e l forms the most c r e a t i v e work o f 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 s s e d the i s s u e , making 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 the Dutch manual f o r h e l p i n these 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 the problem d i r e c t l y . The g r o u p i n g of 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 o g y , geography, o r r e c o r d type have a l r e a d y been o u t l i n e d under the 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 each o f these 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 the 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 here t h a t arrangement a t any l e v e l can more e a s i l y t a k e p l a c e i n t e l l e c t u a l l y i n the i n v e n t o r y r a t h e r than p h y s i c a l l y i n the s t a c k s . ) The arrangement w i t h i n the f i n a l t h r e e groupings 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 arrangement by r e c o r d t y p e , "types whose c o n t e n t s are g e n e r a l , such as correspondence," would precede "types o f s p e c i f i c c o n t e n t , such 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 arrangements are even s i m p l e r , the former o f t e n i n a l p h a b e t i c a l o r d e r , perhaps by s t a t e and then b y . c o u n t i e s w i t h i n the s t a t e , and the l a t t e r s i m p l y by d a t e . 4 ^ When i t comes t o t h e arrangement 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 because 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 Arrangement he s t a t e d t h a t such 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 -the f u n c t i o n s . " T h i s i s a v e r y weak statement s i n c e the 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 those 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 de 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 precede those 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 t h e arrangement 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 which 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 because 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 h e l l e n b e 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 arrangement. In P r i n c i p l e s o f Arrangement he s t a t e d t h a t such 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 t o the f u n c t i o n s 43 p e r f o rmed by the 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." T h i s i s c e r t a i n l y the p r e f e r r e d method, b u t i n Management o f 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 t o " 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, such as the bureaus, d i v i s i o n s , and s e c t i o n s , and t h e 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 precede "those o f the s m a l l e r . " T h i s , however, i s more a s t a t e m e n t on the arrangement of sub-groups r a t h e r than 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 the 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 a r r a n g e d 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 to 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 the arrangement o f s e r i e s as "the h e a r t o f a r c h i v a l work...because the 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 arrangement and a r e keyed i n t o 45 i t . " S c h e l l e n b e r g c e r t a i n l y agreed, and the i n v e n t o r y , based on t h e r e c o r d group o r subgroup w i t h a d e s c r i p t i o n o f the component s e r i e s , has remained the 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 teworthy because o f i t s recommendation t h a t the s e r i e s r e p l a c e the r e c o r d group as t h 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 out i n the 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 S c o t t was employed. In h i s words: I f the 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 [ o r arrangement] , and the i t e m the secondary 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 a t e s e r i e s , and (b) s e r i e s are no l o n g e r k e p t i n any o r i g i n a l p h y s i c a l o r d e r i n a r e c o r d o r s h e l f group...but s i m p l y have 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 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 are r e g i s t e r e d as they a r e a c c e s s i o n e d , and an e l a b o r a t 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 o r c o n t r o l l i n g a g e n c i e s completes the system. S c o t t ' s s e r i e s system marks an attempt t o overcome the weaknesses o f the r e c o r d 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 systems, the 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 the 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 d i 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 never f u l l y c o n s i d e r e d these 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 major c r i t i c i s m o f an o p e r a t i n g system w i l l appear u n t i l t h a t system 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 wrote o f h i s e x p e r i e n c e s a t the 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 t h 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 t o 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 such as thos e proposed by S c o t t . I t i s u n l i k e l y , though, t h a t he would have abandoned h i s v i e w, and w i t h good r e a s o n . The major weakness o f the r e c o r d s e r i e s system 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 o f work i n o r d e r t o make i t f u n c t i o n a l . T h i s weakness i s o f f s e t by the main a s s e t o f the r e c o r d group system, i t s r e l a t i v e s i m p l i c i t y . U s i n g the r e c o r d group system i t i s p o s s i b l e t o 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 , depending 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 m p o r t a n t i n an i n s t i t u t i o n the s i z e o f the N a t i o n a l A r c h i v e s where the number o f 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 t o 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. F o r t h i s r e a son a l o n e , the r e c o r d group system i s l i k e l y t o be around f o r a l o n g time t o come. I n 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 o f the r e c o r d group system and the r e c o r d s e r i e s system, i t must be remembered t h a t the q u e s t i o n i s one o f p r a c t i c a l i t y and n o t of t h e o r y . Provenance and o r i g i n a l o r d e r a re up h e l d i n b o t h systems. Arrangement a t 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 m e n t i o n i n g e x c e p t t o 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 o b s e r v a t i o n t o 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 m a t t e r i s t h a t he r e f e r r e d t o o n l y one l e v e l o f arrangement, d i s c u s s i n g a t once the arrangement o f b o t h f i l i n g u n i t s and documents. He d e s i g n a t e d the f i n a l l e v e l o f arrangement as the " 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 e c o r d i t e m " i n Management of A r c h i v e s . R e g a r d l e s s which term was used, h i s d e f i n i t i o n remained 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 t h e c o u r s e of t h e i r c u r r e n t use, i n t o volumes, 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 t h a t 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 S c h e l l e n b e r g n o t e 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 o f the arrangement g i v e n the r e c o r d s w h i l e i n c u r r e n t use, the o r i g i n a l o r d e r of the i t e m s s h o u l d be r e s p e c t e d . For s e r i e s t h a t were e s t a b l i s h e d because o f p h y s i c a l type 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 arrangement of the i t e m s u s u 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 arrangement f o r i n d i v i d u a l documents i s not s i g n i f i c a n t s i n c e even Holmes commented t h a t arrangement a t 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 o ut u n l e s s 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 the i t e m s i s r e q u i r e d . 5 0 The major drawback t o S c h e l l e n b e r g ' s account o f the l e v e l s o f arrangement i s t h a t nowhere are 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 the 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 , are much more k e e n l y f o c u s s e d 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 n e c e s s a r y t o jump from p l a c e t o p l a c e i n o r d e r t o d i s c o v e r e v e r y t h i n g t h a t he has t o say. H i s w r i t i n g s t y l e a l s o l e a v e s 48 much t o be d e s i r e d as i t i s o f t e n dogmatic and 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 hich 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 c o v e r s 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 the g e n e r a l o u t l i n e o f arrangement i s the b e t t e r o f the two, S c h e l l e n b e r g d i d cover a l l o f the same ground and even added more d e t a i l e d i n f o r m a t i o n . Taken as a whole, S c h e l l e n b e r g ' s views on the arrangement of a r c h i v e s are as r e l e v a n t today as they were when he f i r s t s t a t e d them, and c o n s i d e r i n g the vacuum i n w h i c h the i d e a s o f S c h e l l e n b e r g and the 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 t a k e on an even g r e a t e r p r e s t i g e . I t would be u n f a i r t o examine the views o f S c h e l l e n b e r g on the s u b j e c t o f arrangement 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 to m a n u s c r i p t c o l l e c t i o n s . As mentioned i n the 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 the U n i t e d S t a t e s were u s u a l l y h e l d by 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 and 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 and 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 Solo n J . B u c k ^ l e f t the N a t i o n a l A r c h i v e s i n 1948, he went t o work f o r the m a n u s c r i p t d i v i s i o n o f the L i b r a r y o f Congress and brought w i t h him i d e a s f o r m u l a t e d i n 51 a 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 1956, "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 are 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 the p i e c e s t o g e t h e 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 1965, S c h e l l e n b e r g was h a i l e d as "the foremost advocate of the a p p l i c a b i l i t y o f 5 3 a r c h i v a l methods t o m a n u s c r i p t s . " In the p r e f a c e to t h i s i m p o r t a n t work he wrot 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 c o 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 which has the o r g a n i c c h a r a c t e r 5 4 o 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 " s h o u l d observe the p r i n c i p l e o f provenance i n a r r a n g i n g 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 l e 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 thos e which are 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 papers t h a t are "brought t o g e t h e r by c o l l e c t o r s . . . a f t e r the a c t i o n s t o wh i c h they r e l a t e have o c c u r r e d , not 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 the 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 r e c o r d 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 re formed i n t o a c o l l e c t i o n i n a m a n u s c r i p 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 such 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 . W i th r e g a r d t o the arrangement 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 arrangement 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 d e 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 which had been commonly used i n the 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, each 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 the o r d e r i n which t h e y are 5 7 a c c e s s i o n e d . " Regarding t h i s l a s t comment, i t might 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 groups, a l l o f w hich have a common s o u r c e , namely, a government. T h e r e f o r e , the p h y s i c a l arrangement of c o l l e c t i o n s need n o t be as c a r e f u l l y e x e c u t e d as the arrangement 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 are i n a r c h i v a l groups. 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 arrangement 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 each type o f 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 m a t t e r 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 t o 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 arrangements t o be chrono-l o g i c a l o r a l p h a b e t i c a l , depending on the n a t u r e of the 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 , because they ar e o f t e n n o t d i r e c t l y r e l a t e d t o each o t h e r and u s u a l l y are n o t w e l l a r r a n g e d o r i g i n a l l y , are to be a r r a n g e d i n s i m p l e n u m e r i c a l 59 o r d e r w i t h an accompanying 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 the s u b j e c t o f 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 , Ruth B. B o r d i n ' s and Robert M. Warner's The Modern M a n u s c r i p t L i b r a r y , and L u c i l e M. Kane's A Guide to the Care 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 . Both works are 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 emphasize the importance 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 arrangement. Of the two, Kane's Guide i s the s u p e r i o r . Kane seems t o have a f i r m e r grasp o f the p r i n c i p l e o f provenance and does not overemphasize the m e r i t s o f c h r o n o l o g i c a l arrangement, 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 the p r a c t i c a l m a t t e r s o f r u n n i n g a r e p o s i t o r y , Kane's w e l l p r e s e n t e d , s t e p by s t e p approach i s even b e t t e r than S c h e l l e n b e r g ' s Management of 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 the arrangement 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 l e n g t h y commentaries on the h i s t o r y , development, and r e l e v a n c e o f a r c h i v a l t h e o r y and p r a c t i c e . T h i s a c c o u n t o f 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 t e c h n i q u e s t o the c a r e o f m a n u s c r i p t s was h i s most i m p o r t a n t c o n t r i b u t i o n t o the l a t t e r d i s c i p l i n e . F o r t h e 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 always remained the f i e l d o f p u b l i c a r c h i v e s . The s u b j e c t of the d e s c r i p t i o n o f a r c h i v e s has 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 arrangement and t h a t the b e s t example of the c l 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 the 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 the needs of b o t h the a r c h i v i s t and t h e r e s e a r c h e r . S c h e l l e n b e r g was always v e r y aware of the i m p o r t a n t r o l e o f the a r c h i v i s t i n the d e s c r i p t i o n o f h i s i n s t i t u t i o n ' s h o l d i n g s . He o b s e r v e d : "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 o r t a n t o f a l l a c t i v i t i e s p erformed 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 about a r c h i v e s t o the 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 the 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 second 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 62 or a t t r i b u t e s . " R e g a r d i n g the enumeration 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 would be c o n s i d e r e d r e g a r d l e s s o f 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 , from the 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 the way down t o the 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 , volume, and form. Record 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 produced 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 produced 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 of 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 the l i k e . " S p e c i f i c r e c o r d t y p e 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 , and so on. The term " c o m p o s i t i o n " was used " t o r e f e r t o the way r e c o r d s were brought t o g e t h e r when they were o r i g i n a l l y c r e a t e d o r accumulated. They may have been bro u g h t t o g e t h e r i n t o volumes, 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 . " Record 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 the 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 provenance o f the 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 , the time and p l a c e o f t h e i r p r o d u c t i o n , and the s u b j e c t m a t t e r w i t h w h i c h they d e a l . Time and p l a c e o f p r o d u c t i o n are 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 below a l o 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 provenance, 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 " can be p r o v i d e d about r e c o r d s , p apers, and 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 the 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 added: "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 , the more p r e c i s e i s the i n f o r m a t i o n on t h e i r 4. 4. ..65 c o n t e n t . E a r l i e r i n t h i s c h a p t e 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 t o t h 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 than a s u b j e c t , approach 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 , the a r c h i v i s t would 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 . " Indeed, the 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 would g r e a t l y f a c i l i t a t e t h e i r subsequent arrangement 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 o f these a t t r i b u t e s t o the d e s c r i p t i o n o f a r c h i v a l groups 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 approaches. F or p u b l i c r e c o r d s the b e s t means o f enumerating the 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 the form o f 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 the 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 hemselves would then 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 a b l e o f c o e x i s t i n g . The use o f one d i d not e x c l u d e the use o f the o t h e r . I t was s i m p l y 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 groups because t h e i r o r i g i n s are 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 through the 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 the 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 the number o f r e c o r d groups i n a r c h i v a l i n s t i t u t i o n s , and so c a t a l o g i n g i s 6 7 needed t o keep the numerous c o l l e c t i o n s under c o n t r o l . The importance 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 c o n t i n u e s t o be r e c o g n i z e d , and the use o f 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 each 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 about 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 . In 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 Grover, c o m p l a i n i n g t h a t "he does not know 6 8 the d i f f e r e n c e between an i n d e x and a c a t a l o g . " In Management o f A r c h i v e s he w r o t e : Indexes are d e s i g n e d merely t o p o i n t the way t o s u b j e c t c 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 on s u b j e c t s may be found i n r e c o r d s . They are not d e s i g n e d t o d e s c r i b e r 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 n r 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 media; c a t a l o g s are d e s c r i p t i v e media, though they 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 advantages o f i n d e x e s are t h a t , s i n c e r e c o r d s are o n l y i d e n t i f i e d i n them and n o t d e s c r i b e d , "they can be p r e p a r e d more e a s i l y than can o t h e r t y p e s o f f i n d i n g a i d s , " and t h e r e f o r e they are the b e s t means of p r o v i d i n g i n f o r m a t i o n on the 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 i t e m s , but o n l y 70 when such 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 major c o n t r o v e r s y a r i s e s o v e r the q u e s t i o n o f the h e a dings to be used i n the c a t a l o g s and 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 system which made use o f h e adings based on b r o a d s u b j e c t s and p e r s o n a l and 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 has been mentioned 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 the 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 the 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 , though h i s s u p p o r t f o r the use o f b r o a d s u b j e c t headings 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 . In an a t t e m p t t o u n d e r s t a n d the reason f o S c h e l l e n b e r g 1 s s t a n d 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 former t e a c h e r : " I fe t h a t our b a s i s o f d i f f e r e n c e l i e s i n the f a c t t h a t 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 oncerned 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 response i s not 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 t o be v a l i d . G iven 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 he s h o u l d be c o n cerned w i t h the b r o a d e r o u t l o o k of s u b j e c t a c c e s s . T h i s i s s u e remains one o f the 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 day 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 about one system t h a t has been d e v e l o p e d t o d e a l w i t h the p roblem of 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 and i n d e x i n g based upon an a n a l y s i s o f the r e c o r d s themselves 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 the r e s e a r c h e r s n o t t o the r e c o r d s t h e m s e l v e s , bu t t o the 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 system, t h e n , i t i s the i n v e n t o r y t h a t i s b e i n g 7 3 i n d e x e d and not the a c t u a l r e c o r d s . T h i s 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 c o n c e i v e d o f such a system as he always s t a t e d t h a t i n d e x e s would p o i n t the r e s e a r c h e r d i r e c t l y t o the r e c o r d 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 can be seen as a f o r e r u n n e r to B e r n e r ' s i n t e g r a t e d system i n t h a t b o t h S c h e l l e n b e r g and B e r n e r 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. For S c h e l l e n b e r g the f u n c t i o n a l approach r e c o g n i z e d the unique n a t u r e o f 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 n e r ' s i n t e g r a t e d system i s f i r m l y r o o t e d i n provenance. 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 . W i t h r e g a r d t o the 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 m a t t e r . A r e c e n t s t u d y u n d e r t a k e n 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-house 74 c o n t r o l s i n the 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, t h e n , 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 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 " ? 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 , such 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 l e m e n t s , i s p a r t o f 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 hardware and s o f t w a r e w i l l be used from one i n s t i t u t i o n t o the n e x t . On a more g e n e r a l l e v e l , however, such as the s t a n d a r d i z e d use o f t e r m i n o l o g y i n the naming o f f i n d i n g a i d s and, p e r h a p s , agreement on the b e 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 towards s t a n d a r d i z a t i o n are more i m m e d i a t e l y p o s s i b l e . I t i s a l s o p o s s i b l e t h a t S c h e l l e n b e r g Was a i m i n g f o r t h i s g e n e r a l s t a n d a r d i z a t i o n s i n c e , as noted i n the p r e v i o u s c h a p t e r , he acknowledged t h a t a r c h i v a l t e c h n i q u e s c o u l d never be as p r e c i s e l y d e f i n e d as those o f the l i b r a r y 76 p r o f e s s i o n . W i t h t h i s b r o a d e r view o f s t a n d a r d i z a t i o n , S c h e l l e n b e r g ' s g e n e r a l s t a t e m e n t s on d e s c r i p t i o n , p a r t i c u l a r l y the s e p a r a t i o n o f s t r u c t u r a l and s u b s t a n t i v e a t t r i b u t e s and t h e i r components, p r o v i d e a l l a r c h i v i s t s w i t h a s o l i d b a s i s f o r d e s c r i p t i o n no m a t t e r which method i s used. S t a n d a r d i z a t i o n does n o t o n l y r e f e r t o d e s c r i p t i v e t e c h n i q u e s , however, b u t a l s o t o a r c h i v a l p r i n c i p l e s , e s p e c i a l l y as they p e r t a i n to arrangement. In t h i s r e g a r d the a r c h i v a l p r o f e s s i o n has a f i r m f o u n d a t i o n , and 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 p a r t i n b r i n g i n g t h i s about. The a r c h i v a l community i n the U n i t e d S t a t e s was i n g r e a t need o f b a s i c a r c h i v a l l i t e r a t u r e , t o which 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 made a g r e a t c o n t r i b u t i o n . He i n v e s t i g a t e d the p r e v a l e n t a r c h i v a l p r i n c i p l e s o f Europe and h e l p e d t o adapt them t o s i t u a t i o n s p e c u l i a r t o the U n i t e d S t a t e s as t y p i f i e d by t h e N a t i o n a l A r c h i v e s . In so d o i n g , he gave a r c h i v a l p r i n c i p l e s a s t r o n g t h e o r e t i c a l b a s i s and y e t m a i n t a i n e d the f l e x i b i l i t y n e c e s s i t a t e d by the numerous p r a c t i c a l e x c e p t i o n s t o the r u l e . In a p r o f e s s i o n w h i c h r e l i e s h e a v i l y on b o t h t h e o r y and p r a c t i c e , S c h e l l e n b e r g 1 s w r i t i n g s w i l l always h o l d a p l a c e o f eminence. 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 the 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 o r d e r t o d e c i d e which r e c o r d s w a r r a n t 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 statement i s t h a t those r e c o r d s n o t chosen f o r permanent p r e s e r v a t i o n are t o be d e s t r o y e d — e i t h e r i m m e d i a t e l y o r a f t e r temporary r e t e n t i o n , u s u a l l y i n a r e c o r d s c e n t e r . Thus, the e x e c u t i o n o f 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 very s e r i o u s r e s p o n s i b i l i t y f o r a r c h i v i s t s . As n o t e d e a r l i e r , the f i r s t time 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 l a r g e s c a l e was a t the N a t i o n a l A r c h i v e s i n the 1930s.^ Through i t s c o n t i n u e d e f f o r t s t o d e a l w i t h t h e problem o f r e c o r d volume, the N a t i o n a l A r c h i v e s soon became r e c o g n i z e d as a w o r l d a r c h i v a l l e a d e r , and, more than any o t h e r i n d i v i d u a l American a r c h i v i s t , T.R. S c h e l l e n b e r g p o p u l a r i z e d t h e 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 , t h e n , t o l o o k a t S c h e l l e n b e r g ' s defense o f 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 , i n c l u d i n g an e x a m i n a t i o n 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 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 r e c o r d s management; examine h i s s t u d y , The  A p p r a i s a l o f Modern P u b l i c R e cords, 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 s e t f o r t h ; and, f i n a l l y , p l a c e h i s views i n the c o n t e x t o f the r e c e n t developments i n r e c o r d s a p p r a i s a l . In o r d e r t o a p p r e c i a t e the need f o r S c h e l l e n b e r g t o 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 European a r c h i v a l s i t u a t i o n p r i o r t o the 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 Arrangement 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 au t h o r s w i s h e d t o c o n s i d e r o n l y arrangement and d e s c r i p t i o n , b u t s i m p l y because 2 a p p r a i s a l was n o 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 s h o u l d p r e s e r v e the e n t i r e documentation 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 d s t h rough 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 approach 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 the t w e n t i e t h c e n t u r y , however, the growth o f governments and the development of new t e c h n o l o g i e s l e d t o the d r a s t i c i n c r e a s e i n the volume of government r e c o r d s . I t soon became apparent t h a t a g r e a t e r p o r t i o n o f the documentation had t o 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 o f 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 adamantly 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 o r d i n g t o 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 documentary m a t e r i a l s "drawn up o r used i n t h e cou 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 cu 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 the pers o n o r pe r s o n s 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 impetus 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 o u t by a r c h i v i s t s would 60 d e s t r o y the v e r y i n t e g r i t y o f the a r c h i v e s . T h i s was the predominant 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 the 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 o f 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 e r 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 the 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 would have t o be taken towards the a p p r a i s a l i s s u e . As he put American a r c h i v i s t s are concerned w i t h an overwhelming mass o f documentation. They must reduce t h i s mass t o make i t u s a b l e . They r e a l i z e t h a t n o t a l l r e c o r d s can be p r e s e r v e d , t h a t some o f them have t o be d e s t r o y e d , and t h a 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 i n f a c t a s e r v i c e to s c h o l a r s h i p . They know t h a t a c a r e f u l s e l e c t i o n o f the documentation produced by a modern government i s n e c e s s a r y i f they are not t o 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 those t h a t are v a l u a b l e . American a r c h i v i s t s b 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 those most c o g n i z a n t o f the i n t e r e s t s o f s c h o l a r s h i p , namely the a r c h i v i s t s who are 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 and r e s e a r c h needs.... American a r c h i v i s t s , i n t h e i r concern w i t h the s e l e c t i o n o f documents, have g i v e n more thought 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 European 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 something 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 response to 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 had a d v o c a t e d t h a t 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 need n o t 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 , he s i m i l a r l y c h a l l e n g e d the 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 o t 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 as 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 such as the one o f f e r e d by J e n k i n s o n c o u l d 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 the d e f i n i t i o n o f a r c h i v e s so t h a t the element of s e l e c t i o n became the c o r n e r s t o n e . In Modern A r c h i v e s , he s t a t e d : . . . t h e r 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 o f 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 n p 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 d i n each c o u n t r y t o f i t i t s p a r t i c u l a r needs.... The modern a r c h i v i s t , I b e l i e v e , has a d e f i n i t e need t o r 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 t o h i s own r e q u i r e m e n t s . S i n c e the major problem o f 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 n from 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 by p u b l i c (or 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 h e element of 7 s e l e c t i o n s h o u l d be i m p l i c i t i n the 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 those " r e c o r d s . . . which are adjudged worthy 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 purposes and which 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 pursuance 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 the t r a n s a c t i o n o f i t s p r o p e r b u s i n e s s and 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 by 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 s s 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 emphasis on the 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 and 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 can 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 of 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 the i n c l u s i o n o f the s t atement 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 the 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 u t 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 would 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 . W h i l e r e d e f i n i t i o n t o s u i t the 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 prove t o be v e r y dangerous t o 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 o f 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 of 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 seen, the r e c o r d s management p r o f e s s i o n was f i r s t 62 developed a t the N a t i o n a l A r c h i v e s p a r t i a l l y i n response t o 9 a p p r a i s a l needs. Thus 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 i s v e r y i m p o r t a n t , e s p e c i a l l y r e g a r d i n g 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 have l o s t t h e i r c u r r e n t a d m i n i s t r a t i v e v a l u e . S c h e l l e n b e r g s t r e s s e d t h i s p o i n t i n D i s p o s i t i o n o f F e d e r a l Records when he o b s e r v e d : The p r i m a r y o b j e c t i v e o f a d i s p o s i t i o n program i s t o c o n t r o l the o u t f l o w o f r e c o r d s from an agency as m e t h o d i c a l l y as t h e i r i n f l o w i s c o n t r o l l e d , t h e r e b y s y s t e m a t i z i n g the management o f r e c o r d s from t h e i r b e g i n n i n g t o t h e i r end.... Under such programs r e c o r d s t h a t have t o be r e t a i n e d t e m p o r a r i l y s h o u l d be r e t i r e d p e r i o d i c a l l y e i t h e r t o i n a c t i v e f i l e s o r t o r e c o r d s d e p o s i t o r i e s , and, a f t e r t h e i r c u r r e n t u s e f u l n e s s has been e x h a u s t e d , they s h o u l d be d e s t r o y e d p e r i o d i c a l l y ; w h i l e r e c o r d s t h a t have t o be r e t a i n e d permanently s h o u l d be h e l d i n an o r d e r l y manner w i t h i n the agency t h a t c r e a t e d them u n t i l they have become n o n c u r r e n t and t h e n s h o u l d be t r a n s f e r r e d p e r i o d i c a l l y t o an a r c h i v a l agency.10 He added t h a t 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 i s the p o s i t i v e a s p e c t o f the problem of r e c o r d s d i s p o s i t i o n ; the d i s p o s a l o f r e c o r d s i s the n e g a t i v e o n e . " 1 1 In Modern A r c h i v e s , he d w e l l e d on the r e l a t i o n s h i p between between r e c o r d s management and a p p r a i s a l i n the c h a p t e r e n t i t l e d , " A r c h i v a l I n t e r e s t s i n Record Management," i n which he emphasized t h a t a r c h i v i s t s and r e c o r d s managers must cooperate i n the d i s p o s i t i o n o f r e c o r d s . E a r l i e r i n Modern A r c h i v e s he a d d r e s s e d the i s s u e o f c o o p e r a t i o n on a more s p e c i f i c l e v e l by s t a t i n g t h a t the d i s p o s i t i o n o f r e c o r d s would be f a c i l i t a t e d i f r e c o r d s were p r o p e r l y c l a s s i f i e d w h i l e i n c u r r e n t use. He w r o t e : C l a s s i f i c a t i o n . . . h a s a d i r e c t b e a r i n g on d i s p o s a l p r a c t i c e s . Records need n o t be p r e c l a s s i f i e d w i t h a view to t h e i r d i s p o s a l . . . . Records s h o u l d be c l a s s i f i e d p r i m a r i l y t o f a c i l i t a t e t h e i r c u r r e n t use, and o n l y s e c o n d a r i l y t o f a c i l i t a t e t h e i r removal and d i s p o s a l . But i f r e c o r d s a r e p r o p e r l y c l a s s i f i e d i n r e l a t i o n t o f u n c t i o n they can u s u a l l y be e l i m i n a t e d i n r e l a t i o n to f u n c t i o n , f o r they d e r i v e much o f t h e i r s i g n i f i c a n c e from t h e i r r e l a t i o n t o f u n c t i o n . 1 2 S c h e l l e n b e r g ' s concern w i t h the 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 has a l r e a d y been examined d u r i n g the d i s c u s s i o n s o f provenance, 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 t h e 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 importance 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 n o t 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 u t a l s o between the r e s p e c t i v e a r c h i v a l f u n c t i o n s of arrangement and d e s c r i p t i o n and 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 c o 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 about 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 . The A p p r a i s a l o f Modern P u b l i c Records 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 base 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 American 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 o r d e r t o a p p r e c i a t e t h e i n t e l l e c t u a l c o n t e x t o f 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 Records 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 o f 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 second k i n d an a r c h i v a l c o n c e r n . In making a p p r a i s a l d e c i s i o n s , he emphasized the im p o r t a n c e o f 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 the agency and the r e l a t i o n s h i p between the r e c o r d s 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 r e c o r d s . He a l s o s t a t e d t h a t a r c h i v i s t s must be aware o f changes i n r e s e a r c h i n t e r e s t and o f the uses made o f 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 which would 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 u t they are d i s c u s s e d o n l y summarily by B r o o k s . Indeed, they form o n l y a s m a l l p o r t i o n of the c o n t e n t of Brooks' a r t i c l e , w h i c h was concerned 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, the 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 Records, by 15 G. P h i l i p Bauer. A s s e r t i n g t h a t " s t e r n and t r u e c o s 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 a t i t was not the 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 development o f r i g i d a p p r a i s a l c r i t e r i a based 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 the 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 commercial l i g h t . " Kahn was f u r t h e r opposed t o t h 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 because "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 t a t i o n , independent 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 h e c h i e f a d m i n i s t r a t o r o f 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 i n the 1950s and as head o f t h e O f f i c e o f Records 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 c o r d s a p p r a i s a l , and so he r e c o g n i z e d the need 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 m i n d — n e e d s which 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 s o l u t 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 g r e a t d e a l o f a n a l y t i c a l t h i n k i n g on the p a r t o f the a u t h o r . T h i s i s e s p e c i a l l y a p parent i n the c a r e f u l development o f the v a r i o u s t y p e s o f v a l u e t h a t r e c o r d s may p o s s e s s , p r o c e e d i n g from the g e n e r a l to the s p e c i f i c . D e f i n i t i o n s o f t e r m i n o l o g y a l s o 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 th e v a l u e t h a t r e c o r d s might 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 a g e n c i e s and p r i v a t e u s e r s . " He c a l l e d these v a l u e s " p r i m a r y " 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 the one made by Brooks and r e p r e s e n t s no new l i n e o f thought. S c h e l l e n b e r g then s t a t e d , as d i d B r o o k s , t h a t a r c h i v i s t s are concerned o n l y w i t h the secondary v a l u e s , and the r e s t o f the b u l l e t i n i s devoted to a c o n s i d e r a t i o n o f t h e s e . Secondary 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 . In o r d e r t o u n d e r s t a n d 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 o f these terms. E v i d e n t i a l v a l u e s were d e f i n e d as "the v a l u e s t h a t a t t a c h t o r e c o r d s because o f the e v i d e n c e they c o n t a i n o f 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 J e n k i n s o n t o r e f e r t o "the s a n c t i t y o f the e v i d e n c e i n a r c h i v e s t h a t i s d e r i v e d from 'unbroken c u s t o d y , ' o r from t h e way they came i n t o the 17 hands o f the a r c h i v i s t . " As S c h e l l e n b e r g e x p l a i n e d : "The q u a l i t y o f the e v i d e n c e p e r se i s thus n o t the i s s u e here, b u t the c h a r a c t e r o f the m a t t e r e v i d e n c e d . " I n f o r m a t i o n a l v a l u e s were d e f i n e d as "the v a l u e s t h a t a t t a c h t o r e c o r d s because o f the 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 term "persons" 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 or c o r p o r a t e b o d i e s , " the term " t h i n g s " t o " 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 , and o t h e r m a t e r i a l t h i n g s , " and the 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 roblems, a c t i v i t i e s , programs, 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 the 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 purposes o f d i s c u s s i o n . The two t y p e s of v a l u e s a r e n o t m u t u a l l y „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 cepts 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 approach 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 the n a t u r e o f the work o f arrangement and d e s c r i p t i o n can a l s o s e r v e t o i l l u s t r a t e the importance of t h i s s i m p l e d i s t i n c t i o n . In h i s view, 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 , whether an o b j e c t o f the senses o r o f the i n t e l l e c t , i n t o i 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 h each 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 each o t h e r and t o the whole.19 S c h e l l e n b e r g d e serves the c r e d i t f o r p o p u l a r i z i n g t h e s e 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 t h e a r c h i v a l p r o f e s s i o n . He then proceeded t o d i s c u s s a t l e n g t h the p a r t i c u l a r elements 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 to grasp than 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 the t e s t o f e v i d e n t i a l v a l u e s i s the s i m p l e r o f the two. As S c h e l l e n b e r g n o t e d , the 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 t o q u e s t i o n t h a t e v i d e n c e o f e v e r y agency's o r g a n i z a t i o n and 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 o n l y as t o the com-p l e t e n e s s w i t h which such e v i d e n c e s h o u l d be p r e s e r v e d . The t e s t o f r e s e a r c h v a l u e , on the o t h e r hand, b r i n g s t o 2 view r e c o r d s on which judgments are bound t o d i f f e r w i d e l y . In d e c i d i n g upon e v i d e n t i a l v a l u e s , he s t r e s s e d the importance o f b a s i n g such d e 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 o f an agency; they s h o u l d n o t be made on a p i e c e m e a 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 t o be based on c a r e f u l s t u d y . A demand f o r a knowledge o f the e n t i r e documentation o f any agency i s v e r y i n t i m i d a t i n g , b u t i t i s not as i m p o s s i b l e as i t might sound. T h i s s i m p l y u n d e r l i n e s the 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 s h o u l d be v e r y e x p e r i e n c e d and v e r y f a m i l i a r w i t h the h i s t o r y and o p e r a t i o n o f the agency under c o n s i d e r a t i o n . Such e x p e r i e n c e and f a m i l i a r i t y can b e s t be g a i n e d i f the a r c h i v i s t c a r r i e s o u t 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 than 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 s u p p o r t e d . In summarizing S c h e l l e n b e r g ' s account 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 to 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 obvious 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 o f 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 r e c o r d s w h i c h i l l u s t r a t e the o r g a n i z a t i o n o f the agency s h o u l d 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 which i l l u s t r a t e the f u n c t i o n s o f the agency. Records b e a r i n g on the o r g a n i z a t i o n o f the agency a r e o b v i o u s and u s u a l l y few i n number, i n c l u d i n g such types as 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 documenting the o r i g i n s o f 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 the second and t h i r d b a s i c r u l e s a p p l y . The second r u l e i s t h a t the f u n c t i o n s o f an agency can be d i v i d e d between the s u b s t a n t i v e , o r the major f u n c t i o n s , and the 68 c f a c i l i t a t i v e , o r the more r o u t i n e f u n c t i o n s such as those p e r t a i n i n g to p e r s o n n e l and s u p p l y . C e r t a i n l y the s u b s t a n t i v e f u n c t i o n s would be the more i m p o r t a n t and, t h e r e f o r e , r e c o r d s r e l a t i n g t o these would have a g r e a t e r v a l u e than r e c o r d s r e l a t i n g to f a c i l i t a t i v e f u n c t i o n s . Records of the former type would i n c l u d e annual r e p o r t s , agency h i s t o r i e s , p o l i c y and p r o c e d u r a l i s s u a n c e s o f numerous k i n d s , and r e c o r d s r e l a t i n g t o major l e g a l and b u d g e t a r y m a t t e r s . The importance o f r e c o r d s r e l a t i n g to s u b s t a n t i v e f u n c t i o n s i s a p o i n t w i t h w h i c h a l l a r c h i v i s t s would ag r e e . What i s p r e s e n t e d here as S c h e l l e n b e r g 1 s t h i r d b a s i c r u l e i s c o n t a i n e d i n these words: In a p p r a i s i n g the e v i d e n t i a l v a l u e s o f p u b l i c r e c o r d s an a r c h i v i s t must be p a r t i c u l a r l y c o n s c i o u s o f o r g a n i z a t i o n , f o r t hese v a l u e s l a r g e l y depend on the p o s i t i o n o f the o f f i c e t h a t produced them i n the a d m i n i s t r a t i v e h i e r a r c h y o f the agency. In g e n e r a l , the r e c o r d s o f o f f i c e s d e c r e ase i n v a l u e as one descends the a d m i n i s t r a t i v e l a d d e r o f an agency.23 At f i r s t i t may appear t h a t t h i s i s t o o sweeping a statement. Meyer F i s h b e i n , f o r example, has n o t e d s e v e r a l i n s t a n c e s where r e c o r d s o f f i e l d o f f i c e s have p o s s e s s e d more a r c h i v a l v a l u e 24 than the r e c o r d s o f the p a r e n t o f f i c e s . In defense o f S c h e l l e n b e r g , however, i t must be emphasized t h a t he was s p e a k i n g about e v i d e n t i a l v a l u e s and n o t about i n f o r m a t i o n a l v a l u e s , and t h i s d i s t i n c t i o n must be k e p t c l e a r when r e a d i n g the b u l l e t i n . Records o f h i g h e r l e v e l o f f i c e s would c e r t a i n l y have more v a l u e w i t h r e g a r d t o documenting the o r g a n i z a t i o n and f u n c t i o n s o f the e n t i r e agency than would r e c o r d s o f s u b o r d i n a t e o f f i c e s . S c h e l l e n b e r g was.merely s t a t i n g what s h o u l d be the o b v i o u s , but he d i d q u a l i f y h i s s t a t e m e n t by a d d i n g t h a t i f the a d m i n i s t r a t i v e r e s p o n s i b i l i t i e s o f the agency were d e c e n t r a l i z e d o r i f 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 , then the r e c o r d s o f such lower l e v e l o f f i c e s would assume a g r e a t e r . - , . -» 2 5 e 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 G r a n d f a t h e r C l a u s e : R e a c c e s s i o n i n g A c c e s s i o n e d Records," Leonard Rapport 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 e n d i n g " t o o v e r v a l u e 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 s u p p o r t o f 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 s t a t e m e n t t h a t 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 " s h o u l d be p r e s e r v e d r e g a r d l e s s o f whether t h e r 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 s t a t e m e n t i s u n f a i r because he quoted S c h e l l e n b e r g out of c o n t e x t . I t i s o b v i o u s from t h e s u m m a r i z a t i o n o f S c h e l l e n b e r g ' s a c c o u n t o f d e t e r m i n i n g e v i d e n t i a l v a l u e s t h a t r e c o r d s h a v i n g such a v a l u e would be r e l a t i v e l y s m a l l i n volume and t h a t o n l y the most i m p o r t a n t o f such r e c o r d s would be p r e s e r v e d . Indeed, 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 are g e n e r a l l y much g r e a t e r i n volume and are l o o k e d upon as h a v i n g more r e s e a r c h 27 importance than r e c o r d s p o s s e s s i n g o n l y 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 v a l u e s a r e 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 r e c o r d s w hich 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 B o l e s 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 v a l u e s by c l a i m i n g t h a t such v a l u e s are n o t r e l e v a n t t o i n s t i t u t i o n a l a r c h i v e s "whose p r i m a r y g o a l i s t o 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 statement 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 l u 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 the 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 to s u b j e c t a r e a s which f a l l o u t s i d e the 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 s i m p l y because such an a p p r a i s a l i s concerned 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 . But c o n c e r n i n g the 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 than the s p o n s o r i n g i n s t i t u t i o n o f the 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 k e p t which 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 would have t o meet the 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 o f these terms have s p e c i f i c b u t m u l t i p l e meanings. The term "uniqueness" r e f e r s , f i r s t o f a l l , t o "the uniqueness o f the i n f o r m a t i o n , " meaning t h a t "the 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 r e c o r d s i s n o t t o be found i n o t h e r documentary s o u r c e s i n as complete and as u s a b l e a form." T h i s i m p l i e s a knowledge of " 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 the m a t t e r under c o n s i d e r a t i o n , " which a g a i n emphasizes the need f o r e x p e r i e n c e and c a r e f u l s t u d y and extends 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 not o n l y a f a m i l i a r i t y w i t h the agency's documentation but a l s o an awareness o f any r e l a t e d o u t s i d e documentation, whether 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 t o "the uniqueness o f the r e c o r d s t h a t c o n t a i n the i n f o r m a t i o n , " t h a t i s , whether o r not p h y s i c a l d u p l i c a t e s o f the 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 which case the 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 term "form" a l s o has two meanings. The f i r s t p e r t a i n s t o "the degree t o which the 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 . . . . In 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 always p r e s s e d f o r space to house r e c o r d s . " The second meaning has t o do w i t h the p h y s i c a l form o f the r e c o r d s — w h e t h e r o r n o t t h e i r p h y s i c a l c o n d i t i o n o r 30 arrangement would p r e v e n t t h e i r b e i n g used by r e s e a r c h e r s . B oth o f t h e s e 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 the term "form" r e a d i l y conveys the i d e a o f the p h y s i c a l c o n d i t i o n and arrangement o f the r e c o r d s , i t i s a poor term t o use t o t r y t o convey the i d e a o f the degree o f c o n c e n t r a t i o n of 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 on 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 him, though, 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 such terms o f dubious meaning. He seems t o have been t r y i n g t o p r e s e n t the d i f f i c u l t concepts o f a p p r a i s a l i n the s i m p l e s t p o s s i b l e manner. The t e s t s o f uniqueness and form are s t r a i g h t f o r w a r d i n comparison w i t h the t e s t o f i m p o r t a n c e . As 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 the 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 r e a l m o f the i mponderable, 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 , and f o r what purpose, and to 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 the 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 s h o u l d f i r s t e nsure t h a t the r e c o r d s meet the t e s t s o f uniqueness and form s i n c e they " 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 are c a p a b l e o f b e i n g a p p r a i s e d on the 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 . " In o t h e r words, the t e s t s o f uniqueness 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 based on the importance o f the i n f o r m a t i o n c o n t a i n e d i n the 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 f o r any o t h e r r e a s o n , and i t i s here t h a t the e x p e r i e n c e and knowledge of 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 can be a p p l i e d t o the d e t e r m i n a t i o n o f the importance 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 the a r c h i v i s t s h o u l d c o n s i d e r the needs o f the government b e f o r e 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 h o u l d be g i v e n t o 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 and a n t i q u a r i a n needs; and 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 , such as s e r i e s , r a t h e r than f o r i n d i v i d u a l d o c u m e n t s . ^ These s t a t e m e n t s might sound somewhat overwhelming, 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 they are r e a d i l y u n d e r s t a n d a b l e and v a l i d . Most o f the remainder of the b u l l e t i n d e a l s w i t h the a p p l i c a t i o n o f the t e s t s of u n i q u e n e s s , form, and importance as they 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 on p e r s o n s , t h i n g s , and phenomena. ( T h i s i n c l u d e s a b r i e f account o f the s a m p l i n g o f r e c o r d s as an a p p r a i s a l t e c h n i q u e , which w i l l be 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 the 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 p r e s e n t day a r c h i v i s t s . There a r e 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 examples he used, n o t 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 the N a t i o n a l A r c h i v e s , and many a r c h i v a l i n s t i t u t i o n s would n o t be f a c e 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 problems. 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 the c o n c l u s i o n o f the 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 types o f 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 reason 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 concerned w i t h subsequent r e s e a r c h developments i n such ar e a s as the 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 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 . 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 r e e x t r e m e l 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 are o f l e s s v a l u e . R e g a r d i n g the type 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 ta s k o f a p p r a i s a l , S c h e l l e n b e r g was s u p p o r t i v e o f a background i n h i s t o r y . When d i s c u s s i n g the a p p l i c a t i o n o f the 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 approach 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 methodology has t a u g h t him t o loo k i n t o the o r i g i n , development, and the w o r k i n g o f human i n s t i t u t i o n s and t o use r e c o r d s f o r the purpose. 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 re 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 h are most i m p o r t a n t t o him.... Modern a r c h i v i s t s are g 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 be assumed t h a t they are competent t o a p p r a i s e the v a l u e o f p 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 n o 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 d 33 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 from th 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 here t h a t S c h e l l e n b e r g was n o 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 the 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 methodology, and t h a t t h i s methodology, through i t s a n a l y s i s o f p r i m a r y s o u r 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 c o n c l u d i n g paragraphs of the b u l l e t i n are f i l l e d w i t h sound common sense. 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 "cannot 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 than 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 t h a t 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 . . . . Complete 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 e s 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 accomplishment." These comments c a l l t o 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 Bauer'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, t h 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 towards 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 which the a r c h i v i s t c o u l d work f l e x i b l y . I n analogous 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 s t u d e n t ' s guide on the b a s i c manner o f w r i t i n g e s s a y s 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 approach 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 the c a r r y i n g o u t o f a p p r a i s a l , t h e r e was t o be no repla c e m e n t f o r i n depth r e s e a r c h 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 n o t be based 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 v a l u e ; they s h o u l d be based i n s t e a d on thorough a n a l y s e s o f t h e documentation b e a r i n g on the m a t t e r t o whi 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 35 the essence 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 s t a tement 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 oth a w a r n i n g and an encouragement t o a r c h i v i s t s . He wrote : 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 t h a t n o t a l l o f them can be p r e s e r v e d , t h a t some o f them have t o be d 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 . . . . He must 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 y a l i m i t e d amount o f funds f o r t h e p r e s e r v a t i o n o f i t s documentary r e s o u r c e s and t h a t t h e s e funds must be a p p l i e d j u d i c i o u s l y f o r the p r e s e r v a t i o n o f the most i m p o r t a n t o f these r e s o u r c e s . 3 6 The w a r n i n g comes from the use of t h e 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 reminded o f 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 here 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 . The encouragement comes from the use o f the word " p r e s e r v a t i o n , " as a r c h i v i s t s are reminded 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. T h i 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 as i t b r i n g s t o the 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 the 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 the problem of a p p r a i s a l . No modern a r c h i v i s t w ould s e r i o u s l y c h a l l e n g e the n e c e s s i t y o f the a p p r a i s a l f u n c t i o n , nor the 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 . In Canada, f o r example, t h i s theme was expounded th r o u g h o u t the 1960s by the Dominion A r c h i v i s t , W. Kaye Lamb, and h i s s u c c e s s o r , W i l f r i d 38 Smith. Meanwhile, E n g l i s h and European a r c h i v i s t s d i d not l i n g e r unduly o v e r t h e i r a v e r s i o n 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 . For example, the G r i g g Commission, which s a t from 1952 t o 1955, d i d f o r B r i t a i n what the Hoover Commissions d i d f o r the U n i t e d S t a t e s . As the problem o f modern r e c o r d b u l k became a concern f o r European a r c h i v i s t s , they responded 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 d s 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 e a 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 o f 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 American A r c h i v i s t s b a s i c 39 manual s e r i e s . T h i s i s the o n l y major 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 appeared s i n c e The A p p r a i s a l o f  Modern P u b l i c Records. Most o f B r i c h f o r d 1 s g u i d e l i n e s a r e 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 u e 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 times 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 not remarkable 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 account o f a p p r a i s a l , b u t f o r what i t adds to 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 approached the s u b j e c t i n d i r e c t l y and d i d not mention i t a t a l l i n the 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 t h e q u e s t i o n o f the a p p r a i s a l o f 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 n o t mention 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 can be assumed t h a t h i s g u i d e l i n e s would 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 never any reason 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 appendix 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 Records Grouped by R e l a t i v e Importance," i n wh i c h the r e l a t i v e i mportance 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 , " such 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 are " 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 would have f u r t h e r enhanced the 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 Leonard Rapport 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 seen as e x t e n s i o n s o f i d e a s p u t f o r t h by S c h e l l e n b e r g . Rapport argued t h a t n o t a l l o f the 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 permanently p r e s e r v e d , b u t r a t h e r t h a t the 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 o u 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 b a c k l o g o f work t h a t had accumulated d u r i n g W o r l d War Two 41 and d i d not c o n s t i t u t e r e g u l a r p r o c e d u r e . What i s most i n t e r e s t i n g about Rapport's argument i s t h a t i t means t h a t a r c h i v e s would no l o n g e r be d e f i n e d as r e c o r d s deemed worthy o f permanent p r e s e r v a t i o n , b u t r a t h e r as r e c o r d s deemed worthy o f c o n t i n u e 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 statement t h 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 would have t o r e d e f i n e a r c h i v e s i n accordance w i t h t h e i r unique e n v i r o n m e n t s . Another r e c e n t development i n the a p p r a i s a l o f 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 s a m p l i n g . Sampling can 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 r e c o r d s 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 w i d e s p r e a d 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 c o r d s w i t h o u t p r e s e r v i n g a l l o f the 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 t o everyday contemporary s o c i a l and economic m a t t e r s s h o u l d be p r e s e r v e d a c c o r d i n g t o t h e " p r i n c i p l e o f 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 " would be p r e s e r v e d ...because they c o n t a i n d a t a t h a t are r e p r e s e n t a t i v e o r i l l u s t r a t i v e o f the whole, because they d e a l w i t h an i m p o r t a n t o r s i g n i f i c a n t e v ent o r a c t i o n , o r because they c o n t a i n d a t a t h a t a re c o n s i d e r e d adequate f o r a study o f p 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 not e l a b o r a t e on t h e a c t u a l s a m p l i n g p r o c e d u r e , b u t he d i d s t a t e t h a t the 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 o f r e a s o n s . He w r o t e : 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; the s 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 are t o be used. The a r c h i v i s t s e l e c t s r 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 the whole; the s t a t i s t i c i a n , i n accordance w i t h w e l l - d e f i n e d m a t h e m a t i c a l f o r m u l a e , s e l e c t s a sample t h a t p r e s e n t s i n f o r m a t i o n o f measurable r e l i a b i l i t y on p a r t i c u l a r c h a r a c t e r i s t i c s o f the u n i v e r s e from which i t i s t a k e n . A s t a t i s t i c a l sample i s more e x a c t than the r e p r e s e n t a t i v e or 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 the 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 b e s t known a c c o u n t s o f s a m p l i n g , P a u l Lewinson, a c o l l e a g u e o f 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 , though he d i d not r u l e out 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 based sample o f known 44 r e l i a b i l i t y may be c o n s i d e r e d w o r t h 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 s t u d y o f s a m p l i n g t o date i s The Use o f Sampling Techniques by the 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 f o u r t y p e s of s a m p l i n g — " t h e example," 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 o f p a pers o f one o r more specimens 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 d a t e ; " the method o f " p u r p o s i v e s a m p l i n g , " which t a k e s p l a c 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 i m p o r t a n t r e c o r d s o f 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 e s t a b l i s h m e n t o f 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 e v e r y n t h f i l e i s p r e s e r v e d , o r e l s e a l l the papers 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 , " which " 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 e q u a l chance of r e p r e s e n t i n g t h a t s e r i e s " and cannot t h e r e f o r e be c a r r i e d out " w i t h o u t 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 t y p e s o f s a m p l i n g are s i m i l a r to 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 the l a s t type i s s i m i l a r t o S c h e l l e n b e r g ' s and Lewinson's view of s t a t i s t i c a l s a m p l i n g . H u l l acknowledged t h a t each o f the f o u r 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 p u r p o s i v e methods because 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 element, and, not s u r p r i s i n g l y , tended t o f a v o r the random method whenever p o s s i b l e because of 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 account o f s a m p l i n g does not c o n t a i n the s o p h i s t i c a t i o n o f more r e c e n t a c c o u n t s . Random s a m p l i n g , w i t h i t s emphasis on o b j e c t i v i t y , i s i n d i c a t i v e o f the r e c e n t t r e n 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, t o 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 approach 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 the r e l e v a n t l i t e r a t u r e has y e t 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 A c c o r d i n g t o the American a r c h i v i s t , Nancy Peace, the t h r u s t o f Booms' argument i s t h a t the most commonly known approach to a p p r a i s a l , such as the one o u t l i n e d by 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 noted 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 from the v a l u e system of the i n f o r m a t i o n u n i v e r s e t h a t the 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 no t e d t h a t t h i s methodology assumes t h a t the e 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 a t o t a l s o c i a l e n vironment, r e q u i r i n g t h a t a r c h i v i s t s no l 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 t h e b a s i s o f , o r o n l y 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 methodology, a r c h i v i s t s w i l l n o t s p e c u l a t e on what f u t u r e h i s t o r i a n s may want, but w 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 v a l u e s . The a 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 n a 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 a manageable account 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 suggest t h a t the a d o p t i o n o f Booms' p r o p o s a l s would 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 are i n n o v a t i v e . The s t atement t h a t e v a l u a t i o n s s h o u l d be based on a c o n s i d e r a t i o n o f the " t o t a l s o c i a l e nvironment" 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 the e n t i r e documentation 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 based on a knowledge of p r e s e n t r e s e a r c h i n t e r e s t s r a t h e r than on s p e c u l a t i o n s about f u t u r e r e s e a r c h needs i s n o t c o n t r o v e r s i a l . The Swedish 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 Records," made the 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 the problems 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 the a r c h i v i s t , and a d e s i r e t o 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 former 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 view 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 the l a t t e r l i n e o f development 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 development c o n t a i n a g r e a t d e a l o f t r u t h , " and 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 . . . cannot 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 cannot 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 than t h a t o b t a i n e d by S c h e l l e n b e r g might n e v e r be a c h i e v e d . In h i s b u l l e t i n , S c h e l l e 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 the key 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 , the d i f f e r e n c e between good and bad--or o b j e c t i v e and b i a s e d — a p p r a i s a l s would be the same as the d i f f e r e n c e between good and bad academic r e s e a r c h p a p e r s , namely, t h a t the s u p e r i o r use o f r e s e a r c h t e c h n i q u e s would r e s u l t i n the b e t t e r j o b . R e g arding the a p p r a i s a l o f machine r e a d a b l e a r c h i v e s , Meyer F i s h b e i n has n o t e d t h a t because o f the f a s t s e a r c h c a p a b i l i t i e s of computers, a r c h i v i s t s "must r e j e c t the i d e a o f the 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 about a p o s s i b l e f u t u r e development, n o t a p r e s e n t r e a l i t y . S c h e l l e n b e r g n ever a d d r e s s e d the s u b j e c t o f 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 . H i s l a s t p u b l i c a t i o n on a p p r a i s a l — a n obscure a r t i c l e from the C a r i b b e a n A r c h i v e s Conference of 1 9 6 5 — a d d e d n o t h i n g new t o 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 papers can be a p p r a i s e 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 documentation, but 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 remains a c h i e f concern 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 , never m a t e r i a l i z e d , s i n c e he may have ad d r e s s e d 51 some o f these r e c e n t a p p r a i s a l i s s u e s . But 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 c h a l l e n g e d the t r a d i t i o n t h a t a r c h i v i s t s were t o 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 p l a y e d a key r o l e i n the m o d e r n i z a t i o n o f the a r c h i v a l p r o f e s s i o n . He was t h e 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 o f 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 the 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 never 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 t h a t knowledge and c a r e f u l a n a l y s i s a r e the keys t o s u c c e s s f u l a p p r a i s a l , and t h 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 bottom l i n e o f a p p r a i s a l . S c h e l l e n b e r g was not one t o hedge on making d e c i s i o n s , and perhaps t h i s i s the q u a l i t y t h a t e n a b l e d him t o be the 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 Theodore R. S c h e l l e n b e r g was the most renowned spokesman f o r the N a t i o n a l A r c h i v e s o f the 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 had been the 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 t o d e a l w i t h the problems c r e a t e d by the l a r g e volumes o f p u b l i c r e c o r d s p roduced by modern governments. In the 1940s, an arrangement and d e s c r i p t i o n program was d e v e l o p e d based on t h e r e c o r d group concept and the 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 o f the a r c h i v i s t as 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 , but 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 not 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 independent r e s e a r c h , a n a l y s i s , and thought. I t can 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 concerned p r i m a r i l y w i t h s e r v i n g the r e s e a r c h e r who 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 and p r a c t i c e . I f the p r a c t i c a l a p p l i c a t i o n o f the t h e o r y 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 and w i t h the 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 , then t h e t h e o r y would be u p h e l d . O t h e r w i s e , the t h e o r y would be o v e r r u l e d and sometimes even changed. S i n c e the p r i n c i p l e o f provenance 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 and d e s c r i b i n g r e c o r d s en masse, i t was a c c e p t e d by S c h e l l e n b e r g . Observance o f o r i g i n a l o r d e r sometimes means t h a t r e s e a r c h e r s are impeded i n t h e i r work, and so S c h e l l e n b e r g 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 the p r e s e r v a t i o n o f o n l y a p o r t i o n o f the r e c o r d s i n e x i s t e n c e , S c h e l l e n b e r g c h a l l e n g e d the t r a d i t i o n o f 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 and 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 o f a r c h i v e s i n o r d e r t o i n c l u d e the element o f s e l e c t i o n . He r e p r e s e n t e d the modern a r c h i v i s t i n o t h e r ways, t o o . He was concerned 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 r e c o r d s management. I f r e c o r d s are h a n d l e d p r o p e r l y w h i l e i n c u r r e n t use, t h e i r subsequent 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 purposes 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 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 b u t r e c o g n i z e d t h a t such s t a n d a r d -i z a t i o n would never a c h i e v e the p r e c i s i o n o f the l i b r a r y p r o -f e s s i o n . S c h e l l e n b e r g was a g r e a t advocate o f the uniqueness 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 o f the f i r s t American a r c h i v i s t s t o be a s c h o l a r o f h i s own p r o f e s s i o n and by d o i n g so he enhanced the d i g n i t y o f t h e work o f the a r c h i v i s t . A t the p r e s e n t t i m e , some a r c h i v i s t s f e e l t h a t the s c h o l a r l y a r c h i v i s t must be one who w r i t e s h i s t o r y based on the r e c o r d s under h i s or her care.''' S c h e l l e n b e r g ' s example teaches o t h e r w i s 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 to the 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 o f S c h e l l e n b e r g ' s i d e a s are now o u t d a t e d . In the a r e a of arrangement 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 a r r a n g e d i n the s t a c k s i n the p r o p e r r e l a t i o n t o each o t h e r has been r e p l a c e d by the i d e a o f h a v i n g t h i s i d e a l arrangement r e c o r d e d on paper when i t s maintenance i n the s t a c k s i s i m p r a c t i c a l . F u rthermore, t h e r e c e n t 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 over S c h e l l e n b e r g ' s scheme of 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 a r e a o f s a m p l i n g the r e c e n t t e c h n i q u e s are more s o p h i s -t i c a t e d than i n S c h e l l e n b e r g ' s e r a . These p o i n t s are n o t i n t e n d e d as major 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 p r o d u c t o f h i s t i m e , 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 accomplishments 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 both o l d and new problems. S c h e l l e n b e r g was v e r y 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 i d e a s o f the n i n e t e e n t h c e n t u r y and those o f today. The fundamental 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 , however, have changed very l i t t l e o v e r the p a s t two o r t h r e e decades. 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 the 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 network, "the use o f modern gadgetry cannot s u p p l a n t the use o f p r o p e r t e c h n i q u e s and 2 p r i n c i p l e s . " I t i s w i t h r e g a r d t o the fundamentals t h a t S c h e l l e n 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 p r e s e n t day a r c h i v i s t s are unaware o f the 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 arrangement i s w e l l known, b u t many would 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 these l e v e l s as a b l y as and i n more d e t a i l than d i d 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 the d e s c r i p t i v e elements 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 employed i n any s i t u a t i o n . In the 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 the i d e a l o f o b j e c t i v i t y . For example, F e l i x H u l l began h i s study of 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 account o f a r c h i v a l a p p r a i s a l i n w hich he mentioned S c h e l l e n b e r g o n l y as an e a r l y advocate o f 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 . The b u l l e t i n was not even mentioned, 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 -graphy. 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 the 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 , even t o the p o i n t o f 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 , are 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 and 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 emphasis 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 the o n l y s u r e way t o approach o b j e c t i v i t y i n a p p r a i s a l . Perhaps the reason t h a t S c h e l l e n b e r g 1 s achievements i n arrangement, d e s c r i p t i o n , and a p p r a i s a l are 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 chniques, 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 t h e a c t u a l p r a c t i c e s t h a t make up these 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 mentioned t h a t h i s b u l l e t i n i s perhaps b e i n g f o r g o t t e n i n the r e c e n t surge 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 arrangement 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 Paper, P r i n c i p l e s o f Arrangement, was not 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 statements 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 be a p p l i e d t o p r i v a t e r e c o r d s and t h a t l i b r a r y s c h o o l s are t h e b e s t p l a c e s f o r a r c h i v a l s t u d i e s t o be t a u g h t . 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 the 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 deserve a w i d e 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 o f the b a s i c approaches t o these a r c h i v a l f u n c t i o n s would be of c o n s i d e r a b l e v a l u e t o new a r c h i v i s t s and s t u d e n t s o f a r c h i v e s , b u t i t i s l i k e l y t h a t o n l y the e x p e r i e n c e d a r c h i v i s t would f u l l y a p p r e c i a t e the depth o f S c h e l l e n b e r g ' s knowledge. 88 NOTES FOR CHAPTER I I For 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. Smith, "Theodore 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 and P o p u l a r i z e r , " American A r c h i v i s t 44 ( F a l l 1981): 313-326. 2T.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 , " Mennonite L i f e 9 (January 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 l L e t t e r s R e c e i v e d , Theodore R. S c h e l l e n b e r g P a p e r s , Kansas S 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 y o f B r i t i s h Columbia L i b r a r y ) . "^Theodore R. S c h e l l e n b e r g t o 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 Papers ( 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 Annual  R e p o r t o f the A r c h i v i s t o f the 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 38), 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 o f F i n d i n g Mediums," i n Seventh Annual Report o f the A r c h i v i s t (1942), p. 65. Q S e c t i o n 3 o f the N a t i o n a l A r c h i v e s A c t o f 19 34 reads 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 t p e r s o n a l l y o r by deputy 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 whatsoever and wheresoever l o c a t e d , and s h a l l have the f u l l c o o p e r a t i o n o f any and a l l persons i n charge o f such 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 Large 48, s e c . 3, 1122 ( 1 9 3 4 ) ) . 9Emmett J . Leahy t o S c h e l l e n b e r g , 22 May 194 7 and 29 October 1947, G e n e r a l P r o f e s s i o n a l Correspondence, S c h e l l e n b e r g Papers ( 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 throughout 194 7. See G e n e r a l P r o f e s s i o n a l Correspondence. 1 1 S m i t h , "Theodore R. S c h e l l e n b e r g , " p. 317. 12 For a d e t a i l e d a ccount o f t h e Hoover Commissions see Robert W. K r a u s k o p f , "The Hoover Commissions and F e d e r a l R e c o r d k e e p i n g , " American A r c h i v i s t 21 (October 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 the Road," American A r c h i v i s t 12 (October 1949): 339-354. 14 K r a u s k o p f , "Hoover Commissions," pp. 385-386. 15 S c h e l l e n b e r g , "Statement made i n 195 0 i n defense 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 P o s n e r , "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 l T h e o r i s t , " American A r c h i v i s t 18 ( J u l y 1955): 213. 1 7Wayne C. Grover t o H.L. W h i t e , 20 March 1953, copy i n F o r e i g n P r o f e s s i o n a l A c t i v i t i e s Correspondence, S c h e l l e n b e r g Papers ( 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 l L e t t e r s , S c h e l l e n b e r g Papers ( m i c r o f i l m ) . 19 Ian M a c l e a n , " A r c h i v a l World Leader" i n " I n Memoriam: Theodore R. S c h e l l e n b e r g , " American A r c h i v i s t 33 ( A p r i l 1970): 197. 20 H.L. White t o G.G. R o s s i t e r , 18 November 1954, copy i n F o r e i g n P r o f e s s i o n a l A c t i v i t i e s Correspondence, S c h e l l e n b e r g Papers ( m i c r o f i l m ) . D avid S. M a c M i l l a n i s quoted by Donald R. McCoy, The N a t i o n a l A r c h i v e s : America's M i n i s t r y o f  Documents, 19 34-196 8 (Chapel 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), p. 179. 21 S c h e l l e n b e r g to 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 l L e t t e r s , S c h e l l e n b e r g Papers ( 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 s  and T e c h n i q u e s , 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 (January 1958): 67. O l i v e r W. Holmes, " H i s t o r y and Theory o f A r c h i v a l P r a c t i c e , " i n Roland E. S t e v e n s , ed., U n i v e r s i t y  A r c h i v e s (Champaign, 1965), p. 20. 2 3 McCoy, N a t i o n a l A r c h i v e s , p. 319 and Smith, "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 r u a r y 1957, 26 August 1960, 13 September 1961, 15 December 1961, 19 January 1962, 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 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 o f Developments w i t h i n the N 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 March 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 . 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 August 1960. 2 8 H.G. Jones, The Records o f a N a t i o n (New York: Atheneum, 1969), p. 75. 29 S c h e l l e n b e r g D i a r y , 10 March 1958. 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 Versus Economy: Records 90 A p p r a i s a l a t 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. Jones, r e v i e w o f The Management o f A r c h i v e s , by T.R. S c h e l l e n b e r g , i n American A r c h i v i s t 28 (October 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 October 1964, P u b l i c a t i o n s Correspondence, S c h e l l e n b e r g Papers ( 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: Columbia U n i v e r s i t y P r e s s , 1965), 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 , " American A r c h i v i s t 31 ( A p r i l 1968): 155-165, and H.G. Jones, " A r c h i v a l T r a i n i n g i n American U n i v e r s i t i e s , 1938-1968," American A r c h i v i s t 31 ( A p r i l 1968): 135-154. 36 Management o f 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 August 1957 and 27 Fe b r u a r y 1963, P u b l i c a t i o n s Correspondence, 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 g Papers ( 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 , " American A r c h i v i s t 33 ( A p r i l 1970): 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 the t 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 Techniques (Chicago: U n i v e r s i t y o f Chic a g o P r e s s , 1956), 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 of the Dutch manual, by A r t h u r H. L e a v i t t , appeared 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 the 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 York: 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: P e r c y Lund, Humphries, 1922). 3 For a h i s t o r i c a l a c c o u n t o f t h e p r a c t i c e o f arrangement i n the U n i t e d S t a t e s , see Frank B. Evans, "Modern Methods o f Arrangement 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 , " American  A r c h i v i s t 29 ( A p r i l 1966): 241-263. And see 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 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 , " American 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 the  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 y o f Washington S t a t e , 1983), 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 g  Records, 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 39), p. 15. 7 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: Columbia U n i v e r s i t y P r e s s , 1965), 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 , Manual, 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 s a 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 October 1947, c i t e d by S c h e l l e n b e r g , Management o f 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 o f A r c h i v e s , p. 105. ^"5See 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 Techniques ( 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 , 1956), pp. 188-190. 92 1 7 See 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," American A r c h i v i s t 45 (Winter 1982): 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 Provenance and Modern Records i n the U n i t e d S t a t e s , " American A r c h i v i s t 28 (January 1965) : 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 Record Group Concept: A Case f o r Abandonment," American A r c h i v i s t 29 (October 1966): 493-504. Some o f the 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 f arrangement a t the s e r i e s l e v e l . 24 See p. 7 above. 25 Modern A r c h i v e s , p. 181. 2 6 Management o f A r c h i v e s , p. x v i . 2 7 S c h e l l e n b e r g , P r i n c i p l e s o f Arrangement, S t a f f I n f o r m a t i o n Paper, no. 18 (Washington: N a t i o n a l A r c h i v e s , 1951), pp. 5 and 7. See a l s o Management o f A r c h i v e s , p. 165. 2 8 Management o f 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 (Washington: N a t i o n a l A r c h i v e s , 1950), p. 3, and P r i n c i p l e s o f Arrangement, 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 f  Arrangement, 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 Washington 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 , Arrangement, 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 Washington, 1982). 3 3 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 , Arrangement, 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 Washington L i b r a r i e s , i n American A r c h i v i s t 46 (Summer 1983): 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. Management of 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 . P r i n c i p l e s o f Arrangement, p. 11. Management of 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 , "Record Group Concept," p. 49 7. 4 7 C a r l V i n c e n t , "The Record Group: A Concept i n E v o l u t i o n , " A r c h i v a r i a 3 (Winter 1976-77), p. 13*. 4 8 Management o f A r c h i v e s , p. 189. 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 Donald R. McCoy, The N a t i o n a l A r c h i v e s : America's  M i n i s t r y o f Documents, 19 34-1938 (Chapel 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 e i r A p p l i c a t i o n , " American A r c h i v i s t 19 ( A p r i l 1956): 110. 5 3 Robert 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 r o f M a n u s c r i p t s , " American A r c h i v i s t 29 (October 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 Robert M. Warner, The Modern M a n u s c r i p t  L i b r a r y (New York: Scarecrow P r e s s , 1966); 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 : American 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 Modern A r c h i v e s , p. 119. 94 fi 2 Management o f 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 o f 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 August 1960, 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 , Theodore R. S c h e l l e n b e r g P a p e r s , Kansas S 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 y o f B r i t i s h Columbia L i b r a r y ) . ^Management o f 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. Berner t o Theodore R. S c h e l l e n b e r g , 2 8 December 1966, G e n e r a l P r o f e s s i o n a l Correspondence, S c h e l l e n b e r g Papers ( 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 of Washington 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 , Arrangement, and D e s c r i p t i o n . 74 T e r r y Eastwood, " D e s c r i p t i v e P r a c t i c e s o f Canadian A r c h i v e s : d r a f t o f a s e c t i o n o f the r e p o r t o f the Working Group 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 , " Vancouver, 19 84. 75 Management of A r c h i v e s , p. 79. 7 6 See p. 25 above. 95 NOTES FOR CHAPTER IV ^See p. 7 above. 2 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 the Arrangement and D e s c r i p t i o n o f 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 York: H.W. W i l s o n , 1968). S c h e l l e n b e r g d i s c u s s e d M e i s s n e r ' s i d e a s m Modern A r c h i v e s : P r i n c i p l e s and Techniques (Chicago: U n i v e r s i t y o f Chicago P r e s s , 1956), pp. 135-137. Gustaw K a l e n s k i , "Record S e l e c t i o n , " ed. Meyer F i s h b e i n , American A r c h i v i s t 39 (January 1976): 25-43. 4 • • 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: P e r c y Lund, Humphries, 192 2) , pp. 11-15. ^See p. 16 above. S c h e l l e n b e r g , " A p p l y i n g American A r c h i v a l E x p e r i e n c e Abroad," American A r c h i v i s t 19 (January 1956): 36. 7 Modern A r c h i v e s , pp. 15-16. 8 I b i d . , p. 16. 9 See p. 8 above. " ^ S c h e l l e n b e r g , D i s p o s i t i o n o f F e d e r a l Records (Washington, 1949), p. 1. ^ I b i d . , p . 11. 12 Modern A r c h i v e s , p. 105. 13 See pp. 34-36, and 5 3 above. 14 P h i l i p C. B r o o k s , "The S e l e c t i o n o f Records f o r P r e s e r v a t i o n , " American A r c h i v i s t 3 (October 1940): 221-234. ^ B a u e r ' s a r t i c l e was not a v a i l a b l e . H i s comments and the comments o f Kahn are taken from M a r t i n I . E l z y , " S c h o l a r s h i p V e r s u s Economy: Records A p p r a i s a l a t 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): 183-188, and Nancy E. Peace, " D e c i d i n g What t o Save: F i f t y Years o f Theory and P r a c t i c e , " i n Nancy E. Peace, e d . , A r c h i v a l C h o i c e s : Managing the H i s t o r i c a l Record  i n an Age of"Abundance ( L e x i n g t o n , M a s s a c h u s e t t s : D.C. Heath and Company, 1984), pp. 1-18. 16 S c h e l l e n b e r g , The A p p r a i s a l o f Modem P u b l i c Records, B u l l e t i n o f the N a t i o n a l A r c h i v e s , no. 8" (Washington: N a t i o n a l A r c h i v e s , 1956), p. 6. 17 I b i d . , pp. 6-7. S c h e l l e n b e r g would l a t e r c i t e J e n k i n s o n ' s c o n s i d e r a t i o n of the v a l u e of e v i d e n c e i n a r c h i v e s i n h i s d i s c u s s i o n o f provenance i n The Management of A r c h i v e s . See p. 32 above. 96 18 A 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," American A r c h i v i s t 24 (January 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 Records f 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 (February 1970): 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 l Records," American A r c h i v i s t 33 ( A p r i l 1970): 175-187. 25 A 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 g A c c e s s i o n e d Records," American 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 Frank B o l e s and J u l i a Marks Young, " E x p l o r i n g the B l a c k 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," American 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 above. 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 above. 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 . , Essays 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 , 1962), 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 Canadian View," J o u r n a l o f the  S o c i e t y o f A r c h i v i s t s 3 (October 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 l  and A c c e s s i o n i n g (Chicago: S o c i e t v o f American 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 above. 42 For 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 of Canadian M i l i t a r y P e r s o n n e l F i l e s o f the F 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 C o l umbia, 1984) . 4 3 A p p r a i s a l , pp. 40-41. 44 P a u l Lewinson, " A r c h i v a l S a m pling," American A r c h i v i s t (October 1957): 307. 45 F e l i x H u l l , The Use o f Sampling Techniques i n the  R e t e n t i o n o f Records ( P a r i s : UNESCO, 1981). 4 ^ I b i d . , pp. 11-14. 4 7 Peace, " D e c i d i n g What to Save," pp. 10-11. 48 Ake Kromnow, "The A p p r a i s a l o f Contemporary Records," Archivum 26 (1979): 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 , Documentation, document 9a (Mona, J a m a i c a , 1965). 51 See p. 2 6 above. NOTES FOR CHAPTER V For example, see George B o l o t e n k o , " A r c h i v i s t s and H i s t o r i a n s : Keepers o f the 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 System o f C o n t r o l l i n g H 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 , " American A r c h i v i s t 28 ( J u l y 1965): 409. 3 F e l i x H u l l , The Use o f Sampling Techniques i n the R e t e n t i o n o f Records ( P a r i s : UNESCO, 1981). The a r t i c l e w h i c h H u l l summarized i s M. R e i g e r , "Modern Records R e t i r e m e n t and A p p r a i s a l P r a c t i c e , " UJISLAA 1 (19 79). 99 BIBLIOGRAPHY I . U n p u b l i s h e d Sources Topeka, Ka. Kansas S t a t e H i s t o r i c a l S o c i e t y . Theodore R. S c h e l l e n b e r g Papers ( m i c r o f i l m , U n i v e r s i t y o f B r i t i s h Columbia L i b r a r y ) . I I . S e l e c t e d B i b l i o g r a p h y o f the A r c h i v a l P u b l i c a t i o n s of T.R.  S c h e l l e n b e r g , a r r a n g e d i n c h r o n o l o g i c a l order" "Records o f B u s i n e s s B e f o r e and A f t e r Codes." The C l e v e l a n d e r , August 1934, pp. 6 and 15. Methods of R e p r o d u c i n g Research M a t e r i a l s . Washington: American C o u n c i l o f Learned S o c i e t i e s and the S o c i a l S c i e n c e Research C o u n c i l , 1935 ( j o i n t a u t h o r s h i p ) . " L i b r a r y A p p l i c a t i o n s o f M i c r o - C o p y i n g . " L i b r a r y J o u r n a l 60 ( A p r i l 19 35): 289-292. 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 g Records. 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 , 1939. D i s p o s i t i o n o f F e d e r a l Records. Washington, 1949. 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 . 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