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Appraising legal value : concepts and issues 1990

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APPRAISING LEGAL VALUE: CONCEPTS AND ISSUES By HEATHER MARY HEYWOOD B.A., The University of B r i t i s h Columbia, 1987 A THESIS SUBMITTED IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE DEGREE OF MASTER OF ARCHIVAL STUDIES in THE FACULTY OF ARTS School of Library, Archival and Information Studies We accept t h i s d i s s e r t a t i o n as conforming to the required standard THE UNIVERSITY OF BRITISH COLUMBIA November 1990 © Heather Mary Heywood, 1990 In presenting this thesis in partial fulfilment of the requirements for an advanced degree at the University of British Columbia, I agree that the Library shall make it freely available for reference and study. I further agree that permission for extensive copying of this thesis for scholarly purposes may be granted by the head of my department or by his or her representatives. It is understood that copying or publication of this thesis for financial gain shall not be allowed without my written permission. B̂epartment of The University of British Columbia Vancouver, Canada Date 31 QkjixjyJjJLK) <1-?o. DE-6 (2/88) ABSTRACT H i s t o r i c a l l y , l e g a l r e c o r d s were the main focus of a r c h i v a l p r e s e r v a t i o n , and a r c h i v e s served p r i m a r i l y as a r s e n a l s o f l a w — i n s t r u m e n t s f o r c o n t r o l and management of the S t a t e . Today, a r c h i v e s have many d i f f e r e n t v a l u e s and uses, and l e g a l v a l u e i s o n l y one c r i t e r i o n c o n s i d e r e d d u r i n g the a r c h i v a l a p p r a i s a l p r o c e s s . I t i s an important c r i t e r i o n , though, s i n c e a r c h i v i s t s have an o b l i g a t i o n t o p r e s e r v e not o n l y those documents needed t o understand s o c i e t y and i t s c u l t u r e , but a l s o those r e q u i r e d t o p r o t e c t the r i g h t s and i n t e r e s t s of s o c i e t y , i t s i n s t i t u t i o n s , i t s c i t i z e n s , and i t s h e i r s . U n f o r t u n a t e l y , l i t t l e has been w r i t t e n i n the a r c h i v a l l i t e r a t u r e about what c o n s t i t u t e s documentary l e g a l v a l u e nor how t h i s v a l u e can be r e c o g n i z e d and e v a l u a t e d . T h i s t h e s i s draws on l i t e r a t u r e from a r c h i v a l s c i e n c e , s o c i o l o g y , r e c o r d s management, d i p l o m a t i c s , law, and j u r i s p r u d e n c e i n o r d e r t o d e f i n e l e g a l v a l u e and t o i d e n t i f y i t s components. S i n c e the study focuses on North American a r c h i v e s , the l e g a l l i t e r a t u r e c o n s u l t e d p e r t a i n s t o the E n g l i s h l e g a l system and i t s p a r t i c u l a r m a n i f e s t a t i o n s i n the U n i t e d S t a t e s and Canada. To b e g i n with, the t h e s i s examines the document-event r e l a t i o n s h i p and the r e l a t i o n s h i p o f t h i s u n i t t o a s o c i e t y ' s j u r i d i c a l system. T h i s a n a l y s i s i l l u s t r a t e s the f u n c t i o n s t h a t documents p l a y i n s o c i e t y , and aims t o p r o v i d e an understanding of the c a p a c i t y o f documents t o p r o t e c t s o c i e t y and t o serve as l e g a l evidence. I t i s then proposed t h a t the presence of a r e l a t i o n s h i p between a document and a j u r i d i c a l event (one i n which the s o c i e t y ' s l e g a l system has an i n t e r e s t ) be c o n s i d e r e d the f i r s t component of l e g a l v a l u e . Perhaps the most important and most u s e f u l o f the documents having r e l e v a n c e t o events w i t h l e g a l s i g n i f i c a n c e i s the c l a s s i d e n t i f i e d i n t h i s t h e s i s as " l e g a l r e c o r d s , " c o n s i s t i n g of those documents t h a t execute o r c o n s t i t u t e w r i t t e n evidence of a c t s and events which d i r e c t l y a f f e c t l e g a l r i g h t s and d u t i e s . E x p l o r i n g the f i r s t component f u r t h e r , the t h e s i s makes a d i s t i n c t i o n between a c t u a l and p o t e n t i a l l e g a l v a l u e based on whether the r e l a t i o n s h i p of the document t o a j u r i d i c a l event i s d i r e c t or i n d i r e c t , and whether the event c u r r e n t l y has j u r i d i c a l r e l e v a n c e . Determining the s t r e n g t h of p o t e n t i a l l e g a l v a l u e i n v o l v e s c o n s i d e r a t i o n of the second and t h i r d components of l e g a l v a l u e , which are r e l a t e d t o the use o f documents as i i l e g a l evidence. These two components are a d m i s s i b i l i t y and weight ( i n the sense o f a document's e f f e c t i v e n e s s as a r e p r e s e n t a t i o n o f f a c t s ) . E x t e r n a l f a c t o r s , such as r e t e n t i o n r e g u l a t i o n s , may p l a y a r o l e i n d e t e r m i n i n g t h i s a s p e c t o f l e g a l v a l u e , and some of these f a c t o r s are d i s c u s s e d . More o f t e n though, the a r c h i v i s t w i l l need t o sea r c h f o r i n d i c a t i o n s o f r e l i a b i l i t y and completeness i n the documentary for m a t i o n p r o c e s s and i n the elements of form i n t r i n s i c t o a type o f document. The t h e s i s i d e n t i f i e s many of the i n t e r n a l f a c t o r s t h a t c o n t r i b u t e t o l e g a l v a l u e and proposes some c r i t e r i a and a methodology f o r a p p r a i s a l o f l e g a l v a l u e . A p p r a i s a l o f l e g a l v a l u e i s not a mysterious p r o c e s s . With t h e e x c e p t i o n o f some d i p l o m a t i c a n a l y s i s , much o f the i n f o r m a t i o n and a n a l y s i s needed t o determine l e g a l v a l u e i s fundamental t o any a p p r a i s a l p r o c e s s . In a s o c i e t y governed by law i n a l l i t s a s p e c t s , d e t e r m i n i n g l e g a l v a l u e i s a c e n t r a l p a r t o f any a r c h i v a l a p p r a i s a l . i i i T A B L E OF CONTENTS Abstract i i L i s t of Tables v L i s t of Figures v i Acknowledgements . . . v i i Introduction 1 Chapter One: Exploring the Nature of Documents 15 Chapter Two: Components of Legal Value . . . . 47 Chapter Three: Factors Contributing to Legal Value . . . 70 Chapter Four: Appraising Legal Value i n Documents . . . 99 Conclusion 130 Notes Introduction 137 Chapter One 139 Chapter Two 143 Chapter Three 146 Chapter Four 148 Conclusion 150 Bibliography 151 i v L I S T OF T A B L E S T a b l e I : C o r r e l a t i o n Between Two C l a s s i f i c a t i o n s o f Documents 45 v LIST OF FIGURES F i g u r e 1: C l a s s i f i c a t i o n Based on G e n e r a t i n g A c t i v i t y 17 F i g u r e 2: C l a s s i f i c a t i o n Based on W r i t t e n Form o f Document . 39 v i ACKNOWLEDGEMENTS I wish to thank Terry Eastwood and Luciana Duranti for the i n s p i r a t i o n and encouragement they provided while I was i n the M.A.S. programme. Special thanks to my thesis advisor, Luciana Duranti, who offered much wisdom and advice. I also wish to express my appreciation to my classmate, Donna Humphries, whose friendship, support, and encouragement have been invaluable. v i i INTRODUCTION Records are the means by which public o f f i c i a l s i n a democracy are accountable to the people. They are tools of administration, the memory of an organization, the embodiment of experience, protectors of l e g a l r i g h t s and sources of many kinds of information. 1 Documents, i n whatever form, are an i n t e g r a l part of human society. Throughout history, s o c i e t i e s have usually -found a way to document transactions between in d i v i d u a l s and re l a t i o n s between government and c i t i z e n s . Documents may authorize or d i r e c t action, supply information or explanation, or provide entertainment. The clay t a b l e t s of ancient Babylon, Egyptian murals, i n s c r i p t i o n s on papyrus s c r o l l s , and the quipu ropes of the Incas a l l bear witness to society's propensity to, and reliance on, record keeping. 2 Documents can be a valuable resource, and t h e i r preservation and transmittal to the future i s a great r e s p o n s i b i l i t y — o n e that society often entrusts to a r c h i v i s t s , the "keepers of the record." However, while every document i s p o t e n t i a l l y useful to someone at sometime, many documents do not have s u f f i c i e n t enduring value to warrant the time and resources needed for an a r c h i v i s t to preserve them and make them avail a b l e f o r 1 use. In addition, the volume of documents produced i n modern society threatens to overwhelm anyone who wishes to use them. E a r l i e r t h i s century, the B r i t i s h Public Record O f f i c e noted that "even the most convinced advocates of conservation i n the h i s t o r i c a l i n t e r e s t have begun to fear that the H i s t o r i a n of the future dealing with our own period may be submerged i n the flood of written evidences." 3 There i s a danger that knowledge w i l l become l o s t i n information, and that documents w i l l cease to serve s o c i e t y . 4 To be of use to society, worthwhile information must not only be retained, but must also be e a s i l y r e t r i e v a b l e . I f the worthwhile information i s buried i n a mass of other information and cannot be accessed upon request, then i t has no r e a l value. Thus, i t i s e s s e n t i a l to have some process by which the overabundance of information a v a i l a b l e today can be winnowed down to form a s o c i a l l y relevant documentary record that i s humanly usable. 5 One way of forming such a v i t a l and usable body of documents i s through the a r c h i v a l function of a p p r a i s a l — t h e process of e s t a b l i s h i n g the value of a r c h i v a l documents, q u a l i f y i n g that value, determining the value's endurance, and thereby deciding the d i s p o s i t i o n of the documents. The Society of American A r c h i v i s t s ' (SAA) Committee on Terminology defines appraisal as: the process of determining the value and thus the d i s p o s i t i o n of records based upon t h e i r current administrative, 2 l e g a l , and f i s c a l use; t h e i r e v i d e n t i a l and informational or research value; t h e i r arrangement; and t h e i r r e l a t i o n s h i p to other records. 6 As t h i s d e f i n i t i o n indicates, the value of a r c h i v a l documents derives from the nature of t h e i r creation and use. That i s , documents are created to serve a p a r t i c u l a r purpose or function; therefore, they are evidence of a plan, an intent, or an a c t i v i t y . They also contain information. 7 I t i s these i n t r i n s i c properties that a r c h i v i s t s look for when appraising documents. In general, documents are assessed according to f i v e categories of value: administrative, l e g a l , f i s c a l , e v i d e n t i a l , or informational. These values r e l a t e to the possible uses of the dqcument. For example, documents with f i s c a l value may support f i n a n c i a l statements and provide an audit t r a i l for subsequent v e r i f i c a t i o n . Documents with e v i d e n t i a l value i l l u s t r a t e the "organization, functions, p o l i c i e s , decisions, procedures, operations or other a c t i v i t i e s " of t h e i r creator, while documents with informational value contain factual data about persons, places, and events. 8 Another approach to documentary value i s that proposed by American a r c h i v i s t T. R. Schellenberg i n the 1950s. Schellenberg defined two types of values: "primary v a l u e " — the value of records to t h e i r creator for the implementation of i t s functions; and "secondary v a l u e " — t h e value that 3 records have f o r persons other than t h e i r creator. The emphasis here i s on the value of the documents to the user, rather than on t h e i r use. Documents may also have an i n t r i n s i c value that e x i s t s independently of t h e i r possible uses or users. I n t r i n s i c value i s linked to the formal aspects of documents and includes a r t i f a c t u a l and symbolic values. For example, illuminated documents, and records with gold seals, have a r t i f a c t u a l value, while the o r i g i n a l forms of the Magna Charta and the Canadian Constitution have a symbolic value that transcends t h e i r l e g a l , e v i d e n t i a l , and informational value. Some documents may have more than one value, and some may have d i f f e r e n t values at d i f f e r e n t times. Some documentary values w i l l be temporary, while others w i l l be long-lasting. I t i s the a r c h i v i s t ' s r e s p o n s i b i l i t y to determine which values a document has and to i d e n t i f y those documents which are s u f f i c i e n t l y valuable to be preserved i n d e f i n i t e l y i n an arc h i v a l i n s t i t u t i o n . But how do a r c h i v i s t s carry out t h i s r e s p o n s i b i l i t y ? How do they determine e x i s t i n g and poten t i a l values? What are the c r i t e r i a f or choosing some documents for preservation and refusing others? Who establishes and l e g i t i m i z e s those c r i t e r i a ? These questions have been the subject of much debate over the years. For example, English a r c h i v i s t S i r H i l a r y 4 J e n k i n s o n argued t h a t the a d m i n i s t r a t o r , as the c r e a t o r o f the documents, was "the s o l e agent f o r the s e l e c t i o n and d e s t r u c t i o n o f h i s own documents," based on the needs of h i s own p r a c t i c a l b u s i n e s s . 1 0 By c o n t r a s t , S c h e l l e n b e r g argued t h a t s e l e c t i o n was the r e s p o n s i b i l i t y of the a r c h i v i s t , who s h o u l d be p r i m a r i l y concerned w i t h a s s e s s i n g the secondary v a l u e s o f documents f o r r e f e r e n c e and r e s e a r c h u s e s . 1 1 The problem w i t h these two v i e w p o i n t s i s t h a t each may c r e a t e an unbalanced documentary h e r i t a g e . A d m i n i s t r a t o r s are apt t o c o n c e n t r a t e s o l e l y on t h e i r p r a c t i c a l b u s i n e s s needs and f a i l t o r e c o g n i z e longer-term secondary v a l u e s i n t h e i r documents. On the o t h e r hand, i f a r c h i v i s t s o n l y focus on r e s e a r c h v a l u e , they are l i k e l y t o be i n f l u e n c e d by c u r r e n t r e s e a r c h t r e n d s , the needs and i n t e r e s t s of s t r o n g r e s e a r c h groups, o r p e r s o n a l r e s e a r c h i n t e r e s t s and b i a s e s . 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 advocates a t h i r d approach t o a p p r a i s a l : the " p r i n c i p l e of movable r e s p o n s i b i l i t y . " T h i s approach r e c o g n i z e s t h a t a d m i n i s t r a t o r s , o r perhaps r e c o r d s managers, know how r e c o r d s stand i n r e l a t i o n t o a d m i n i s t r a t i v e needs and t h e r e f o r e should have a say i n a p p r a i s a l . Over a p e r i o d of time, though, the c r e a t o r ' s i n t e r e s t s hould g i v e way t o t h a t of the a r c h i v i s t , who i s "more f u l l y capable of o b j e c t i v e assessment." H u l l c l a i m s t h a t the a r c h i v i s t stands i n a c e n t r a l p o s i t i o n between the a d m i n i s t r a t o r and the s c h o l a r , and has a duty t o be f a m i l i a r w i t h the needs of each and t o determine the d i s p o s i t i o n of 5 documents i n c o n s u l t a t i o n w i t h each. The a r c h i v i s t makes the f i n a l a p p r a i s a l d e c i s i o n s because he/she i s i n a p o s i t i o n t o see the whole p i c t u r e , not j u s t one p a r t of the p i c t u r e . 1 2 The key p o i n t t h a t a l l t h r e e a r c h i v i s t s r e c o g n i z e d i s t h a t knowledge, i m p a r t i a l i t y , and r e s p o n s i b i l i t y are e s s e n t i a l f a c t o r s i n the a p p r a i s a l p r o c e s s . 1 3 A p p r a i s a l u l t i m a t e l y shapes the c h a r a c t e r of a s o c i e t y ' s documentary h e r i t a g e , and i t i s important t h a t p r e s e n t and f u t u r e g e n e r a t i o n s have an a c c u r a t e and o b j e c t i v e r e c o r d t h a t r e v e a l s the whole p i c t u r e o f s o c i e t y . Those who do a p p r a i s a l t h e r e f o r e need a source of a p p r a i s a l c r i t e r i a t h a t w i l l a l l o w them t o balance the needs of a d m i n i s t r a t o r s and the i n t e r e s t s o f r e s e a r c h e r s w h i l e s t i l l meeting t h e i r o b l i g a t i o n s t o s o c i e t y . A p o s s i b l e source f o r a p p r a i s a l c r i t e r i a has been suggested by German a r c h i v i s t Hans Booms i n h i s a r t i c l e " S o c i e t y and the Formation of a Documentary H e r i t a g e : Issues i n the A p p r a i s a l of A r c h i v a l Sources." Booms argues t h a t the p r i n c i p l e s of a p p r a i s a l should be drawn " d i r e c t l y from the s o c i a l p rocess t o which we [ a r c h i v i s t s ] are r e s p o n s i b l e . " 1 4 P u b l i c o p i n i o n should be the f o r c e which l e g i t i m i z e s the a p p r a i s a l p r o c e s s : The p u b l i c and p u b l i c o p i n i o n , as a c o n s t i t u t i v e element of modern s o c i e t y , s a n c t i o n s p u b l i c a c t i o n s , e s s e n t i a l l y generates the s o c i o - p o l i t i c a l p r o c e s s , and l e g i t i m i z e s p o l i t i c a l a u t h o r i t y . 6 T h e r e f o r e , should not p u b l i c o p i n i o n a l s o l e g i t i m i z e a r c h i v a l a p p r a i s a l ? Could i t a l s o not p r o v i d e the fundamental o r i e n t a t i o n f o r the p r o c e s s o f a r c h i v a l a p p r a i s a l ? 1 5 Booms i s recommending t h a t , i n o r d e r t o form an a c c u r a t e p i c t u r e of a s o c i e t y , a r c h i v i s t s should not a r b i t r a r i l y choose standards of documentary v a l u e , but s h o u l d s t r i v e t o understand the v a l u e s of the s o c i e t y t h a t c r e a t e d the documents. A p p r a i s a l i s then a p r o c e s s o f i d e n t i f y i n g the documents t h a t r e f l e c t the v a l u e s t h a t c h a r a c t e r i z e a s o c i e t y . In t h i s way, i s s u e s t h a t were s i g n i f i c a n t t o a s o c i e t y w i l l be documented, w h i l e the absence o f documentation on o t h e r i s s u e s i s evidence o f t h e i r r e l a t i v e i n s i g n i f i c a n c e t o t h a t s o c i e t y . Thus, the needs and i n t e r e s t s o f s o c i e t y p r o v i d e the c r i t e r i a f o r an o b j e c t i v e e v a l u a t i o n p r o c e s s . What are the needs and i n t e r e s t s o f s o c i e t y ? In g e n e r a l , i t may be s a i d t h a t s o c i e t y i s most concerned w i t h i t s own p r e s e r v a t i o n and development. 1 6 In o r d e r t o c o n t i n u e t o f u n c t i o n , understand i t s e l f , and operate c r e a t i v e l y i n the f u t u r e , s o c i e t y i s o b l i g a t e d t o keep those sources which are v i t a l t o the s u r v i v a l of i t s a d m i n i s t r a t i v e , l e g a l , p a t r i m o n i a l , p o l i t i c a l , and moral s t r u c t u r e . An e s s e n t i a l component of these sources i s the body o f documents t h a t r e c o r d s and p r o t e c t s the r i g h t s of s o c i e t y , i t s i n s t i t u t i o n s , and i t s i n d i v i d u a l c i t i z e n s . 1 7 7 As the C o n s u l t a t i v e Group on Canadian A r c h i v e s noted i n i t s Report t o the S o c i a l S c i e n c e s and Humanities Research C o u n c i l of Canada, the p r o t e c t i o n of r i g h t s i s an a n c i e n t r o l e f o r a r c h i v e s : " s i n c e the f i r s t c l a y t a b l e t s were formed, over 5000 years ago, a r c h i v i s t s have p r e s e r v e d the r e c o r d s necessary t o document the r i g h t s of government, c o r p o r a t e bodies and i n d i v i d u a l s w i t h i n s o c i e t y . " Quebec a r c h i v i s t s C a r o l Couture and Jean-Yves Rousseau p o i n t out i n The L i f e of a Document t h a t , i n the Middle Ages, r e c o r d s such as government o r d e r s , j u d i c i a l d e c i s i o n s , and c h a r t e r s were p r e s e r v e d s o l e l y f o r t h e i r l e g a l v a l u e . Couture and Rousseau c l a i m t h a t i t i s only, s i n c e the mid-nineteenth c e n t u r y t h a t r e c o r d s have begun t o a c q u i r e secondary v a l u e s i n a d d i t i o n t o t h e i r l e g a l v a l u e . 1 9 Although l e g a l v a l u e has h i s t o r i c a l l y been an important f a c t o r i n the p r e s e r v a t i o n of documents, t h e r e i s l i t t l e d i s c u s s i o n o f i t i n the a r c h i v a l l i t e r a t u r e . As a r c h i v i s t Margaret Cross Norton remarked i n 1945, "I d i s c o v e r e d t h a t although we [ p u b l i c r e c o r d s a r c h i v i s t s ] are spending our l i v e s c a r i n g f o r l e g a l r e c o r d s , p r a c t i c a l l y n o t h i n g has been w r i t t e n by American a r c h i v i s t s on p h i l o s o p h i c a l a s p e c t s of • 20 the s u b j e c t o f l e g a l a s p e c t s of r e c o r d s . " In many r e s p e c t s , l i t t l e has changed s i n c e 1945. A r c h i v i s t s l i s t l e g a l v a l u e as an important a p p r a i s a l c r i t e r i o n , but no one has c l e a r l y d e f i n e d what l e g a l v a l u e i s or how i t i s t o be r e c o g n i z e d . A few a r c h i v i s t s and h i s t o r i a n s have w r i t t e n 8 about the research value of " l e g a l records," and the problems presented by s o l i c i t o r - c l i e n t p r i v i l e g e i n providing access to these archives, but no one has defined " l e g a l records." Often, the term seems to be used loosely to r e f e r to court records and the records of law firms and lawyers. One f i e l d that i s beginning to look at the l e g a l aspects of documents i s records management. T r a d i t i o n a l l y , records managers have been concerned about l e g a l retention requirements and l e g a l l i a b i l i t y with respect to document destruction. Recently, questions about the a d m i s s i b i l i t y and use of e l e c t r o n i c records i n court have prompted research and discussion about the r e l i a b i l i t y and security of automated information systems. As a r e s u l t , some records managers have started to look at how they can control the formation process of records i n order to meet the l e g a l requirements for a d m i s s i b i l i t y of documents. This examination i s a recent development, however, and tends to focus on e l e c t r o n i c records. Despite i t s neglect i n the l i t e r a t u r e , a study of the l e g a l aspects of documents i s e s s e n t i a l f o r a r c h i v i s t s . As Canadian ar c h i v a l educator Terry Eastwood points out i n h i s a r t i c l e "Nurturing Archival Education i n the University," modern society i s governed by law i n a l l i t s aspects. 2 1 He quotes Ronald Dworkin on t h i s subject: "We l i v e i n and by the law. . . We are subjects of law's empire, liegemen to 9 i t s methods and i d e a l s , bound i n s p i r i t w h i l e we debate what we must t h e r e f o r e do." 2 2 I f a l l a c t i o n s i n a s o c i e t y have, or may have, l e g a l s i g n i f i c a n c e , i t f o l l o w s t h a t the documents t h a t a r i s e out of those a c t i o n s w i l l a l s o have l e g a l s i g n i f i c a n c e . And, as the documentary h e r i t a g e formed from t h e s e documents, a r c h i v e s w i l l consequently be s u f f u s e d w i t h and by the law. As evidence of a c t i o n s , documents may a l s o have an important r o l e t o p l a y i n l e g a l p r oceedings. How w e l l they f i l l t h a t r o l e depends t o a l a r g e e x t e n t on whether the documents meet the requirements o f evidence e s t a b l i s h e d by the E n g l i s h l e g a l system. The l e g a l v a l u e of documents t h e r e f o r e d e r i v e s from the f a c t of t h e i r c r e a t i o n i n a s o c i e t y governed by law, and from t h e i r p o t e n t i a l t o be used as evidence i n l e g a l proceedings. A r c h i v i s t s have a r e s p o n s i b i l i t y t o understand t h i s l e g a l n ature of documents and t o i n c o r p o r a t e an assessment o f l e g a l v a l u e i n t o the a p p r a i s a l p r o c e s s . T h i s t h e s i s aims t o d e f i n e the a r c h i v a l concept of l e g a l v a l u e and t o propose some c r i t e r i a f o r a p p r a i s i n g l e g a l v a l u e i n documents. Chapter One e x p l o r e s the g e n e r a l nature of documents— what they r e p r e s e n t , and how they are r e l a t e d t o happenings i n the world. T h i s study e s t a b l i s h e s the background f o r e x p l o r i n g how d i f f e r e n t a c t i v i t i e s a f f e c t the c h a r a c t e r and uses o f the documents they produce. The concept o f j u r i d i c a l relevance i s introduced i n r e l a t i o n to both a c t i v i t i e s and documents, and a d e f i n i t i o n of " l e g a l records" i s developed from t h i s discussion. Chapter Two investigates the concept of l e g a l value, drawing on Chapter One's discussion of the r e l a t i o n s h i p between documents and law, and also on an examination of the requirements of evidence established by the English l e g a l system. Three components of l e g a l value are i d e n t i f i e d , and a d i s t i n c t i o n between actual and poten t i a l l e g a l value i s proposed. Chapter Three outlines the factors, both external and in t e r n a l , that contribute to the l e g a l value of documents and to t h e i r q u a l i t y as documentary evidence. Suggestions are made as to what a r c h i v i s t s should know about laws that a f f e c t documents and what i n t r i n s i c documentary elements need to be examined to assess l e g a l value. F i n a l l y , Chapter Four presents some guidelines for appraising l e g a l value, based on the concept of l e g a l value developed i n Chapter Two and the factors discussed i n Chapter Three. The proposed appraisal c r i t e r i a take into account both actual and poten t i a l l e g a l value. This chapter also discusses the reasons for appraising documents f o r le g a l value and considers the issue of whether documents can have permanent l e g a l value. As Margaret Cross Norton observed, a r c h i v i s t s have written very l i t t l e about the l e g a l aspects of documents. 11 Consequently, although p u b l i s h e d works o f a r c h i v a l s c i e n c e were examined f o r t h e i r d i s c u s s i o n o f a p p r a i s a l t h e o r y and the g e n e r a l nature o f documents, t h i s t h e s i s has drawn h e a v i l y from a number of a l l i e d d i s c i p l i n e s . The a n a l y s i s of documents i n Chapter O n e — o f what they are and how they are r e l a t e d t o occurrences i n the w o r l d — i s based on s t u d i e s of the h i s t o r i c a l development of document-based s o c i e t i e s , and on an i n q u i r y by s o c i o l o g i s t S t a n l e y R a f f e l i n t o the s o c i o l o g y of knowledge and i t s r e p r e s e n t a t i o n i n r e c o r d e d form. Works i n j u r i s p r u d e n c e and d i p l o m a t i c s were the two p r i n c i p a l sources of i n f o r m a t i o n f o r the d i s c u s s i o n of j u r i d i c a l r e l e v a n c e and the r e l a t i o n s h i p between documents and law. J u r i s p r u d e n c e (the s c i e n c e o r p h i l o s o p h y of law) e x p l o r e s such i s s u e s as the d e f i n i t i o n o f law, what law and j u s t i c e a re based on, and the r o l e o f law i n s o c i e t y . Works of j u r i s p r u d e n c e t h e r e f o r e p r o v i d e d v a l u a b l e i n f o r m a t i o n about which f a c t s and a c t i o n s have l e g a l s i g n i f i c a n c e , where they d e r i v e t h a t s i g n i f i c a n c e from, how t h a t s i g n i f i c a n c e i s a f f e c t e d by circumstances, and how i t s endurance can be determined. T h i s a n a l y s i s was used i n c o n j u n c t i o n w i t h d i p l o m a t i c s t o e s t a b l i s h the r e l a t i o n s h i p between documents and law, and t o e x p l o r e the l e g a l nature o f v a r i o u s c l a s s e s o f documents. D i p l o m a t i c s i s the d i s c i p l i n e t h a t s t u d i e s "the g e n e s i s , forms, and t r a n s m i s s i o n of a r c h i v a l documents and 12 t h e i r r e l a t i o n s h i p [both] w i t h the f a c t s r e p r e s e n t e d i n them and w i t h t h e i r c r e a t o r , i n or d e r t o i d e n t i f y , e v a l u a t e , and communicate t h e i r t r u e n a t u r e . " 2 3 D i p l o m a t i c a n a l y s i s was used t o i d e n t i f y i n t e r n a l f a c t o r s t h a t c o n t r i b u t e t o l e g a l v a l u e i n documents. The examination of the l e g a l concept of evidence, and of the r u l e s o f evidence as they apply t o documents, was drawn from l e g a l t e x t s on evidence and from a study o f the Canada Evidence A c t . R.S.C. 1985, c. C-5. Records management l i t e r a t u r e p r o v i d e d i n f o r m a t i o n f o r the d i s c u s s i o n o f e x t e r n a l f a c t o r s a f f e c t i n g l e g a l v a l u e . S i n c e t h i s t h e s i s focuses on a r c h i v e s and documents i n North America (Canada, i n p a r t i c u l a r ) , the l e g a l l i t e r a t u r e c o n s u l t e d p e r t a i n s t o the E n g l i s h l e g a l system and i t s p a r t i c u l a r m a n i f e s t a t i o n s i n the U n i t e d S t a t e s and Canada. The o b j e c t i v e o f t h i s study i s t w o f o l d . F i r s t , i t seeks t o determine the nature o f the document-event r e l a t i o n s h i p , a s u b j e c t t h a t has not r e c e i v e d much a t t e n t i o n i n a r c h i v a l l i t e r a t u r e . 2 4 An e x p l o r a t i o n o f t h i s document- event r e l a t i o n s h i p w i l l i l l u s t r a t e the f u n c t i o n s t h a t documents p l a y , i n t h e i r c r e a t i o n and use, as an element i n the s t r u c t u r e o f s o c i e t i e s and i n the development o f events. T h i s understanding might l e a d t o a g r e a t e r a p p r e c i a t i o n not o n l y f o r the h i s t o r i c v a l u e o f documents, but a l s o f o r t h e i r l e g a l n a t u r e — t h e i r c a p a c i t y t o p r o t e c t s o c i e t y and t o serve as l e g a l evidence. 13 The second o b j e c t i v e o f t h i s t h e s i s i s t o emphasize a r c h i v i s t s ' o b l i g a t i o n t o g i v e r e l e v a n t c o n s i d e r a t i o n t o the l e g a l n ature o f documents i n the a p p r a i s a l p r o c e s s . P a r t o f the s o c i a l r e s p o n s i b i l i t y i n h e r e n t i n a p p r a i s a l d e r i v e s from the a r c h i v i s t ' s duty t o i d e n t i f y and p r e s e r v e documents t h a t w i l l p r o t e c t the r i g h t s o f s o c i e t y , i t s i n s t i t u t i o n s , i t s c i t i z e n s , and i t s h e i r s . T h e r e f o r e , i t i s nece s s a r y t o know what comprises l e g a l v a l u e and how t o i d e n t i f y documents w i t h s u f f i c i e n t l e g a l v a l u e t o warrant t h e i r p r e s e r v a t i o n f o r t h a t purpose. Given the volume of modern documentation and the need t o choose a documentary h e r i t a g e from t h a t volume, i t i s important t h a t a r c h i v i s t s have some standard c r i t e r i a f o r a p p r a i s a l and an understanding o f those documentary v a l u e s t h a t a re most e s s e n t i a l t o the cont i n u e d f u n c t i o n i n g and development of s o c i e t y . 14 CHAPTER ONE EXPLORING THE NATURE OF DOCUMENTS In s e e k i n g t o understand the r e l a t i o n s h i p between documents and law, and how t h i s r e l a t i o n s h i p can be e v a l u a t e d i n the a p p r a i s a l p r o c e s s , i t i s u s e f u l t o b e g i n by e x p l o r i n g the nature o f documents i n g e n e r a l — w h a t they are, what they r e p r e s e n t , why they are c r e a t e d and how they are made. The f i n d i n g s o f such an e x p l o r a t i o n w i l l r e v e a l the r e l a t i o n s h i p between documents and the world, between the i n s i d e (the document, the word) and the o u t s i d e (what the document r e p o r t s ) . The nature o f t h i s r e l a t i o n s h i p necess- a r i l y i n f l u e n c e s the v a l u e s and c h a r a c t e r i s t i c s o f documents and t h e r e f o r e i s an important f a c t o r i n d e t e r m i n i n g the l e g a l v a l u e o f documents. T h i s chapter w i l l examine the r e l a t i o n s h i p between document and world, and w i l l a l s o c o n s i d e r whether t h e r e are d i f f e r e n t k i n d s o f r e l a t i o n s h i p s t h a t produce d i f f e r e n t k i n d s o f documents. S p e c i f i c a l l y , i t w i l l i n v e s t i g a t e whether t h e r e i s a type o f document t h a t can be c a l l e d a " l e g a l r e c o r d " and, i f so, what circumstances o r c h a r a c t e r i s t i c s d i s t i n g u i s h l e g a l r e c o r d s from n o n - l e g a l r e c o r d s . A document i s the most fundamental u n i t o f re c o r d e d i n f o r m a t i o n . Indeed, the S o c i e t y o f American A r c h i v i s t s * 15 (SAA) Committee on Terminology e s t a b l i s h e s f a i r l y minimal c r i t e r i a f o r i d e n t i f y i n g a document, r e q u i r i n g o n l y the presence o f some data and a medium on, o r i n , which the data are r e c o r d e d . 1 Considered t a x o n o m i c a l l y , "documents" form the g e n e r a l c l a s s t h a t d e s c r i b e s a l l r e c o r d e d i n f o r m a t i o n . Documents are the genus, which can be broken down i n t o a number o f s p e c i e s and, sometimes, s u b - s p e c i e s . U n l i k e the s c i e n t i f i c c l a s s i f i c a t i o n s developed f o r p l a n t s and animals, the genus "documents" can be c l a s s i f i e d i n a v a r i e t y o f ways, depending on the p a r t i c u l a r documentary c h a r a c t e r i s t i c s t h a t one chooses t o study. In some cases, t h e r e w i l l be a c o r r e l a t i o n between the s p e c i e s o f d i f f e r e n t c l a s s i f i c a t i o n s . That i s , the c h a r a c t e r i s t i c s t h a t c a t e g o r i z e a document as a p a r t i c u l a r s p e c i e s w i t h i n one c l a s s i f i c a t i o n may a f f e c t how the document i s c a t e g o r i z e d i n another c l a s s i f i c a t i o n . There i s r a r e l y a d i r e c t one-on-one r e l a t i o n s h i p between c l a s s i f i c a t i o n s , however, and s p e c i e s cannot be interchanged between c l a s s i f i c a t i o n s . Thus, a term used t o i d e n t i f y a s p e c i e s w i t h i n one c l a s s i f i c a t i o n has a d i s t i n c t d e f i n i t i o n and con t e x t and w i l l o n l y be used i n t h a t sense i n t h i s t h e s i s . When a r e f e r e n c e i s made t o rec o r d e d i n f o r m a t i o n i n g e n e r a l , the term "documents" w i l l be used. The f i r s t c l a s s i f i c a t i o n o f documents t o be c o n s i d e r e d i n t h i s t h e s i s i s r e p r e s e n t e d i n F i g u r e 1. T h i s c l a s s i f i c a t i o n i d e n t i f i e s documents a c c o r d i n g t o the type o f FIGURE 1 CLASSIFICATION BASED ON GENERATING ACTIVITY DOCUMENTS Adminstrative Activity Personal Activity RECORDS MANUSCRIPTS LEGAL RECORDS NON-LEGAL RECORDS a c t i v i t y t h a t generated them. The focus on g e n e r a t i n g a c t i v i t y r a t h e r than on c r e a t o r , r e c o r d i n g method, o r any of a v a r i e t y o f f a c t o r s i n v o l v e d i n document c r e a t i o n , p r o v i d e s a u s e f u l base from which t o e x p l o r e the r e l a t i o n s h i p between communication and events i n h i s t o r y . T h i s c l a s s i f i c a t i o n w i l l t h e r e f o r e be examined i n some d e t a i l . Two s p e c i e s are named i n F i g u r e 1: r e c o r d s and manuscripts. The SAA's Committee on Terminology d e f i n e s r e c o r d s as " a l l recorded i n f o r m a t i o n , r e g a r d l e s s o f media or c h a r a c t e r i s t i c s , made or r e c e i v e d and maintained by an o r g a n i z a t i o n o r 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 the t r a n s a c t i o n o f i t s b u s i n e s s . " 2 Records are d i s t i n g u i s h e d from documents i n g e n e r a l by the s t i p u l a t i o n t h a t r e c o r d s be c r e a t e d and maintained as a means o r an instrument t o acc o m p l i s h i n g a purpose. Although the SAA d e f i n i t i o n appears t o be v e r y s p e c i f i c about the k i n d s o f circumstances t h a t c r e a t e r e c o r d s ( l e g a l o b l i g a t i o n s and a c t i v i t i e s r e l a t e d t o the t r a n s a c t i o n o f b u s i n e s s ) , t h e r e i s some q u e s t i o n about what purposes are pursued i n c a r r y i n g out b u s i n e s s t r a n s a c t i o n s . S i n c e purpose i s e s s e n t i a l t o the d e f i n i t i o n o f r e c o r d s , f u r t h e r c l a r i f i c a t i o n i s needed. In many European c o u n t r i e s , the term " a r c h i v e s " r e f e r s t o both a c t i v e and i n a c t i v e r e c o r d s . In North America, the terms a r c h i v e s and r e c o r d s are o f t e n used t o i d e n t i f y two d i f f e r e n t p e r i o d s i n the r e c o r d l i f e c y c l e , r e c o r d s b e i n g 18 current, active documents, and archives being the non- current records that are preserved for t h e i r long-range value. However, since the two terms r e f e r to e s s e n t i a l l y the same documents, t h i s discussion about records w i l l draw from studies of both records and archives. At t h i s point, one can turn to the writings of I t a l i a n a r c h i v i s t Eugenio Casanova and English a r c h i v i s t S i r H i l a r y Jenkinson, both of whom addressed the issue of purpose i n t h e i r respective studies of archives. Casanova defined archives as: the orderly accumulation of documents which were created i n the course of i t s a c t i v i t i e s by an i n s t i t u t i o n or an in d i v i d u a l , and which are preserved f o r the accomplishment of the p o l i t i c a l , l e g a l , or c u l t u r a l purposes of such an i n s t i t u t i o n or i n d i v i d u a l . 3 S i m i l a r l y , Jenkinson defined a r c h i v a l documents as those drawn up or used i n the course of an administrative or executive transaction (whether public or private) of which [the documents themselves] formed a part; and subsequently preserved i n t h e i r own custody for t h e i r own information by the person or persons responsible for that transaction and t h e i r legitimate successors. 4 According to these d e f i n i t i o n s , the purpose of records- creation i s to f a c i l i t a t e the accomplishment of in t e n t i o n a l and organized a c t i v i t i e s intended to manage the inte r e s t s of an i n s t i t u t i o n or i n d i v i d u a l , whether those i n t e r e s t s be 19 p o l i t i c a l , l e g a l , f i n a n c i a l , or c u l t u r a l objectives. Records are necessary to the functioning of t h e i r creator and are maintained by the creator for t h i s reason. An important idea r e f l e c t e d i n these d e f i n i t i o n s i s that records are not merely about something, but rather are a v i t a l part of the operations of an i n d i v i d u a l or i n s t i t u t i o n . They a r i s e i n the course of an a c t i v i t y . Therefore, they are primarily s i g n i f i c a n t i n r e l a t i o n to a c t i v i t y and only secondarily i n r e l a t i o n to subject. 5 Records have value because of the dynamic r o l e they play i n a c t i v i t i e s ; the factual data of t h e i r content provide an complementary value. This dynamic aspect of records i s highlighted i n a recent d e f i n i t i o n of records proposed i n a report on p o l i c y guidelines f o r e l e c t r o n i c records published by the United Nations' Advisory Committee for the Co-ordination of Information Systems (ACCIS). In t h i s report, i t i s argued that t r a d i t i o n a l d e f i n i t i o n s of records and archives emphasize the need to recognize the o f f i c i a l action that generated a record. I t i s pointed out that, with e l e c t r o n i c records, i t i s not always possible to determine the source and function of an item or document. Indeed, i t can even be d i f f i c u l t to determine these facts when working with textual records. 6 The report therefore proposes a "more operational d e f i n i t i o n " of records as "recorded transactions, . . . i n f o r m a t i o n , communicated t o o t h e r people i n the course of b u s i n e s s , v i a a s t o r e of i n f o r m a t i o n a v a i l a b l e t o them." 7 The concept o f recorded t r a n s a c t i o n s c l e a r l y d i s t i n g u i s h e s r e c o r d s as a sub-set o f documents: r e c o r d s are not j u s t r e c o r d e d i n f o r m a t i o n , they are conveyed i n f o r m a t i o n . 8 The purpose of t h e i r c r e a t i o n i s t o f a c i l i t a t e i n t e r a c t i o n between p h y s i c a l o r j u r i d i c a l p e r s o n s . 9 There i s an i n t e n t i o n t o pass on i n f o r m a t i o n , an i n t e n t i o n t o a f f e c t or i n f l u e n c e someone e l s e i n some way. Thus, a note t o remind o n e s e l f t o do something i s not intended t o be communicated and hence, i s not a r e c o r d e d t r a n s a c t i o n . L i k e w i s e , the d r a f t of an o f f i c i a l document and v a r i o u s r e v i s i o n s of i t are not meant t o be sent out t o anyone. Even i f a d r a f t or a r e v i s i o n were sent out, i t would not be a b l e t o produce the consequences d e s i r e d by the document c r e a t o r s i n c e i t i s not complete. The d r a f t and i t s r e v i s i o n s cannot be c o n s i d e r e d t o be r e c o r d s . On the o t h e r hand, documents need not be p h y s i c a l l y " s e n t " i n order t o be r e c o r d e d t r a n s a c t i o n s . I t i s s u f f i c i e n t t h a t t h e r e be an i n t e n t i o n f o r o t h e r s t o r e c e i v e the i n f o r m a t i o n a t some time. For example, making a "memo t o the f i l e " o r an e n t r y i n a bookkeeping j o u r n a l i s c r e a t i n g a r e c o r d because the purpose of making the e n t r y i s t o t r a n s m i t a f a c t t o o t h e r s who w i l l use the f i l e o r j o u r n a l a t a l a t e r d a t e . 1 0 D e f i n i n g r e c o r d s as recorded t r a n s a c t i o n s e s t a b l i s h e s s e v e r a l c r i t e r i a f o r i d e n t i f y i n g r e c o r d s . S p e c i f i c a l l y , 21 t h e r e must be an i n t e n t i o n t o communicate i n f o r m a t i o n , and t h a t communication must be needed f o r the purposes o f managing one's b u s i n e s s a f f a i r s . The document must be a b l e t o a c h i e v e some e f f e c t o r consequence r e l a t e d t o those purposes. E s s e n t i a l l y , then, r e c o r d s a re t o o l s o f a d m i n i s t r a t i v e endeavour. A b r i e f l o o k a t h i s t o r y c o n f i r m s t h a t r e c o r d s have always met these c r i t e r i a and t h a t a d m i n i s t r a t i o n s r e q u i r e some form o f recor d e d t r a n s a c t i o n s t o c a r r y out t h e i r f u n c t i o n s . Records have e x i s t e d i n some form s i n c e the time t h a t humans f i r s t began t o gather t o g e t h e r i n s o c i e t i e s and t o i n t e r a c t w i t h one another. I n t e r a c t i o n r e q u i r e s people t o i d e n t i f y t h e i r needs and wants, both i n d i v i d u a l l y and as a s o c i e t y , and t o a c t t o p r o t e c t and achieve those needs and wants. Rules and r e g u l a t i o n s are formulated, goods and s e r v i c e s are exchanged, and s o c i e t y seeks t o develop by b u i l d i n g upon p a s t events and ex p e r i e n c e s . The need f o r memory a r i s e s n a t u r a l l y i n these circumstances as i n f o r m a t i o n — t h a t which i s known—becomes the b a s i s f o r pr e s e n t a c t s and d e c i s i o n s . Memory i s the means by which t h i s i n f o r m a t i o n can be s t o r e d and accessed. Thus, even n o n - l i t e r a t e s o c i e t i e s have ways of c r e a t i n g and p r e s e r v i n g " r e c o r d s " o f t h e i r a c t i v i t i e s . In a n c i e n t Greece, b u s i n e s s a f f a i r s were t r a n s a c t e d b e f o r e a mnemon, a "memory man," who r e g i s t e r e d the proceedings m e n t a l l y and who c o u l d be c a l l e d upon t o t e s t i f y o r a l l y t h a t a p a r t i c u l a r t r a n s a c t i o n had 22 indeed taken place. The native s o c i e t i e s of North America's Northwest P a c i f i c region constructed totem poles whose symbols held the memory of events, transactions, and experience—information that was also passed to succeeding generations through a strong o r a l t r a d i t i o n . In pre- 1i t e r a t e England, important transactions took place before witnesses whose or a l testimony at a l a t e r date would be s u f f i c i e n t to e s t a b l i s h the truth of the event or transaction which they had seen and heard. The spoken word was the l e g a l l y v a l i d record. Historian M. T. Clanchy notes that i n twelfth-century England, the verb "to record" meant to bear o r a l witness. S i m i l a r l y , the Latin root of the word "record" means "to remember, to c a l l to mind," thus emphasizing the aspect of record as memory rather than defining record as a p a r t i c u l a r form of memory.11 As s o c i e t i e s grew, and the task of administering them became increasingly complex, there arose a need f o r a d i r e c t , tangible, enduring, and r e l i a b l e method f o r keeping track of administrative a c t i v i t i e s . At f i r s t , events were depicted i n p i c t o r i a l form, but by the t h i r d millennium B.C., the Sumerians had invented an alphabetic s c r i p t as a response to the recordkeeping needs of t h e i r active p o l i t i c a l and economic l i f e . The development of writing was not the r e s u l t of a whimsical desire for creative expression, but rather the r e s u l t of a p r a c t i c a l administrative need to keep records. 23 The importance o f r e c o r d s t o o r g a n i z e d s o c i e t y i s a l s o i n d i c a t e d by the f a c t t h a t the e a r l i e s t p r e s e r v e d w r i t i n g s a r e the c l a y t a b l e t r e c o r d s o f A s s y r i a , B a b y l o n i a , and the H i t t i t e Empire from the t h i r d m i l l e n n i u m B.C. t o the C h r i s t i a n E r a . I n v e n t o r i e s o f the r u l e r ' s p r o p e r t y , r e c o r d s o f o f f e r i n g s made or taxes c o l l e c t e d , c o n t r a c t s w i t h s e a s o n a l workers, and documents concerned w i t h the r e n t i n g of f i e l d s and gardens are j u s t some of the r e c o r d s these b u r e a u c r a t i c s o c i e t i e s used t o c o n t r o l m a t e r i a l , people, and man-made i n s t a l l a t i o n s . Furthermore, because r e c o r d s served immediate a d m i n i s t r a t i v e needs, they were not p r e s e r v e d i n remote p l a c e s ; d e p o s i t o r i e s tended t o be e s t a b l i s h e d a t c e n t r e s o f p o l i t i c a l , economic, and r e l i g i o u s a c t i v i t y . 1 2 The c r e a t i o n and use of r e c o r d s i n s o c i e t y thus has a lon g h i s t o r y , and a r c h i v i s t E r n s t Posner has noted t h a t t h e r e a re c e r t a i n c o n s t a n t s i n t h i s c r e a t i o n and use. In h i s study o f a r c h i v e s i n the a n c i e n t world, Posner i d e n t i f i e d s i x b a s i c types o f r e c o r d s which appear i n the a r c h i v e s o f most b u r e a u c r a t i c s o c i e t i e s throughout h i s t o r y , r e g a r d l e s s o f the nature o f the governmental, r e l i g i o u s , and economic i n s t i t u t i o n s o f the s o c i e t y . These types i n c l u d e : 1. The laws of the l a n d . 2. Records c o n s c i o u s l y c r e a t e d and r e t a i n e d as evidence o f p a s t a d m i n i s t r a t i v e a c t i o n (ex: daybooks, r e g i s t e r s , chancery r o l l s ) . 3. F i n a n c i a l and oth e r a c c o u n t i n g r e c o r d s needed t o h e l p the r u l e r o r o t h e r a u t h o r i t y a d m i n i s t e r h i s domain and i t s r e s o u r c e s . 4. Records o f the r u l e r o r o t h e r a u t h o r i t y which assure h i s income from l a n d and persons not b e l o n g i n g t o h i s immediate domain (ex: l a n d surveys; t a x assessments; l a n d r e c o r d s e s t a b l i s h i n g ownership). 5. Records f a c i l i t a t i n g c o n t r o l over persons f o r purposes of m i l i t a r y s e r v i c e , f o r c e d l a b o u r , and the payment o f a c a p i t a t i o n or p e r s o n a l t a x . 6. " N o t a r i a l " r e c o r d s of s t a t e agencies o r s t a t e - a u t h o r i z e d persons t h a t safeguard j p r i v a t e b u s i n e s s t r a n s a c t i o n s between i n d i v i d u a l s . These r e c o r d s a l l have the c h a r a c t e r i s t i c s o f r e c o r d e d t r a n s a c t i o n s as d e s c r i b e d e a r l i e r . They a r i s e from a need and an i n t e n t i o n t o convey i n f o r m a t i o n f o r the purposes o f a d m i n i s t r a t i v e endeavour. They are c r e a t e d i n the course of b u s i n e s s i n o r d e r t o "get t h i n g s done" and are meant t o have a p r a c t i c a l e f f e c t . These "constants i n r e c o r d c r e a t i o n " t h e r e f o r e l e n d the support of h i s t o r y t o the concept of r e c o r d s as recorded t r a n s a c t i o n s . The d e f i n i t i o n a p p l i e s not o n l y t o e l e c t r o n i c r e c o r d s , but a l s o t o 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 and o t h e r forms of r e c o r d s . R e t u r n i n g t o F i g u r e 1 and the documentary c l a s s i f i c a t i o n i t r e p r e s e n t s , one notes a second s p e c i e s of documents: manuscripts. U n l i k e r e c o r d s , which a r i s e from a d m i n i s t r a t i v e a c t i v i t i e s , manuscripts a r i s e from p e r s o n a l a c t i v i t i e s . They are not intended t o a c h i e v e r e s u l t s e s s e n t i a l t o a c c o m p l i s h i n g a person's p r a c t i c a l a c t i v i t i e s . They are o f t e n ends i n themselves, meant t o e x p l a i n , inform, or e n t e r t a i n . For example, poems and correspondence between 25 friends are two kinds of manuscripts. Their creation i s not required by any l e g a l or administrative obligations; t h e i r forms and content are not governed by procedures; they may convey information, but they are not created to accomplish administrative goals. They a r i s e from a c t i v i t i e s and intentions whose nature embodies a s i g n i f i c a n t measure of in d i v i d u a l freedom, and t h e i r forms, content, and purposes a l l r e f l e c t that freedom. 1 4 Both records and manuscripts are shaped and influenced by the external world. The nature of the r e l a t i o n s h i p between documents—which can endure through time—and the facts that appear i n documents—events and acts that can only occur i n a s p e c i f i c time and place—needs to be c l o s e l y examined. F i r s t , i t i s es s e n t i a l to define some terms, beginning with " f a c t . " The word " f a c t " derives from the Latin factum, meaning deed, act, a thing done. A fac t i s "an action performed or an incident t r a n s p i r i n g ; an event or circumstance; an actual occurrence." 1 5 Facts are not li m i t e d to what i s tangible or v i s i b l e ; therefore, they may be e i t h e r physical or mental. In jurisprudence and diplomatics, facts are divided into events and acts. Events are that which happen, or may happen, i n the course of nature (as distinguished from a thing which exists) and are not d i r e c t l y determined by inte n t i o n a l human inte r v e n t i o n . 1 6 Acts, on the other hand, are "e f f e c t [ s ] produced i n the 2 6 e x t e r n a l world by the e x e r c i s e o f the power of a person o b j e c t i v e l y , prompted by i n t e n t i o n , and p r o x i m a t e l y caused by a motion of the w i l l . " 1 7 An a c t r e s u l t s from an i n t e n t i o n on the p a r t o f the human w i l l t o produce the e f f e c t s o r consequences which are known or expected t o f o l l o w from a p a r t i c u l a r a c t i o n . I t i s t h i s e x e r c i s e o f the human w i l l w i t h r e s p e c t t o fo r e s e e n e f f e c t s t h a t d i s t i n g u i s h e s an a c t from an event. T r a n s a c t i o n s a re a type of a c t i n which a body a d m i n i s t e r s i t s a f f a i r s i n r e l a t i o n t o o t h e r b o d i e s ; t h e r e i s an added i n t e n t i o n t o c r e a t e a 18 r e l a t i o n s h i p w i t h another b o d y ( i e s ) . In the f o l l o w i n g d i s c u s s i o n , the terms " f a c t " and "event" w i l l be used i n t e r c h a n g e a b l y t o r e f e r t o any happenings, whether they a r i s e from a n a t u r a l cause o r as a r e s u l t o f the e x e r c i s e of human i n t e r v e n t i o n . The terms " a c t " and " t r a n s a c t i o n , " though, w i l l o n l y be used i n the s t r i c t senses d e f i n e d above. The r e l a t i o n s h i p between documents and events has been e x p l o r e d i n some depth by s o c i o l o g i s t S t a n l e y R a f f e l . R a f f e l c l a i m s t h a t the e s s e n t i a l element f o r document c r e a t i o n i s t h a t the world i s composed of d i s c r e t e f a c t s , w i t n e s s a b l e events, t o which observers can t e s t i f y and which can be d e s c r i b e d by symbols. 1 9 Documents cannot occur without events. However, events may o r may not produce documents; t h a t i s , events can occur and remain unrecorded. In s o c i a l s c i e n c e , though, any event t h a t goes unrecorded i s 27 not communal property; i t i s not knowable by society. Without a record, only those present at an event w i l l know of i t s occurrence; no one else can ever access i t . For example, suppose a c h i l d t r i p s i n the str e e t . I f the c h i l d does not bruise himself/herself, i f no one sees the accident, and i f the c h i l d forgets about the event, then there i s no record of i t . No one w i l l ever know that i t happened. On the other hand, i f someone sees the accident and takes a picture of the f a l l e n c h i l d , then others can look at the picture and see what happened. The c o n s t i t u t i v e act performed by the document i s that of naming the event, thereby s o c i a l i z i n g i t and making i t accessible to society. Documents are important because they embody events and make 20 them knowable. In addition to s o c i a l i z i n g an event, the record i s also needed to ensure the event's s u r v i v a l . Since only the present can be known, some device i s required f o r freezing the observed present before i t s l i p s into the past. The document, as an embodiment of the event, converts the present into the permanent.21 As George Orwell observed i n 1984, "past events, i t i s argued, have no objective existence, but survive only i n written records and i n human memories." For an event to be documented, an observer must be present i n time and space to bear witness to the event when and where i t appears. However, i n order for the document 28 t o be evidence o f the event r a t h e r than o f the observer, i t must be unencumbered by the obs e r v e r ' s o p i n i o n . Thus, the obs e r v e r must o b j e c t i v e l y r e c o r d o n l y what the event r e v e a l s about i t s e l f , which i s a l l t h a t the obs e r v e r can t r u l y know. R a f f e l uses medical r e c o r d s t o i l l u s t r a t e t he boundaries o f what an obse r v e r can know. M e d i c a l r e c o r d s may i n c l u d e a " h i s t o r y " o f the events l e a d i n g up t o a p a t i e n t ' s i l l n e s s . In t h i s case, the r e c o r d - w r i t e r w i l l be c a r e f u l t o note t h a t the h i s t o r y i s hearsay. S i n c e the r e c o r d - w r i t e r was not p r e s e n t a t the p r e v i o u s events, he/she can o n l y know what the p a t i e n t says happened. For the r e c o r d - w r i t e r , the event i s not what i s r e l a t e d by the p a t i e n t ; r a t h e r , the event i s the d i a l o g u e between the p a t i e n t and the r e c o r d - w r i t e r . 2 2 A good r e c o r d i s s e l f - s u f f i c i e n t and r e l i a b l e , and a l l o w s the event t o speak through i t ; t h a t i s , events can be r e - e x p e r i e n c e d through use o f the r e c o r d . T h i s c h a r a c t e r i s t i c o f r e c o r d s i s what makes them u s e f u l t o a d m i n i s t r a t o r s and bu r e a u c r a t s , who cannot be p r e s e n t a t a l l the events about which they need t o know. They must r e l y on r e c o r d s t o access those events. There are two ways i n which b u r e a u c r a t s can ac h i e v e u s a b i l i t y o f r e c o r d s . In the f i r s t method, the bu r e a u c r a t ensures t h a t the r e c o r d - w r i t e r i s r e l i a b l e through v a r i o u s c o n t r o l s , and t h e r e f o r e i s a b l e t o i d e n t i f y h i m / h e r s e l f w i t h the w r i t e r . The r e c o r d - u s e r (the bureaucrat) then becomes 29 the observer at the event and can proceed to administer his/her a f f a i r s through the record. 2 3 In the second method, the bureaucrat ensures that the record i s r e l i a b l e by judging i t s completeness—whether the record possesses various bureaucratically necessary forms, whether a l l the parts of a form have been f i l l e d i n and, i f required, whether there are the appropriate signatures. I f the record i s complete, the bureaucrat considers i t to be a v i s i b l e f a c t i n i t s e l f and approaches i t as an event which i s currently present and can be known. Since the complete record embodies the o r i g i n a l event, the bureaucrat can achieve what he/she needs—presence at the event—through use of the record. 2 4 In e i t h e r method, the record l e t s the event speak for i t s e l f , thereby providing a way for the record-user to achieve presence at the event a f t e r i t has happened. Hence, records are an instrument through which events survive and can be re-experienced. Records are not merely "about" events, they are a means of access to events. This r e l a t i o n s h i p between records and events i s i l l u s t r a t e d i n h i s t o r i a n M. T. Clanchy's study of the development of l i t e r a c y and the use of written records i n day-to-day business i n England. As Clanchy traces the s h i f t from memory to written record between A.D. 1066 and A.D. 1307, one can see that non-literate forms of record had a d i r e c t and s p e c i f i c r e l a t i o n s h i p to events and that the ro l e 30 o f t h e s e n o n - l i t e r a t e r e c o r d s was g r a d u a l l y absorbed by the w r i t t e n r e c o r d . Although Clanchy's study focuses on t w e l f t h - and t h i r t e e n t h - c e n t u r y England, t h i s s h i f t t o w r i t t e n r e c o r d s o c c u r r e d i n many oth e r s o c i e t i e s , i n both o l d e r and more r e c e n t times, and i n v o l v e d s i m i l a r adjustments i n people's thoughts and a c t i o n s . T h e r e f o r e , w h i l e the examples may be s p e c i f i c t o England, the concepts and c o n c l u s i o n s o f Clanchy's study are more b r o a d l y a p p l i c a b l e . 2 5 As mentioned e a r l i e r , t r a n s a c t i o n s i n p r e - l i t e r a t e England took p l a c e b e f o r e witnesses who heard and m e n t a l l y re c o r d e d the words u t t e r e d by each p a r t y i n the t r a n s a c t i o n . Often, a t r a n s a c t i o n was symbolized by the t r a n s f e r o f an o b j e c t such as a horn, f i n g e r r i n g s , o r s i l v e r cups. Knives were t r a d i t i o n a l symbols f o r conveyances, although a t u r f from the l a n d might be used i n a l a n d g r a n t , and a g i f t o f horses from one person t o another might be symbolized by an i v o r y whip-handle. 2 6 The t r a n s f e r o f the o b j e c t was important i n two ways: i t i n d i c a t e d t h a t both p a r t i e s accepted the t r a n s a c t i o n , and i t f o r m a l i z e d the moment of a c t i o n — t h e moment a t which the ownership o f the l a n d o r the horses a c t u a l l y passed from one p a r t y t o the o t h e r . In a d d i t i o n , the o b j e c t h e l d a memory of the t r a n s a c t i o n and was a t a n g i b l e supplement t o the r e c o r d p r e s e r v e d i n people's l i v i n g memories. 31 The importance of objects i s evident i n a story related to Edward I's quo warranto proceedings i n the thirteenth century. In t h i s story, the E a r l Warenne appears before the king's judges, produces an ancient and rusty sword from the Norman Conquest (instead of a written charter), and claims "This i s my warrant!" As Clanchy points out, there are many inaccuracies and inconsistencies i n the story, but the story remains valuable for what i t t e l l s about p r e - l i t e r a t e customs. Warenne's ancestors had acquired land through t h e i r p a r t i c i p a t i o n i n the Norman Conquest, and the sword was a l o g i c a l symbol of that a c q u i s i t i o n . The sword had been part of the event and therefore served as a non- l i t e r a t e form of property t i t l e for Warenne.27 As written records were introduced into everyday l i f e , i t would have seemed l o g i c a l for charters and other records to supersede both the t r a n s i t o r y actors witnessing a transaction and the symbolic objects transferred between the p a r t i e s . However, change occurred slowly, and many contemporaries continued t h e i r p r e - l i t e r a t e habits. For a long time, the spoken word remained the l e g a l l y v a l i d record, a record f a r superior to any written representation. Clanchy points out that when w i l l s were f i r s t enroled i n London around A.D. 1258, the formula of probate put emphasis on the witnesses who had seen and heard the transaction. I t was only i n the 1290's that these r o l l s began to omit the names of the witnesses, thereby i n d i c a t i n g that the v a l i d i t y o f the w i l l depended upon i t s b e i n g i n a c o r r e c t documentary 28 form r a t h e r than upon the v e r b a l assurances o f wi t n e s s e s . In another example, conveyances were o f t e n w r i t t e n on symbolic o b j e c t s , which co n t i n u e d t o be t r a n s f e r r e d between the p a r t i e s . In a d d i t i o n , r e c o r d s were d r a f t e d i n the p a s t tense, i m p l y i n g t h a t r e c o r d s were merely an a d j u n c t t o , and c o n f i r m a t i o n o f , the p h y s i c a l ceremony su r r o u n d i n g a t r a n s a c t i o n . 2 9 By the l a t t e r h a l f o f the t h i r t e e n t h c e n t u r y , r e c o r d s had become commonplace i n England. L i n g e r i n g p r e - 1 i t e r a t e h a b i t s were accommodated through the use of s e a l s which were a t t a c h e d t o r e c o r d s as a form of a u t h e n t i c a t i o n . The s e a l s r e p l a c e d the symbolic o b j e c t s used i n the t r a d i t i o n a l ways of r e c o r d i n g t r a n s a c t i o n s and made the w r i t i n g s seem im p r e s s i v e enough t o h o l d the memory of an e v e n t . 3 0 G r a d u a l l y , the r e c o r d was accepted as the s o l e instrument o f an event, r e p l a c i n g both the witnesses and the ceremony which had t r a d i t i o n a l l y s o c i a l i z e d the event and had i n d i c a t e d the moment of a c t i o n . In many cases, the r e c o r d became both the a c t and the memory of the a c t . People c o n t i n u e d t o i n d i c a t e t h e i r awareness of t h i s r e l a t i o n s h i p between r e c o r d and a c t u n t i l e a r l y t h i s century, when i t was s t i l l customary i n s i g n i n g a l e g a l instrument t o p l a c e a f i n g e r on the l i t t l e r e d spot (the v e s t i g i a l s e a l ) and d e c l a r e " t h i s i s my v e r y a c t and deed." 3 1 33 In the examples g i v e n so f a r , the r e c o r d o f an event c o n s i s t s o f a s i n g l e document which l e a d s the r e c o r d - u s e r d i r e c t l y from the document t o the e n t i r e f a c t g e n e r a t i n g i t . For i n s t a n c e , the E a r l Warenne's sword l e d d i r e c t l y t o the f a c t o f h i s a n c e s t o r s ' p a r t i c i p a t i o n i n the Norman Conquest and t h e i r subsequent a c q u i s i t i o n o f l a n d . In today's s o c i e t y , though, many b u r e a u c r a t i c a c t s are the r e s u l t of a procedure which r e q u i r e s the p r i o r completion o f s e v e r a l r e l a t e d but autonomous a c t s , each of which may c r e a t e i t s own documents. As a consequence, t h e r e are many cases where no s i n g l e document embodies a l l o f the p a r t i a l a c t s n e c e s s a r y f o r the accomplishment o f the f i n a l a c t . To understand the s i g n i f i c a n c e of the f i n a l event, i t may be necessary t o access the procedure, which i s o n l y p o s s i b l e by c o n s i d e r i n g the c h a i n of documents i n v o l v e d . For example, an i n s u r a n c e c l a i m f o r damages a r i s i n g from an automobile a c c i d e n t w i l l i n i t i a t e a procedure t h a t r e q u i r e s p o l i c e r e p o r t s , r e c e i p t s f o r towing the v e h i c l e t o the garage, an assessment of the e x t e n t of damage, c o n t a c t w i t h the o t h e r d r i v e r i n v o l v e d i n the a c c i d e n t , and so on. The cheque which i s u l t i m a t e l y i s s u e d t o the c l a i m a n t i s the f i n a l a c t , the o b j e c t i v e o f the procedure. However, the cheque c o n t a i n s no i n d i c a t i o n of the many i n t e r m e d i a t e a c t s t h a t preceded i t . On i t s own, the cheque i s merely a r e c o r d of money p a i d by the i n s u r a n c e company t o the c l a i m a n t . The r e c o r d o f the f a c t of the c l a i m i s the case f i l e , which 34 c o n t a i n s the r e c o r d s o f a l l the i n t e r m e d i a t e a c t s and of the f i n a l a c t . As a u n i t , then, the case f i l e can be c o n s i d e r e d a r e c o r d and has a l l the t y p i c a l c h a r a c t e r i s t i c s o f a r e c o r d . A review o f the i d e a s e x p l o r e d thus f a r shows t h a t whether the r e c o r d i s a s i n g l e document o r an a g g r e g a t i o n o f s t r i c t l y i n t e r r e l a t e d documents, the r e l a t i o n s h i p between documents and happenings i n the world i s d i r e c t and dynamic. Documents cannot e x i s t on t h e i r own. They a r i s e out of a c t s and events and g i v e body t o them, thereby making them / knowable by o t h e r s and a l s o e n s u r i n g t h e i r s u r v i v a l . Documents p l a y many r o l e s i n events. They always have a p a r t i n an event as a witness t o i t , and may a l s o be agents i n t he event. Records, which are conveyed i n f o r m a t i o n , e s t a b l i s h r e l a t i o n s between people and are a b l e t o ac h i e v e e f f e c t s d e s i r e d by t h e i r c r e a t o r s . Documents are not merely about f a c t s , they are an i n t e g r a l and a c t i v e p a r t o f f a c t s . One r e s u l t o f t h i s r e l a t i o n s h i p between documents and the world i s t h a t documents can be d i f f e r e n t i a t e d a c c o r d i n g t o the a c t or event from which they a r i s e , and a c c o r d i n g t o t h e i r r o l e i n t h a t a c t or event. T h e r e f o r e , one must have some understanding o f a c t s and events b e f o r e p r o c e e d i n g any f u r t h e r . In both j u r i s p r u d e n c e and d i p l o m a t i c s , a major d i s t i n c t i o n i s made between a c t s and events which are j u r i d i c a l l y r e l e v a n t , and those which are not. T h i s 35 d i s t i n c t i o n i s based on whether or not the consequences of a f a c t a re r e c o g n i z e d by the l e g a l system i n which the f a c t o c c u r s . That i s , w h i l e a l l f a c t s produce consequences, no l e g a l system i s i n t e r e s t e d i n a l l the p o s s i b l e consequences t h a t may a r i s e from a l l p o s s i b l e f a c t s . Rather, the law s e l e c t s a few consequences as b e i n g m a t e r i a l t o i t s concerns and c o n s i d e r s a l l o t h e r s t o be i r r e l e v a n t and without l e g a l s i g n i f i c a n c e . Those f a c t s whose consequences are r e c o g n i z e d by the law are c a l l e d j u r i d i c a l l y r e l e v a n t f a c t s , o r j u r i d i c a l f a c t s ; those whose consequences are not r e c o g n i z e d are c a l l e d j u r i d i c a l l y i r r e l e v a n t f a c t s . In the E n g l i s h l e g a l system, the law i s concerned w i t h the r i g h t s and d u t i e s o f persons (whether p h y s i c a l o r j u r i d i c a l ) 3 2 and has t h e r e f o r e chosen t o r e c o g n i z e those a c t s and events which a f f e c t r i g h t s and d u t i e s . W i t h i n t h i s p a r t i c u l a r c o n t e x t , a j u r i d i c a l f a c t may be more narrowly d e f i n e d as any occurrence o r a c t which c r e a t e s , m o d i f i e s , t r a n s f e r s , m a i n t a i n s , o r e x t i n g u i s h e s a r i g h t o r a d u t y . 3 3 E x p l o r i n g the concept of r i g h t s and d u t i e s f u r t h e r , one f i n d s t h a t the r u l e s o f r i g h t o r j u s t i c e i n a j u r i d i c a l system e x i s t t o p r o t e c t the i n t e r e s t s o f humankind. 3 4 The r u l e s a l s o e s t a b l i s h the ext e n t t o which a person may a c t t o f u r t h e r those i n t e r e s t s . Not a l l i n t e r e s t s a re p r o t e c t e d by law, but those which do r e c e i v e r e c o g n i t i o n and p r o t e c t i o n are c a l l e d r i g h t s . N a t u r a l and moral r i g h t s a re c o n f e r r e d by r u l e s o f nature or moral j u s t i c e . L e g a l r i g h t s a re those 36 r i g h t s r e c o g n i z e d and p r o t e c t e d by the l e g a l system. Every r i g h t , whether n a t u r a l o r l e g a l , has a c o r r e l a t i v e i n a duty, s i n c e t he e x i s t e n c e o f a r i g h t i m p l i e s r e s p e c t o f t h a t r i g h t by o t h e r s . T h i s r e s p e c t i s c a l l e d a duty and i s an o b l i g a t o r y a c t . For example, a person who owns l a n d has the r i g h t t o exclude o t h e r s from the use of the l a n d . The c o r r e l a t i v e o f t h i s r i g h t i s the duty o f o t h e r s t o r e f r a i n from t r e s p a s s i n g . A r i g h t i s t h e r e f o r e a r i g h t - d u t y r e l a t i o n s h i p between two or more persons, and both the r i g h t and the duty must be i n v e s t e d i n some person o r persons. An ownerless r i g h t i s an i m p o s s i b i l i t y ; t h e r e must be someone i n whom the r i g h t i n h e r e s and t o whom o t h e r s owe a duty. Every r i g h t t h a t a person has r e q u i r e s a " t i t l e , " o r source, from which the r i g h t i s d e r i v e d . In some cases, r i g h t s a re inb o r n , o r a r i s e a u t o m a t i c a l l y from events which the law has s p e c i f i e d as g i v i n g r i s e t o c e r t a i n r i g h t s and d u t i e s . F or example, when a c h i l d i s born, t h e r e are g e n e r a l l y accepted r e c i p r o c a l r i g h t s and d u t i e s o f parent and c h i l d which come i n t o b e i n g. In o t h e r cases, a movement of the human w i l l i s r e q u i r e d f o r a r i g h t t o come i n t o e x i s t e n c e . For example, the a c t o f c a t c h i n g f i s h c r e a t e s an o r i g i n a l t i t l e (a source) f o r the r i g h t o f ownership. I f someone then buys those f i s h from the fisherman, the r i g h t of ownership passes from the fisherman t o the purchaser. The a c t of pu r c h a s i n g the f i s h i s c o n s i d e r e d a d e r i v a t i v e t i t l e t o the r i g h t o f ownership ( d e r i v a t i v e because i t does 37 not c r e a t e a new r i g h t , but merely t r a n s f e r s an e x i s t i n g r i g h t t o someone e l s e ) . S i m i l a r l y , the t i t l e t o a debt e x i s t s i n a c o n t r a c t or o t h e r t r a n s a c t i o n made between the l e n d e r and borrower. Thus, a t i t l e i s e q u i v a l e n t t o a j u r i d i c a l f a c t as d e f i n e d e a r l i e r — a f a c t o r combination o f f a c t s which c r e a t e s r i g h t s and d u t i e s . 3 5 R e g a r d l e s s of whether an a c t o r event i s j u r i d i c a l l y r e l e v a n t o r not, i n o r d e r f o r i t t o e x i s t , i t must be e x t e r n a l l y m a n i f e s t e d and, consequently, be p e r c e i v e d o r be p e r c e i v a b l e . Although t h i s m a n i f e s t a t i o n may take e i t h e r an o r a l or a w r i t t e n form, t h i s t h e s i s i s o n l y i n t e r e s t e d i n those a c t s which take a w r i t t e n form, s i n c e they produce documents. The term " w r i t t e n " i s used t o mean any method of r e c o r d i n g or c a p t u r i n g a f a c t on a l a s t i n g medium. Thus, a " w r i t t e n document" may r e f e r e q u a l l y t o a l e t t e r , a photograph, or a c a s s e t t e tape. At t h i s p o i n t , a second c l a s s i f i c a t i o n o f documents can be i n t r o d u c e d (see F i g u r e 2). T h i s c l a s s i f i c a t i o n i s based on the w r i t t e n form of the document and i s comprised of two s p e c i e s . The f i r s t s p e c i e s i n c l u d e s those documents whose w r i t t e n form i s r e q u i r e d by law or convention, e i t h e r t o put an a c t i n t o e f f e c t or t o serve as evidence of the a c t ' s o c c u r r e n c e . An a p p l i c a t i o n f o r u n i v e r s i t y entrance i s an example of a r e q u i r e d w r i t t e n form. The u n i v e r s i t y w i l l not c o n s i d e r a student f o r admittance u n l e s s i t r e c e i v e s a w r i t t e n document. The second s p e c i e s of the c l a s s i f i c a t i o n 38 FIGURE 2 CLASSIFICATION BASED ON WRITTEN FORM OF DOCUMENT DOCUMENTS WRITTEN FORM REQUIRED WRITTEN FORM DISCRETIONARY DISPOSITIVE PROBATIVE SUPPORTING NARRATIVE encompasses those documents whose creation i s discretionary. That i s , the document i s a r e s u l t of a choice to record the act i n written form rather than to manifest i t o r a l l y . For example, someone may choose to write to a f r i e n d instead of phoning him/her. The r e s u l t i n g l e t t e r i s a discretionary written form. 3 6 Each species may be further subdivided according to the purpose of the written form. With respect to the f i r s t species, where the written form of an act i s required, the document produced may be one of two types. I f the act i s of such a kind that i t can only come into existence by means of a document, then the document i s d i s p o s i t i v e . I f the act takes place o r a l l y or phy s i c a l l y , but requires a document to constitute evidence of i t s occurrence, then the document i s probative. In the f i r s t case, the document i s the act; i n the second case, the document refe r s to the act. An example of a d i s p o s i t i v e document i s a conveyance; the tra n s f e r of land ownership does not l e g a l l y occur u n t i l both p a r t i e s have indicated t h e i r consent by signing the document. The moment of action occurs i n the completion of the record. An example of a probative document i s a marriage r e g i s t e r ; the act of marriage occurs i n a ceremony that has immediate e f f e c t s and i s recognized by the law, but the marriage r e g i s t e r must be signed to serve as written evidence that the act took place. The moment of action occurs p r i o r to, and independently of, the document.37 40 With r e g a r d t o the second s p e c i e s , when the w r i t t e n form i s d i s c r e t i o n a r y , the documents produced r e f e r t o an a c t o r a c t i v i t y , and may a l s o be d i v i d e d i n t o two t y p e s : (a) s u p p o r t i n g documents—those c o n s t i t u t i n g w r i t t e n evidence o f an a c t i v i t y which does not r e s u l t i n a j u r i d i c a l a c t , but which i s i t s e l f j u r i d i c a l l y r e l e v a n t ; and (b) n a r r a t i v e documents—those c o n s t i t u t i n g w r i t t e n evidence of • • • • • • • • 38 an a c t i v i t y which i s j u r i d i c a l l y i r r e l e v a n t . An example of the f i r s t type of document i s a p r o f e s s o r ' s l e c t u r e notes. G i v i n g l e c t u r e s t o students does not r e s u l t i n a j u r i d i c a l a c t ; i t does not e s t a b l i s h l e g a l r e l a t i o n s w i t h anyone, nor does i t produce l e g a l consequences. N e v e r t h e l e s s , l e c t u r i n g i s p a r t o f the p r o f e s s o r ' s t e a c h i n g f u n c t i o n and i s j u r i d i c a l l y r e l e v a n t t o the e x t e n t t h a t i t i s an i n t e g r a l p a r t of f u l f i l l i n g the p r o f e s s o r ' s r e s p o n s i b i l i t i e s . While the l e c t u r e notes are n e i t h e r p r o b a t i v e nor d i s p o s i t i v e documents, they do p r o v i d e evidence of an a c t i v i t y w i t h j u r i d i c a l s i g n i f i c a n c e . An example o f n a r r a t i v e documents i s correspondence between two s c i e n t i s t s comparing t h e i r r e s e a r c h r e s u l t s . The c o n s u l t a t i o n between the two c o l l e a g u e s i s a j u r i d i c a l l y i r r e l e v a n t a c t as i t i s i n no way r e q u i r e d o f e i t h e r s c i e n t i s t , nor i s i t intended t o produce any l e g a l consequences. R e t u r n i n g t o the f i r s t s p e c i e s i n t h i s c l a s s i f i c a t i o n , a c a r e f u l study of p r o b a t i v e and d i s p o s i t i v e documents 41 r e v e a l s t h a t these documents are r e c o r d e d t r a n s a c t i o n s , as d e f i n e d e a r l i e r : they are intended t o convey i n f o r m a t i o n f o r the purpose o f a d m i n i s t e r i n g a person's i n t e r e s t s . Furthermore, i t may be noted t h a t p r o b a t i v e and d i s p o s i t i v e documents are u s u a l l y c r e a t e d i n c o n n e c t i o n w i t h j u r i d i c a l a c t s . T h e i r w r i t t e n form i s r e q u i r e d because they e i t h e r r e f e r t o an a c t which i s l e g a l l y r e c o g n i z e d as a f f e c t i n g r i g h t s and d u t i e s , or they put such an a c t i n t o e f f e c t . S i n c e a r i g h t can o n l y e x i s t as a r e l a t i o n s h i p between two o r more persons, p r o b a t i v e and d i s p o s i t i v e documents can be c o n s i d e r e d a s p e c i a l type of recorded t r a n s a c t i o n : the embodiment of i n f o r m a t i o n which must be conveyed t o o t h e r s i n r e l a t i o n t o a r i g h t or d u t y . 3 9 Thus, p r o b a t i v e and d i s p o s i t i v e documents are a sub-set o f r e c o r d s and may be c a l l e d " l e g a l r e c o r d s " because o f t h e i r d i r e c t r e l a t i o n s h i p t o r i g h t s and d u t i e s . A r c h i v i s t s and r e c o r d s managers o f t e n use t h e phrase " l e g a l r e c o r d s " t o r e f e r t o the provenance o f the r e c o r d s . A l l r e c o r d s from a c o u r t , law f i r m , lawyer, or j u r i s t are c a l l e d l e g a l r e c o r d s i n much the same way t h a t r e c o r d s accumulated by a church are c a l l e d church r e c o r d s o r r e l i g i o u s a r c h i v e s . 4 0 However, these r e c o r d s may i n c l u d e the a c c o u n t i n g r e c o r d s of the law f i r m ' s Finance Department, the p e r s o n n e l r e c o r d s of the Human Resources Department, and so on. Many of these r e c o r d s may have no d i r e c t l e g a l s i g n i f i c a n c e . T h i s usage o f the term i s o f l i t t l e h e l p i n 42 t h i s t h e s i s , which i s concerned s p e c i f i c a l l y with the l e g a l nature of records, regardless of t h e i r provenance. For the purposes of t h i s t h esis, therefore, " l e g a l records" w i l l be defined as: those records which eith e r execute or are written evidence of acts or events which create, transfer, modify^ maintain, or extinguish l e g a l r i g h t s and duties. Legal records are distinguished from records i n general i n that they are expressly created for the purpose of a f f e c t i n g l e g a l r i g h t s and duties. 4 1 In contrast to l e g a l records, supporting and narrative documents are not intended to have a d i r e c t connection with l e g a l r i g h t s and duties. They are non-legal documents. They convey information, but do not e s t a b l i s h a l e g a l r e l a t i o n s h i p between the parties involved. For example, Sarah may send a l e t t e r to her f r i e n d accepting her friend's i n v i t a t i o n to dinner. By s t a t i n g her acceptance, Sarah i s promising her attendance at the dinner. However, no l e g a l agreement has been created; the f r i e n d does not have a l e g a l r i g h t to demand Sarah's attendance or to seek compensation i f Sarah should f a i l to appear at the dinner. The acceptance i s a transaction only i n the philosophical sense of being an act which mutually a f f e c t s or r e c i p r o c a l l y influences two or more par t i e s . I t i s not a transaction i n 43 the l e g a l sense of e s t a b l i s h i n g l e g a l r e l a t i o n s between the p a r t i e s . Hence, the l e t t e r i s a n o n - l e g a l document. As mentioned a t the b e g i n n i n g of t h i s chapter, t h e r e i s sometimes a c o r r e l a t i o n between the s p e c i e s o f d i f f e r e n t documentary c l a s s i f i c a t i o n s . Such i s the case w i t h t h e two c l a s s i f i c a t i o n s p resented here, where the purpose o f the document and the a c t i v i t y t h a t generated i t may be r e l a t e d (see T a b l e I ) . For example, because d i s p o s i t i v e and p r o b a t i v e documents must be c r e a t e d t o convey i n f o r m a t i o n about r i g h t s and d u t i e s (an a d m i n i s t r a t i v e c o n c e r n ) , they w i l l always be recorded t r a n s a c t i o n s , or r e c o r d s . On the o t h e r hand, s i n c e manuscripts, by d e f i n i t i o n , are not intended t o a c h ieve r e s u l t s e s s e n t i a l t o a person * s c o n t i n u e d f u n c t i o n i n g , they cannot have any d i r e c t r e l a t i o n s h i p t o l e g a l r i g h t s and d u t i e s . Hence, they must be e i t h e r s u p p o r t i n g or n a r r a t i v e documents. A s u p p o r t i n g document w i l l be a r e c o r d i f i t c o n s t i t u t e s evidence o f a j u r i d i c a l l y r e l e v a n t a c t i v i t y and a l s o conveys i n f o r m a t i o n f o r an a d m i n i s t r a t i v e purpose, such as correspondence t h a t s e t s the framework f o r an agreements between two p a r t i e s . A s u p p o r t i n g document w i l l be a manuscript i f i t a r i s e s from a p e r s o n a l a c t i v i t y or i s not meant t o be communicated i n i t s w r i t t e n form, such as the p r o f e s s o r ' s l e c t u r e notes c i t e d e a r l i e r . N a r r a t i v e documents can never be born as r e c o r d s , s i n c e they c o n s t i t u t e evidence of a j u r i d i c a l l y i r r e l e v a n t a c t i v i t y . 44 TABLE I CORRELATION BETWEEN TWO CLASSIFICATIONS OF DOCUMENTS DISPOSITIVE PROBATIVE SUPPORTING NARRATIVE RECORDS X X X MANUSCRIPTS X X T h i s c h a p t e r has shown t h a t the r e l a t i o n s h i p between documents and the f a c t s t h a t appear i n documents i s a r e c i p r o c a l one. Documents embody f a c t s , t r a n s m i t t i n g them through time and p r o t e c t i n g t h e i r memory. On the o t h e r hand, the type of f a c t determines the nature of the document and i t s r o l e i n an a c t . For i n s t a n c e , a c t s which are m a n i f e s t e d i n w r i t t e n form and which a f f e c t r i g h t s and d u t i e s produce a type of r e c o r d t h a t w i l l be c a l l e d l e g a l r e c o r d s . However, l e g a l r e c o r d s are not the o n l y type o f document t h a t may be a f f e c t e d by law, o r t h a t may have some e f f e c t i n law. The next chapter w i l l examine more c l o s e l y what c o n s t i t u t e s l e g a l v a l u e i n g e n e r a l and how t h a t concept r e l a t e s t o documents. 46 CHAPTER TWO COMPONENTS OF LEGAL VALUE L e g a l v a l u e i s o f t e n l i s t e d i n a r c h i v a l and r e c o r d s management l i t e r a t u r e as one of the v a r i o u s v a l u e s t h a t a document may have. 1 U n f o r t u n a t e l y , the terra i s u s u a l l y o n l y vaguely d e f i n e d , o f f e r i n g l i t t l e guidance t o the a r c h i v i s t s e e k i n g t o determine whether or not a p a r t i c u l a r body of documents has l e g a l v a l u e . For example, the I n t e r n a t i o n a l C o u n c i l of A r c h i v e s ' D i c t i o n a r y of A r c h i v a l Terminology d e f i n e s l e g a l v a l u e as "the v a l u e of r e c o r d s / a r c h i v e s f o r the conduct of c u r r e n t or f u t u r e l e g a l b u s i n e s s and/or as evidence t h e r e o f , " 2 w h i l e the Maedke, Robek, and Brown r e c o r d s management manual d e f i n e s l e g a l v a l u e as "value i n h e r e n t i n r e c o r d s t h a t p r o v i d e l e g a l p r o o f o f b u s i n e s s t r a n s a c t i o n [ s ] . " 3 The problem w i t h these d e f i n i t i o n s i s t h a t they o f f e r no e x p l a n a t i o n of the concepts of l e g a l b u s i n e s s , evidence, or p r o o f — k e y elements t o understanding l e g a l v a l u e . T h i s chapter w i l l e x p l o r e t h e s e concepts, drawing upon the d i s c u s s i o n of j u r i d i c a l f a c t s developed i n the l a s t c h a p t e r and a l s o upon the r u l e s of evidence developed by the E n g l i s h l e g a l system over the c e n t u r i e s . As a r e s u l t o f t h i s examination, the c h a p t e r w i l l i d e n t i f y the main components of l e g a l v a l u e . I n t r i n s i c t o t h i s d i s c u s s i o n i s a c o n s i d e r a t i o n o f whether l e g a l v a l u e e x i s t s i n dependently o f context, o r whether i t i s determined by cir c u m s t a n c e s ; whether l e g a l v a l u e can be a c q u i r e d o r l o s t over time; and whether p o t e n t i a l l e g a l v a l u e i s an i d e n t i f i a b l e e n t i t y . 4 F i n a l l y , t h i s c h a p t e r w i l l c o n s i d e r whether l e g a l r e c o r d s a u t o m a t i c a l l y have l e g a l v a l u e , and whether i t i s p o s s i b l e f o r n o n - l e g a l documents t o have l e g a l v a l u e . As d i s c u s s e d i n the p r e v i o u s chapter, a c t i v i t i e s t h a t a f f e c t r i g h t s and d u t i e s are c a l l e d j u r i d i c a l a c t s and have l e g a l s i g n i f i c a n c e w i t h i n the j u r i d i c a l system i n which they took p l a c e . I f such a c t s are expressed i n w r i t t e n form, the r e s u l t i n g documents ( d i s p o s i t i v e o r p r o b a t i v e records) n e c e s s a r i l y a l s o have l e g a l s i g n i f i c a n c e . They embody a j u r i d i c a l a c t and are r e c o g n i z e d by the law as p r o v i d i n g d i r e c t a ccess t o t h a t a c t . Thus, they have l e g a l v a l u e . In t h i s case, the l e g a l v a l u e o f the r e c o r d d e r i v e s from the j u r i d i c a l nature o f the f a c t i t r e p r e s e n t s , supported by the d i r e c t r e l a t i o n s h i p between the f a c t and the r e c o r d . Non-legal documents do not have t h i s d i r e c t r e l a t i o n s h i p w i t h j u r i d i c a l f a c t s . They are not produced under the requirement o f, o r w i t h the i n t e n t i o n o f , embodying a j u r i d i c a l f a c t . Rather, they are produced f o r v a r i o u s a d m i n i s t r a t i v e , f i s c a l , c u l t u r a l , h i s t o r i c a l , o r s e n t i m e n t a l purposes. N e v e r t h e l e s s , they may have an i n d i r e c t l i n k w i t h a j u r i d i c a l f a c t . For example, an author 48 whose book i s being published w i l l correspond with the publisher about a va r i e t y of matters. The l e t t e r s are c l a s s i f i e d as supporting documents created for administrative purposes. They do not themselves produce a j u r i d i c a l act; they do not a l t e r any l e g a l r e l a t i o n s between the author and publisher. However, while not d i r e c t l y related to a j u r i d i c a l act, the l e t t e r s are part of an a c t i v i t y that leads to a contract and to pu b l i c a t i o n . I f the f i n a l contract with the p u b l i s h e r — a d i s p o s i t i v e record—were accidentally destroyed, the l e t t e r s could serve as evidence of the contract terms that were being negotiated between the author and publisher. The l e t t e r s would gain l e g a l value at that point. Thus, the f i r s t component of l e g a l value i s a relationship, whether d i r e c t or i n d i r e c t , between a document and a j u r i d i c a l fact or f a c t s . Circumstances can play a major ro l e i n determining whether a document has a l e g a l l y s i g n i f i c a n t l i n k with a j u r i d i c a l f a c t . In the example mentioned above, the l e t t e r s gain l e g a l value because no other documents survive. I f the contract were available, i t would provide proof that an agreement between the author and publisher had been reached, and the l e t t e r s would not be needed. Circumstances may also change the nature of a fact from one which i s j u r i d i c a l l y i r r e l e v a n t to one which i s j u r i d i c a l l y relevant. J u r i s t S i r Frederick Pollock provides an excellent example of t h i s s i t u a t i o n i n h i s F i r s t Book of Jurisprudence f o r Students of 49 the Common Law. S i r F r e d e r i c k begins by s t a t i n g t h a t the f a l l i n g o f an apple from a man's own t r e e on h i s own ground has no l e g a l import. No one's r i g h t s a re a f f e c t e d i n any way, and the law does not care whether the owner p i c k s up the apple o r not, o r whether he e a t s i t or not. However, i f the apple f a l l s from a branch p r o j e c t i n g a metre beyond the owner's p r o p e r t y boundary and lands on a neighbour's l a n d , many q u e s t i o n s o f l e g a l import a r i s e . Does t h e apple s t i l l b e long t o the owner of the t r e e ? I s he f r e e t o r e t r i e v e i t from h i s neighbour's l a n d , o r must he ask the neighbour's p e r m i s s i o n ? Does i t belong t o the neighbour? I f so, does the neighbour owe any compensation t o the former owner, the owner o f the t r e e ? I f a t r e s p a s s e r comes and take s the apple, whom has he/she wronged? 5 In the above example, a s m a l l change i n circumstances transformed an i r r e l e v a n t event i n t o one w i t h p o t e n t i a l l e g a l importance ( p o t e n t i a l because the apple may r o t b e f o r e e i t h e r man concerns h i m s e l f w i t h i t , o r because n e i t h e r man may wish t o make an i s s u e o f the event and the q u e s t i o n o f ownership may be s e t t l e d without e i t h e r man r e a l i z i n g t h a t i t ever was an i s s u e ) . S i m i l a r l y , a document may o r i g i n a l l y embody a j u r i d i c a l l y i r r e l e v a n t f a c t and t h e r e f o r e have no l e g a l v a l u e . I f a law changes, though, and the f a c t becomes one which a f f e c t s somebody's r i g h t s , then the document g a i n s l e g a l v a l u e because i t i s now l i n k e d t o a j u r i d i c a l f a c t . Changing circumstances may a l s o a f f e c t l e g a l r e c o r d s i n a 50 l i k e manner; although they a l r e a d y have l e g a l v a l u e , they may g a i n a d d i t i o n a l v a l u e f o r l e g a l purposes o t h e r than those f o r which they were o r i g i n a l l y c r e a t e d . The f i r s t component of l e g a l v a l u e i s dependent upon some c o n t e x t . F i r s t , j u r i d i c a l f a c t s are such o n l y w i t h i n a j u r i d i c a l system t h a t r e c o g n i z e s t h e i r consequences. Without t h i s c o n t e x t , they would not have j u r i d i c a l r e l e v a n c e . Second, h i s t o r i c a l c o n d i t i o n s , such as changes i n laws, may c r e a t e or d e s t r o y the j u r i d i c a l q u a l i t y o f f a c t s . The circumstances of an i n d i v i d u a l event, such as one apple f a l l i n g i n a d i f f e r e n t p l a c e than u s u a l , may a l s o a f f e c t the j u r i d i c a l r e l e v a n c e of a f a c t . In each case, the l e g a l v a l u e o f the documents t h a t embody those f a c t s w i l l be a f f e c t e d . Time can a l s o be a f a c t o r t h a t a f f e c t s t h i s f i r s t component o f l e g a l v a l u e . For example, the owner o f a new s t e r e o system may be r e q u i r e d t o r e g i s t e r the f a c t of h i s / h e r ownership and the date of purchase w i t h the manufacturer i n o r d e r t o be covered by the manufacturer's f i v e - y e a r warranty on the p a r t s of the system. The owner's copy o f the r e g i s t r a t i o n form has l e g a l v a l u e as i t p r o v i d e s evidence of the owner's r i g h t t o have p a r t s f i x e d o r r e p l a c e d i f something goes wrong. Once the f i v e y e a r p e r i o d e x p i r e s , though, the form no l o n g e r has t h a t p a r t i c u l a r l e g a l v a l u e s i n c e the warranty between the owner and the manufacturer has ended. The e x p i r e d warranty, however, may 51 have l e g a l v a l u e f o r o t h e r purposes. For example, i t i s p r o o f of the f a c t of e x p i r y , another j u r i d i c a l f a c t . I t c o u l d a l s o be used as p r o o f o f the date o f purchase, which the owner may need even a f t e r the warranty's e x p i r y . The p o i n t i s t h a t time has changed the v a l u e of the document. As another example, a sum o f money may be h e l d i n t r u s t under a w i l l f o r a b e n e f i c i a r y u n t i l he/she reaches the age of twenty-one. On h i s / h e r t w e n t y - f i r s t b i r t h d a y , the b e n e f i c i a r y has the immediate r i g h t t o possess and spend the money however he/she p l e a s e s . A f t e r r e c e i v i n g the money from the t r u s t e e , the b e n e f i c i a r y becomes i t s a b s o l u t e owner and the w i l l ceases t o have l e g a l v a l u e f o r the purpose o f e s t a b l i s h i n g the b e n e f i c i a r y ' s i n t e r e s t i n the t r u s t money. Thus, l e g a l v a l u e i s not always s t a t i c . Some documents may have long-term l e g a l v a l u e , w h i l e o t h e r s may g a i n o r l o s e i t over time. In a sense, a l l documents have p o t e n t i a l l e g a l v a l u e s i n c e one cannot p r e d i c t what time or circumstances may do t o c r e a t e l e g a l v a l u e i n a p a r t i c u l a r document. R e a l i s t i c a l l y , though, a narrower approach t o l e g a l v a l u e and p o t e n t i a l l e g a l v a l u e i s r e q u i r e d i f the concept i s t o have any u s e f u l n e s s f o r a r c h i v a l a p p r a i s a l . Hence, l e g a l r e c o r d s can be s a i d t o have a c t u a l l e g a l v a l u e when they are l i n k e d t o an e x i s t i n g j u r i d i c a l f a c t . Documents without c u r r e n t l e g a l v a l u e (whether they are n o n - l e g a l documents, o r l e g a l r e c o r d s whose v a l u e has expired) may be c o n s i d e r e d 52 t o have p o t e n t i a l l e g a l v a l u e i f they a r e d i r e c t l y o r i n d i r e c t l y r e l a t e d t o a j u r i d i c a l f a c t , and i f t h e y a r e l i k e l y t o be r e q u i r e d as e v i d e n c e o f t h a t f a c t . P o t e n t i a l l e g a l v a l u e e x i s t s o n l y when t h e r e a r e f o r e s e e a b l e c i r c u m s t a n c e s t h a t may a f f e c t the l e g a l v a l u e o f t h e document. F o r example, i t may be known t h a t o t h e r r e c o r d s a r e no t a v a i l a b l e , o r the documents may r e l a t e t o an i s s u e t h a t w i l l soon be i n v e s t i g a t e d by a government commiss ion . The f a c t t h a t the documents may g a i n l e g a l v a l u e i n some u n f o r e s e e n t ime and p l a c e does not g i v e the documents p o t e n t i a l l e g a l v a l u e . The r e l a t i o n s h i p between a document and a j u r i d i c a l f a c t i s o n l y one component o f l e g a l v a l u e . O t h e r components o f l e g a l v a l u e r e l a t e t o the use o f documents as l e g a l e v i d e n c e . In g e n e r a l , e v i d e n c e may be d e f i n e d as the means by which an event i s demons tra ted . L e g a l l y , i t i s t h e means by which a f a c t i n i s s u e may be e i t h e r e s t a b l i s h e d o r d i s p r o v e d . One f a c t i s r e l e v a n t o r c i r c u m s t a n t i a l e v i d e n c e o f a n o t h e r when i t t ends i n any degree t o r e n d e r t h e e x i s t e n c e o f t h a t o t h e r f a c t p r o b a b l e . 6 B l a c k ' s Law D i c t i o n a r y d e f i n e s e v i d e n c e as "any m a t t e r o f f a c t , t h e e f f e c t , t e n d e n c y , o r d e s i g n o f which i s t o produce i n the mind a p e r s u a s i o n o f the e x i s t e n c e o r n o n e x i s t e n c e o f some m a t t e r o f f a c t ; . . . t h a t which d e m o n s t r a t e s , makes c l e a r , o r a s c e r t a i n s the t r u t h o f the v e r y f a c t o r p o i n t i n i s s u e , e i t h e r on the one s i d e o r on the o t h e r . " 7 E v i d e n c e i s t h u s 53 a r e l a t i v e term, s i g n i f y i n g a l o g i c a l r e l a t i o n s h i p between two f a c t s : the p r o p o s i t i o n t o be e s t a b l i s h e d (the "factum probandum") and the e v i d e n t i a r y f a c t (the "factum probans"). From the e v i d e n t i a r y f a c t , the e x i s t e n c e o r non-existence o f the p r o p o s i t i o n may be i n f e r r e d . Depending upon the nature of t h e d i s p u t e , any s p e c i f i c f a c t may be e i t h e r a p r o p o s i t i o n o r an e v i d e n t i a r y f a c t . 8 For example, a c o n t r a c t o f s a l e may be e i t h e r the f a c t a t i s s u e i n a c o u r t case (the p r o p o s i t i o n ) , o r a f a c t which p r o v i d e s evidence o f the s a l e (an e v i d e n t i a r y f a c t ) w i t h i n the c o n t e x t o f another i s s u e . In the law of evidence, an a l l e g a t i o n o f f a c t i s s a i d t o be proven when the t r i e r o f f a c t ( j u r y o r judge s i t t i n g w ithout a j u r y ) i s convinced o f i t s t r u t h . T h i s c o n v i c t i o n may be based on a s i n g l e e v i d e n t i a r y f a c t o r on an accumulation o f such f a c t s . A s i n g l e e v i d e n t i a r y f a c t does not need t o prove a p r o p o s i t i o n i n o r d e r t o be c o n s i d e r e d r e l e v a n t as evidence. That i s , the i n f e r e n c e s t h a t may be drawn from the e v i d e n t i a r y f a c t need not be c o n c l u s i v e , but merely worth c o n s i d e r a t i o n i n the i n v e s t i g a t i o n o f some p r o p o s i t i o n . I f many e v i d e n t i a r y f a c t s are r e q u i r e d t o produce the degree of c o n v i c t i o n c a l l e d p r o o f , then each of the f a c t s i s r e l e v a n t and has p r o b a t i v e v a l u e . 9 Evidence may take many forms. Most commonly, evidence may be pres e n t e d through the testimony o f witn e s s e s , documents, o r r e a l evidence. More s p e c i f i c a l l y , documentary 54 evidence i s d e f i n e d as evidence s u p p l i e d by w r i t i n g s or " d e r i v e d from c o n v e n t i o n a l symbols (such as l e t t e r s ) by which i d e a s are r e p r e s e n t e d on m a t e r i a l s u b s t a n c e s . 1 1 1 0 T h i s c a t e g o r y o f evidence t h e r e f o r e i n c l u d e s a l l documents as d e f i n e d i n the p r e v i o u s chapter. In the E n g l i s h l e g a l system, a l l forms of evidence, and documentary evidence i n p a r t i c u l a r , are governed by the law of evidence. These r u l e s p r e s c r i b e the manner o f p r e s e n t i n g evidence, the procedures f o r examining evidence, and the c l a s s e s o f t h i n g s t h a t cannot be r e c e i v e d as evidence. The development of these r u l e s i s u s u a l l y a t t r i b u t e d t o the r i s e o f t r i a l by j u r y i n England. A b r i e f h i s t o r y o f the e v o l u t i o n o f these r u l e s w i l l h e l p t o show t h e i r purposes. The o l d forms of t r i a l common i n England between A.D. 700 and A.D. 1200 o f t e n sought t o prove f a c t s not by examining evidence of the f a c t s , but by s u b j e c t i n g the accused t o t r i a l by o r d e a l o r by b a t t l e . In t h e s e t r i a l s , t he accused d e c l a r e d the f a c t s a t i s s u e and then underwent some t e s t o f f i r e o r water, or met the accuser i n combat. Success i n the o r d e a l or the b a t t l e was c o n s i d e r e d t o prove the t r u t h of the d e c l a r a t i o n . 1 1 Another form o f t r i a l a t t h i s time was t r i a l by w i t n e s s e s . T h i s form focused more on the f a c t s a t i s s u e and was based on the requirement t h a t c e r t a i n t r a n s a c t i o n s had t o take p l a c e b e f o r e p r e v i o u s l y appointed w i t n e s s e s . In the case of c o n t r o v e r s y , the o r a l t estimony of these witnesses, sworn w i t h a l l due form b e f o r e 55 the c o u r t , d e c i d e d the i s s u e . 1 2 The o n l y r u l e o f evidence needed, though, was the form of oath f o r the w i t n e s s e s . There was no q u e s t i o n of who c o u l d p r e s e n t evidence or what c o u l d be presented: i t was accepted t h a t o n l y those who had been p r e s e n t a t the t r a n s a c t i o n c o u l d g i v e testimony and t h a t they would speak the t r u t h about what they had witnessed. In the e l e v e n t h century, the Normans i n t r o d u c e d a new form o f t r i a l i n t o England: the i n q u i s i t i o n . In t h i s form, the judge summoned a number of members of the community who had p e r s o n a l knowledge of the f a c t s i n q u e s t i o n and asked q u e s t i o n s o f them. G r a d u a l l y , t r i a l by j u r y developed and the people who had been c a l l e d from the community f o r an i n q u i s i t i o n became the j u r o r s i n a t r i a l . As i n the i n q u i s i t i o n , these people were r e l i e d upon t o have f i r s t - hand knowledge of the f a c t s and t h e r e f o r e d i d not need t o seek i n f o r m a t i o n from o t h e r witnesses. As s o c i e t y developed and became more complex, however, i t was not always p o s s i b l e t o have a j u r y w i t h p e r s o n a l knowledge o f the f a c t s . By the s i x t e e n t h and seventeenth c e n t u r i e s , the c h i e f source o f i n f o r m a t i o n f o r E n g l i s h j u r i e s had become the sworn testimony of witnesses, and i t was assumed t h a t the j u r y o n l y knew t h a t which was p u b l i c l y s t a t e d i n c o u r t . At t h i s p o i n t , q u e s t i o n s arose about what the j u r y s hould hear. There was a g e n e r a l b e l i e f t h a t , i n the i n t e r e s t s of a f a i r and i m p a r t i a l t r i a l , the j u r y should be p r o t e c t e d from f a l s e testimony, hearsay, and p r e j u d i c i a l evidence. Rules o f evidence were t h e r e f o r e d e v i s e d t o bar evidence t h a t was untrustworthy, i r r e l e v a n t , c o n f u s i n g , p r e j u d i c i a l , o r a waste o f the c o u r t ' s time. The r u l e s a l s o e s t a b l i s h e d p r a c t i c e s f o r a t t e s t i n g w itnesses, oaths, and some documentary o r i g i n a l s . These r u l e s , developed by the judges, became the common law r u l e s o f evidence ( i . e . , they were not e s t a b l i s h e d by s t a t u t e ) . In the n i n e t e e n t h and e a r l y t w e n t i e t h c e n t u r i e s , the E n g l i s h P a r l i a m e n t enacted l e g i s l a t i o n embodying v a r i o u s forms and a l t e r a t i o n s o f these r u l e s . The law of evidence i n England has s i n c e formed the b a s i s o f the laws of evidence i n most E n g l i s h - s p e a k i n g c o u n t r i e s , but each j u r i s d i c t i o n , i n c l u d i n g England i t s e l f , c o n t i n u a l l y m o d i f i e s the law t o meet changing s o c i a l needs. 1 3 Documents were w i d e l y accepted i n common law as evidence o n l y from about the mid-nineteenth c e n t u r y . H i s t o r i c a l l y , t h e major o b j e c t i o n t o documentary evidence was t h a t documents c o u l d be fo r g e d o r i n a c c u r a t e , and c o u l d not be s u b j e c t e d t o cros s - e x a m i n a t i o n . There had t o be some ot h e r means o f a s s u r i n g the c o u r t t h a t the documents i n q u e s t i o n were a c c u r a t e and r e l i a b l e , some way o f p r o v i n g t h e i r t r u s t w o r t h i n e s s . For t h i s reason, the e a r l i e s t documents t o be accepted i n evidence were s e a l e d p u b l i c r e c o r d s . The o f f i c i a l nature o f the r e c o r d was c o n s i d e r e d t o be an i n d i c a t i o n o f i t s r e l i a b i l i t y , and the s e a l served 57 as a r e c o g n i z e d form of a u t h e n t i c a t i o n . As b u s i n e s s procedures became s t a n d a r d i z e d , l e g i s l a t u r e s enacted b u s i n e s s r e c o r d s p r o v i s i o n s i n t h e i r Evidence A c t s t h a t enabled t h e c o u r t s t o accept c e r t a i n k i n d s of r e c o r d s as p r o o f o f b u s i n e s s t r a n s a c t i o n s , p r o v i d e d t h a t the r e c o r d s met s p e c i f i c c r i t e r i a o f a d m i s s i b i l i t y . G r a d u a l l y , documents of v a r i o u s k i n d s were used t o supplement o r a l testimony and then, i n many cases, they came t o s u p p l a n t i t . Today, the r u l e s o f evidence govern the a d m i s s i b i l i t y o f any document t h a t a p a r t y may wish t o p r e s e n t on h i s / h e r b e h a l f . 1 4 The r u l e s of a d m i s s i b i l i t y f o r any form o f evidence are designed t o ensure t h a t the c o u r t w i l l o n l y hear t h a t which i s p e r t i n e n t and u s e f u l t o the case under c o n s i d e r a t i o n . The r e s p o n s i b i l i t y f o r d e t e r m i n i n g a d m i s s i b i l i t y i s a matter of law, and i s d e c i d e d by the t r i a l judge. At t h i s p o i n t , the judge o n l y c o n s i d e r s whether a matter o f f e r e d as evidence passes a l l the a d m i s s i b i l i t y t e s t s . He or she makes no o t h e r judgment about the evidence. The v a l u e of the evidence i n e s t a b l i s h i n g a p r o p o s i t i o n i s c a l l e d "weight." U n l i k e a d m i s s i b i l i t y , which i s a matter of law, weight i s a q u e s t i o n of f a c t and i s determined by the j u r y d u r i n g the course of the t r i a l ( i n a t r i a l by judge alone, the judge a c t s i n two d i f f e r e n t c a p a c i t i e s t o determine both a d m i s s i b i l i t y and w e i g h t ) . 1 5 58 The f i r s t c r i t e r i o n f o r a d m i s s i b i l i t y i s t h a t o f r e l e v a n c y . Any matter o f f e r e d i n evidence must be l o g i c a l l y r e l e v a n t t o a m a t e r i a l i s s u e i n the case. I f the matter i s r e l e v a n t , then i t i s a d m i s s i b l e , s u b j e c t t o whatever r u l e s of evidence e x i s t f o r p a r t i c u l a r k i n d s o f e v i d e n c e . 1 6 For documentary evidence, the t h r e e main e x c l u s i o n a r y r u l e s a re: b e s t evidence, a u t h e n t i c a t i o n , and hearsay. The b e s t evidence r u l e a p p l i e s when the c o u r t i s i n t e r e s t e d i n the contents o f a document, r a t h e r than i n i t s form o r the f a c t o f i t s e x i s t e n c e . The r u l e i s based on the assumption t h a t the f i n e n e s s o f d e t a i l i n a document can be d i s t o r t e d i n a copy, and t h a t the o r i g i n a l document i s the most r e l i a b l e source o f what the document c o n t a i n s . The r u l e t h e r e f o r e r e q u i r e s t h a t the o r i g i n a l document, o r a d u p l i c a t e , be produced whenever p o s s i b l e . I f the o r i g i n a l i s u n a v a i l a b l e , and the p a r t y o f f e r i n g the document can account f o r i t s u n a v a i l a b i l i t y , some form of secondary evidence (such as a copy) w i l l u s u a l l y be accepted. The o r i g i n a l may be u n a v a i l a b l e due t o i t s form ( f o r example, an e l e c t r o n i c r e c o r d o r a document w r i t t e n on a w a l l ) o r t o the f a c t t h a t i t was l o s t o r dest r o y e d . In t h i s l a t t e r case, the o r i g i n a l may not have been l o s t o r de s t r o y e d w i t h the consent of e i t h e r p a r t y ; t h e r e cannot be any s u s p i c i o u s c i rcumstances surrounding the l o s s o r d e s t r u c t i o n . Express e x c e p t i o n s t o the b e s t evidence r u l e a re sometimes found i n s t a t u t o r y p r o v i s i o n s . Due t o the q u a l i t y o f modern copying 59 p r o c e s s e s , the b e s t evidence r u l e i s not as important as i t was h i s t o r i c a l l y . However, i t s main purpose remains v a l i d : i t i s intended t o secure the most r e l i a b l e i n f o r m a t i o n a v a i l a b l e as t o the contents o f documents. 1 7 The r u l e o f a u t h e n t i c a t i o n i s the second e x c l u s i o n a r y r u l e . I t r e q u i r e s t h a t , whenever the co n t e n t s o f a document are o f f e r e d as evidence, the p a r t y o f f e r i n g t he document must i n t r o d u c e some evidence o u t s i d e the document i t s e l f t o demonstrate t h a t i t i s genuine "and i s what i t p u r p o r t s t o 18 » be. Methods of a u t h e n t i c a t i o n v a r y a c c o r d i n g t o the type o f document. J u d i c i a l documents and many government r e c o r d s are a u t h e n t i c a t e d by s t a t u t e . Other r e c o r d s may be a u t h e n t i c a t e d by a q u a l i f i e d o f f i c e r from the o f f i c e o f c r e a t i o n , by the c u s t o d i a n o f the r e c o r d s , o r by some o t h e r q u a l i f i e d w itness who can t e s t i f y t h a t the r e c o r d i s one which i s o r d i n a r i l y kept by the o f f i c e o r the i n s t i t u t i o n . The t h i r d e x c l u s i o n a r y r u l e i s the hearsay r u l e . Hearsay has been d e f i n e d as "a statement o f f e r e d i n evidence t o prove the t r u t h o f the matter a s s e r t e d , but made otherwise than i n testimony a t the proc e e d i n g i n which i t i s o f f e r e d . " 1 9 The elements o f hearsay are: f i r s t , a statement which was not made under oath; second, i t cannot be t e s t e d by cr o s s - e x a m i n a t i o n ; and t h i r d , i t i s o f f e r e d as evidence t o e s t a b l i s h t he t r u t h o f what i s c o n t a i n e d i n i t . Thus, a l l documents t h a t are o f f e r e d as evidence o f the t r u t h o f t h e i r c o ntents are hearsay and are o n l y a d m i s s i b l e as evidence i f they f a l l w i t h i n an e x c e p t i o n t o the hearsay r u l e . In the E n g l i s h l e g a l system, most of the e x c e p t i o n s t o t he hearsay r u l e are based on two p r i n c i p l e s : n e c e s s i t y , and the e x i s t e n c e o f some c i r c u m s t a n t i a l guarantees o f t r u s t w o r t h i n e s s . The f i r s t p r i n c i p l e , n e c e s s i t y , r e f e r s t o the f a c t t h a t o f t e n a document i s the o n l y convenient way t o put the i n f o r m a t i o n i n q u e s t i o n b e f o r e the c o u r t . The second p r i n c i p l e a l l o w s the c o u r t t o accept the circumstances o f a document's c r e a t i o n as an adequate s u b s t i t u t e f o r the t r a d i t i o n a l safeguard o f c r o s s - examination . 2 0 The v a r i o u s e x c e p t i o n s t o the hearsay r u l e f o r documentary evidence are beyond the scope o f t h i s t h e s i s ; however, the g e n e r a l circumstances o f c r e a t i o n which are accepted as an i n d i c a t i o n o f the r e l i a b i l i t y o f r e c o r d s can be c o n s i d e r e d . The requirements s t a t e t h a t the r e c o r d s must be c r e a t e d a t , or near, the time o f the event, by someone hav i n g p e r s o n a l knowledge of the matter b e i n g recorded, and who i s under a duty t o make the e n t r y o r the r e c o r d i n the r e g u l a r course o f b u s i n e s s . 2 1 These requirements ensure r e l i a b i l i t y i n s e v e r a l ways. F i r s t , a r e c o r d made contemporaneously w i t h the event ensures a f a i r l y a c c u r a t e r e c o l l e c t i o n o f d e t a i l s s i n c e the human memory has not had time t o be a f f e c t e d by o t h e r events, i n t e r p r e t a t i o n s o f the o r i g i n a l event, o r f o r g e t f u l n e s s . Second, p e r s o n a l knowledge r e q u i r e s the 61 record-creator to have ac t u a l l y p a r t i c i p a t e d i n , or observed, the event. In some cases, there may be a procedure for someone with personal knowledge of an event to r e l a t e that information to someone else who i s responsible for creating the written record (this i s c a l l e d "second-hand hearsay"). In eithe r case, the event speaks through an eyewitness, someone who was present when the event occurred. 2 2 Third, i t has been argued that a duty to make a record implies a duty to make an accurate record. In addition, an inaccurate record means that the record-creator f a i l e d i n some degree to f u l f i l his/her duty and therefore he/she r i s k s censure from his/her employer. Usually, a record i s regarded as being made under a duty when the nature of an o f f i c e or a function " f a i r l y requires or renders appropriate" the making of a record. The concept of duty i s not l i m i t e d to the narrow meaning of statutory or public duty, but includes acts required by a person's professional duty. Preliminary or personal notes made i n the course of performing a duty, though, are not admissible because t h e i r creator i s not accountable to anyone for t h e i r accuracy. On the other hand, documents that are necessarily created i n the f u l f i l m e n t of a duty that produces a d i f f e r e n t record may be admissible. For example, i n order for a heart s p e c i a l i s t to f u l f i l his/her duty to report on a patient's condition to the r e f e r r i n g physician, the s p e c i a l i s t must 6 2 take e l e c t r o - c a r d i o g r a p h p i c t u r e s t o g a i n i n f o r m a t i o n . These p i c t u r e s are e s s e n t i a l t o the performance o f the s p e c i a l i s t ' s duty and t h e r e f o r e must be a c c u r a t e and r e l i a b l e . 2 3 The f o u r t h r e q u i r e m e n t — t h a t a r e c o r d be made i n the r e g u l a r course o f b u s i n e s s — e n s u r e s t h a t the r e c o r d i s not a c a s u a l o r i s o l a t e d event. Rather, i t i s c r e a t e d and m aintained because the o r g a n i z a t i o n r e q u i r e s i t i n o r d e r t o f u n c t i o n p r o p e r l y . Furthermore, s i n c e the r e c o r d i s r e q u i r e d f o r the o r g a n i z a t i o n t o f u n c t i o n , e r r o r s o r i n a c c u r a c i e s are almost c e r t a i n t o be n o t i c e d by those d e a l i n g w i t h the r e c o r d . In s h o r t , i f the government and the b u s i n e s s world are prepared t o r e l y on the accuracy of t h e i r r e c o r d s , and i n e f f e c t r e l y on the standards of a c c u r a c y t h a t they have imposed on t h e i r employees (the r e c o r d - c r e a t o r s ) , then the c o u r t s should a l s o be a b l e t o r e l y on those r e c o r d s . 2 4 Non-records ( i . e . , manuscripts) cannot be a u t h e n t i c a t e d i n t h i s manner s i n c e they are not a r e s u l t o f a r e g u l a r b u s i n e s s a c t i v i t y and t h e i r c ircumstances of c r e a t i o n are not c o n t r o l l e d . The r u l e s o f a d m i s s i b i l i t y f o r manuscripts t h e r e f o r e r e q u i r e t h a t the document be a u t h e n t i c a t e d by the testimony of a witness who s i g n e d the o r i g i n a l document, by the testimony of witnesses who saw the e x e c u t i o n of the document, or by o p i n i o n testimony as t o the h a n d w r i t i n g of the person who s i g n e d the document. These methods focus on 63 w i t n e s s e s t o the i n d i v i d u a l document as an event r a t h e r than on t h e circumstances of the document's c r e a t i o n . Documents t h a t have been n o t a r i z e d or p r o p e r l y r e c o r d e d i n a p u b l i c o f f i c e a re presumed t o be a u t h e n t i c because the c o u r t s accept the r e l i a b i l i t y o f the witness t o the document (the no t a r y p u b l i c o r p u b l i c o f f i c i a l ) r a t h e r than t h e r e l i a b i l i t y o f the document. 2 5 A u t h e n t i c a t i o n of both r e c o r d s and manuscripts r e q u i r e s someone t o t e s t i f y as t o the document's e x e c u t i o n o r t o i d e n t i f y the h a n d w r i t i n g on the document. However, the c o u r t s have t r a d i t i o n a l l y r e c o g n i z e d t h a t a f t e r a l a p s e of time, t h e r e w i l l be no witnesses l e f t t o p r o v i d e such testimony. Consequently, the catego r y of " a n c i e n t documents" was e s t a b l i s h e d : documents o l d e r than twenty or t h i r t y y e a r s (depending upon the j u r i s d i c t i o n ) a re presumed t o be a u t h e n t i c , p r o v i d e d t h a t they come from a n a t u r a l p l a c e of custody. The documents must be shown t o meet the age requirement, and t h e i r p l a c e of custody must be one where i t would be n a t u r a l and reasonable t o f i n d such documents. 2 6 For a r c h i v a l documents, deeds o f g i f t , r e t e n t i o n and d i s p o s i t i o n schedules, and a c c u r a t e r e c o r d s of t r a n s f e r a l l serve t o j u s t i f y the a r c h i v e s as a n a t u r a l p l a c e o f custody f o r the documents i n i t s c a r e . In summary, the r u l e s o f a d m i s s i b i l i t y which apply t o documents a r e : r e l e v a n c y , b e s t evidence, a u t h e n t i c a t i o n , and hearsay. While r e l e v a n c y ensures t h a t documents t h a t 64 a r e admitted t o c o u r t a r e p e r t i n e n t t o the matters a t i s s u e , the r u l e s o f b e s t evidence, a u t h e n t i c a t i o n , and hearsay are a l l concerned w i t h the r e l i a b i l i t y o f the document. The guarantee of r e l i a b i l i t y i s sought through requirements as t o the form of the document (best e v i d e n c e ) , the circumstances of i t s c r e a t i o n , i t s age, and i t s custody, i n a d d i t i o n t o other, more s p e c i f i c requirements not d i s c u s s e d here. R e l i a b i l i t y as a requirement f o r a d m i s s i b i l i t y may t h e r e f o r e be c o n s i d e r e d a component of l e g a l v a l u e . As mentioned e a r l i e r , the a d m i s s i b i l i t y of documentary evidence i s separate from the weight of t h a t evidence. While the judge may d e c i d e t h a t a document passes a l l the r e q u i r e d t e s t s f o r a d m i s s i b i l i t y , the j u r y may f i n d t h a t the q u a l i t y of the evidence i s poor and t h e r e f o r e not worth much c o n s i d e r a t i o n . Or, c r i t i c i s m of the t r u s t w o r t h i n e s s of a document may d e t r a c t from i t s weight. For example, a judge may determine t h a t t h e r e i s s u f f i c i e n t evidence o f r e l i a b i l i t y f o r a reasonable j u r y t o accept t h a t an a c c o u n t i n g l e d g e r i s what i t p u r p o r t s t o be. However, the opponent i n the t r i a l may have evidence t h a t some p a r t of the r e c o r d k e e p i n g process i s u n r e l i a b l e . The l e d g e r i s s t i l l a u t h e n t i c and may be admitted t o c o u r t , but the j u r y may choose t o l a r g e l y d i s r e g a r d i t s c o n t e n t s on the b a s i s of the c r i t i c i s m r a i s e d by the opponent. In another example, a document which i s admitted t o c o u r t may not c o n t a i n a complete memory o f an event. I t may omit d e t a i l s t h a t the 65 j u r y c o n s i d e r s important t o the matter a t i s s u e and t h e r e f o r e i t w i l l not be of much h e l p t o the j u r y . 2 7 Thus, i t i s not s u f f i c i e n t t h a t a document meet a l l a d m i s s i b i l i t y requirements; t o have s i g n i f i c a n t l e g a l v a l u e , the document must a l s o be e f f e c t i v e as evidence o f the f a c t s i t r e p o r t s . U n l i k e a d m i s s i b i l i t y requirements, t h e r e are no laws or r u l e s o f evidence t h a t govern the d e t e r m i n a t i o n o f weight. In c o u r t , the t r i e r o f f a c t c o n s i d e r s the p a r t i c u l a r document on i t s own and i n the con t e x t o f the o t h e r evidence i n t he case, adds some common sense, and then d e c i d e s the document's worth as evidence i n t h a t i n d i v i d u a l case. Weight as an element of l e g a l v a l u e i s t h e r e f o r e d i f f i c u l t f o r anyone t o e v a l u a t e o u t s i d e o f a s p e c i f i c c o u r t case o r i n v e s t i g a t i o n . N e v e r t h e l e s s , i t i s p o s s i b l e t o make some g e n e r a l judgments about a document's worth as an embodiment of f a c t s . In p a r t i c u l a r , a r c h i v i s t s can e v a l u a t e t h a t p a r t of a document's e v i d e n t i a l q u a l i t y t h a t d e r i v e s from i n t r i n s i c documentary elements and i s not a f f e c t e d by cir c u m s t a n c e s . For example, t h e r e may be a s p e c t s o f the r e l a t i o n s h i p between the document-creator and the f a c t s , the nature o f the document's c r e a t i o n , o r the completeness o f the document's forms t h a t do not a f f e c t i t s a d m i s s i b i l i t y , but t h a t do c o n t r i b u t e t o i t s v a l u e by enhancing i t s r e p r e s e n t a t i o n o f an event. Consequently, w e i g h t — i n the narrow sense o f a document's o b j e c t i v e e v i d e n t i a l q u a l i t y — can be c o n s i d e r e d the t h i r d component o f l e g a l v a l u e . 66 I t has been seen t h a t , l i k e t he f i r s t component of l e g a l v a l u e , the second and t h i r d components are a f f e c t e d by changes i n circumstances. Indeed, the same document may be admitted as evidence i n one case, but r e j e c t e d i n another, depending upon the s p e c i f i c s o f each case. These circumstances cannot be c o n t r o l l e d o r p r e d i c t e d by the a r c h i v i s t . Hence, the a r c h i v i s t can o n l y a p p r a i s e those elements o f a d m i s s i b i l i t y and weight t h a t are independent o f circ u m s t a n c e s : the i n t r i n s i c guarantees o f documentary r e l i a b i l i t y , and the completeness of the document's forms. L e g a l v a l u e i s not e x c l u s i v e t o a p a r t i c u l a r documentary s p e c i e s . Rather, any document—whether r e c o r d o r manuscript, l e g a l o r n o n - l e g a l — c a n have a c t u a l o r p o t e n t i a l l e g a l v a l u e i f i t possesses the t h r e e components of l e g a l v a l u e i d e n t i f i e d i n t h i s chapter. By d e f i n i t i o n , l e g a l r e c o r d s a u t o m a t i c a l l y have a c t u a l l e g a l v a l u e as l o n g as the j u r i d i c a l f a c t they embody e x i s t s . Apart from t h i s s i t u a t i o n , however, documents must be a p p r a i s e d f o r l e g a l v a l u e i n the l i g h t o f the t h r e e components d e f i n e d here. To review, the t h r e e components o f l e g a l v a l u e f o r documents are (1) a r e l a t i o n s h i p between the documents and j u r i d i c a l f a c t s , (2) the a b i l i t y o f the documents t o pass the r u l e s o f a d m i s s i b i l i t y f o r use as l e g a l evidence, and (3) the weight of the documents ( t h e i r e v i d e n t i a l q u a l i t y ) . The f i r s t component i s always necessary f o r a document t o have l e g a l v a l u e o r p o t e n t i a l l e g a l v a l u e — t h e document must 67 have some r e l a t i o n t o a j u r i d i c a l f a c t . L e g a l r e c o r d s t h e r e f o r e have l e g a l v a l u e . Non-legal documents, however, must have both the f i r s t and second components. Because n o n - l e g a l documents do not d i r e c t l y a f f e c t the r i g h t s and d u t i e s o f o t h e r s , t h e i r o n l y l e g a l s i g n i f i c a n c e i s as evidence o f j u r i d i c a l f a c t s . I f a document f a i l s t o meet the a d m i s s i b i l i t y requirements, i t w i l l not be admitted t o c o u r t , w i l l not be c o n s i d e r e d as evidence, and t h e r e f o r e w i l l not have any v a l u e t o the l e g a l system. The t h i r d c o m p o n e n t — w e i g h t — h e l p s t o determine the degree of l e g a l v a l u e t h a t a document has. I f the document i s not worth much a t t e n t i o n as evidence of what i t c o n t a i n s because of c e r t a i n - i n a d e q u a c i e s , then i t s l e g a l v a l u e i s weak. When a p p r a i s i n g documents f o r l e g a l v a l u e , the a r c h i v i s t s hould l o o k f o r these t h r e e components. I f the documents have a l l t h r e e components, they have s t r o n g l e g a l v a l u e (whether e x i s t i n g o r p o t e n t i a l ) and must be p r e s e r v e d f o r t h a t v a l u e . I f one or more of the components i s m i s s i n g , then the l e g a l v a l u e i s weakened. I f t h e r e are o t h e r documents t h a t r e l a t e t o the same j u r i d i c a l f a c t s , have s t r o n g e r l e g a l v a l u e , and are scheduled f o r r e t e n t i o n or are l i k e l y t o be r e t a i n e d , then the weaker documents under c o n s i d e r a t i o n need not be p r e s e r v e d on the b a s i s o f t h e i r l e g a l v a l u e (although they may be p r e s e r v e d f o r ot h e r v a l u e s ) . These t h r e e components of l e g a l v a l u e a r i s e from the f o r m a t i o n p r o c e s s of documents, t h e i r i n h e r e n t 68 c h a r a c t e r i s t i c s , and some e x t e r n a l f a c t o r s , a l l o f which can be e v a l u a t e d by the a r c h i v i s t . The next c h a p t e r w i l l d i s c u s s the f a c t o r s and c h a r a c t e r i s t i c s which c o n t r i b u t e t o these components. 69 CHAPTER THREE FACTORS CONTRIBUTING TO LEGAL VALUE L e g a l v a l u e may d e r i v e from c h a r a c t e r i s t i c s i n t r i n s i c t o a document as the embodiment of a f a c t , or i t may a r i s e from f a c t o r s e x t e r n a l t o the document and i t s f o r m a t i o n p r o c e s s . The p l a c e of custody, f o r example, i s an e x t e r n a l f a c t t h a t may p l a y a r o l e i n the a u t h e n t i c a t i o n of a document. Most commonly, though, e x t e r n a l l y imposed l e g a l v a l u e i s a r e s u l t o f s t a t u t o r y p r o v i s i o n s or r u l e s and r e g u l a t i o n s t h a t a f f e c t r e c o r d s , e i t h e r by r e q u i r i n g t h e i r c r e a t i o n and/or r e t e n t i o n , or by e s t a b l i s h i n g t h e i r s t a t u s as evidence. While many of the requirements f o r c r e a t i o n and r e t e n t i o n are more d i r e c t l y the concern of r e c o r d s managers than of a r c h i v i s t s , a r c h i v i s t s s h o u l d n e v e r t h e l e s s be aware o f what impact these p r o v i s i o n s have on the nature of the r e c o r d s and, i n p a r t i c u l a r , on t h e i r l e g a l v a l u e . Some o f the important e x t e r n a l f a c t o r s a f f e c t i n g l e g a l v a l u e w i l l t h e r e f o r e be reviewed i n t h i s chapter. A g r e a t many documents, however, are not governed by any l e g i s l a t i o n . T h e i r l e g a l v a l u e d e r i v e s from i n t e r n a l documentary elements and i n h e r e n t guarantees of r e l i a b i l i t y . These elements can b e s t be e v a l u a t e d by a n a l y z i n g the g e n e s i s and forms of the documents b e i n g a p p r a i s e d . T h i s chapter w i l l o u t l i n e what 70 the a r c h i v i s t should look for, and explain how various elements contribute to documentary l e g a l value. The existence of statutes and regulations that govern the creation, forms, maintenance, and retention of records implies that the l e g a l system has determined that a p a r t i c u l a r type of r e l a t i o n s h i p or transaction i s s u f f i c i e n t l y s i g n i f i c a n t to warrant the formality of a written record. By d e f i n i t i o n , then, the r e l a t i o n s h i p or transaction i s a j u r i d i c a l f a ct, and the records that embody that f a c t are l e g a l records. Thus, statutes and regulations do not a f f e c t supporting and narrative documents, whose creation and use are at the d i s c r e t i o n of the private i n d i v i d u a l . Rather, they are directed e x c l u s i v e l y toward l e g a l records. In some cases, statutes and regulations apply generally to a l l businesses or to a kind of r e l a t i o n s h i p or transaction. Examples of t h i s type of requirement are found i n the Canada Business Corporations Act (CBCA), the Income Tax Act, the Canada Pension Plan Act, and the Unemployment Insurance Act. 1 These acts contain records-creation provisions that a f f e c t broad categories of record-creators, such as corporations incorporated under the CBCA, persons carrying on business i n Canada, or employers of people engaged i n "pensionable" or "insurable" employment. In other cases, regulations apply s p e c i f i c a l l y to regulated industries, such as banks or public u t i l i t i e s , or to 71 s p e c i f i c r e c o r d s of p a r t i c u l a r b u s i n e s s e s . An example o f the l a t t e r type i s the Pharmacists R e g u l a t i o n s ( s e c t i o n s 2 and 3) i n the E x c i s e Act, which r e q u i r e pharmacists l i c e n s e d under t h a t a c t t o keep s p e c i f i e d r e c o r d s p e r t a i n i n g t o the s p i r i t s t h a t the pharmacists r e c e i v e from d i s t i l l e r s . A l l of t h e s e requirements c r e a t e l e g a l r e c o r d s , and the a r c h i v i s t must be a b l e t o r e c o g n i z e them as such. I f the o r g a n i z a t i o n c r e a t i n g the r e c o r d s does not have an e x i s t i n g r e c o r d s management program which has a l r e a d y l o c a t e d the r e l e v a n t s t a t u t e s and r e g u l a t i o n s , then the a r c h i v i s t should i d e n t i f y these laws and determine t h e i r scope, t h e i r a p p l i c a b i l i t y t o the p a r t i c u l a r o r g a n i z a t i o n , and the s p e c i f i c r e c o r d s which are a f f e c t e d . Once t h i s p r o c e s s has been completed, and the r e l e v a n t r e c o r d s have been i d e n t i f i e d , the a r c h i v i s t must p r e s e r v e the r e c o r d s f o r the s p e c i f i e d r e t e n t i o n p e r i o d . 2 The c r e a t i o n of l e g a l r e c o r d s by s t a t u t e s and r e g u l a t i o n s r a i s e s the q u e s t i o n of what happens t o the s t a t u s of the r e c o r d s when t h e i r r e q u i r e d r e t e n t i o n p e r i o d e x p i r e s . A s p e c i f i e d r e t e n t i o n p e r i o d i n d i c a t e s the l e n g t h of time t h a t the law i s i n t e r e s t e d i n the events t h a t appear i n the r e c o r d s . Once the law ceases t o be i n t e r e s t e d i n the event, t h e event i s no l o n g e r a j u r i d i c a l f a c t , and i t s r e c o r d s l o s e t h a t component of t h e i r l e g a l v a l u e . Whether a r e c o r d c o n t i n u e s t o have l e g a l v a l u e f o r o t h e r purposes depends l a r g e l y on the r e c o r d ' s i n t e r n a l c h a r a c t e r i s t i c s . 72 A r c h i v i s t s should be aware of t h i s s i t u a t i o n when they a p p r a i s e r e c o r d s w i t h l e g a l l y r e q u i r e d r e t e n t i o n p e r i o d s , and should e v a l u a t e the r e c o r d s f o r p o s s i b l e p r e s e r v a t i o n beyond the l e g a l l y r e q u i r e d p e r i o d . The r e c o r d s may have elements t h a t c o n t r i b u t e t o p o t e n t i a l l e g a l v a l u e , o r they may have ot h e r , n o n - l e g a l v a l u e s . On the o t h e r hand, i t may be t h a t the o n l y s u b s t a n t i a l v a l u e o f the r e c o r d s i s t h e i r imposed l e g a l v a l u e . These f a c t o r s can u s u a l l y be determined a t the time of the o r i g i n a l a p p r a i s a l , thereby a v o i d i n g the need t o r e a p p r a i s e the r e c o r d s when the l e g a l r e t e n t i o n p e r i o d e x p i r e s . D i f f i c u l t i e s w i t h l e g i s l a t i o n a r i s e when s t a t u t e s and r e g u l a t i o n s r e q u i r e the r e t e n t i o n o f r e c o r d s but do not s t a t e a s p e c i f i c r e t e n t i o n p e r i o d . A s i m i l a r problem occurs w i t h s t a t u t e s o f l i m i t a t i o n s , which p r e s c r i b e a time p e r i o d d u r i n g which an o r g a n i z a t i o n o r an i n d i v i d u a l can sue o r be sued on a matter, o r a time p e r i o d d u r i n g which a government agency can i n v e s t i g a t e o r a u d i t . S t a t u t e s o f l i m i t a t i o n s do not p r e s c r i b e a r e c o r d s r e t e n t i o n p e r i o d . What i s the l e g a l s t a t u s o f the r e c o r d s t h a t f a l l i n t o these two areas? The r e c o r d s a re unqu e s t i o n a b l y l e g a l r e c o r d s s i n c e they p e r t a i n t o j u r i d i c a l f a c t s i n e i t h e r case, but t h e i r r e t e n t i o n i s not l e g a l l y r e q u i r e d . The q u e s t i o n then becomes one o f degree: do the r e c o r d s have s u f f i c i e n t l e g a l v a l u e t o warrant t h e i r r e t e n t i o n f o r t h a t v a l u e ? 73 A d e c i s i o n r e g a r d i n g the degree of l e g a l v a l u e w i l l i n v o l v e a r i s k - b e n e f i t assessment. That i s , the r i s k s a s s o c i a t e d w i t h e i t h e r r e t e n t i o n or d i s p o s a l of the r e c o r d s must be weighed a g a i n s t the c o s t s o f m a i n t a i n i n g the r e c o r d s o r the advantage of having them, r e s p e c t i v e l y . For example, i f r e c o r d s are not a v a i l a b l e when they are r e q u i r e d by a f e d e r a l agency o r are needed i n l i t i g a t i o n , the o r g a n i z a t i o n may be s u b j e c t t o f i n e s , p e n a l t i e s , and o t h e r l o s s of r i g h t s , o r i t may not be a b l e t o support i t s c l a i m s i n c o u r t . On the o t h e r hand, i t may be expensive f o r an o r g a n i z a t i o n t o p r o v i d e long-term s t o r a g e f o r r e c o r d s t h a t are u n l i k e l y t o be needed t o support a case and t h a t have l i t t l e v a l u e f o r the o r g a n i z a t i o n . 3 The r e c o r d s manager o r a r c h i v i s t needs t o c o n s u l t w i t h l e g a l c o u n s e l t o c o n s i d e r what the chances of l i t i g a t i o n are and which p a r t y would have the burden of p r o o f . I t c o u l d a l s o be u s e f u l t o survey the company's r e c e n t h i s t o r y t o determine a t what p o i n t i n a s t a t u t e o f l i m i t a t i o n s p e r i o d most of the law s u i t s or l e g a l problems a r i s e . These q u e s t i o n s h e l p t o e s t a b l i s h the r i s k s a s s o c i a t e d w i t h r e c o r d s r e t e n t i o n or d e s t r u c t i o n . 4 Records t h a t are r e l e v a n t t o pending or f o r e s e e a b l e j u d i c i a l o r a d m i n i s t r a t i v e proceedings must be p r e s e r v e d . Records whose d e s t r u c t i o n would put the company i n a h i g h - r i s k s i t u a t i o n i n terms o f f i n e s , p e n a l t i e s , or a b i l i t y t o support the company's c l a i m s should a l s o be p r e s e r v e d f o r t h e i r l e g a l v a l u e . Conversely, r e c o r d s w i t h l o w - r i s k 74 d e s t r u c t i o n , but moderate t o h i g h - c o s t maintenance, p r o b a b l y do not have s u f f i c i e n t l e g a l v a l u e t o j u s t i f y t he c o s t s of p r e s e r v a t i o n beyond t h e i r p e r i o d o f o p e r a t i o n a l use. U l t i m a t e l y , each o r g a n i z a t i o n must develop i t s own s t r a t e g y f o r h a n d l i n g i n d e f i n i t e o r u n s p e c i f i e d r e t e n t i o n p e r i o d s and s t a t u t e s o f l i m i t a t i o n s p e r i o d s . The b u s i n e s s managers or the s e n i o r management of the o r g a n i z a t i o n s h o u l d be i n v o l v e d i n d e v e l o p i n g t h i s s t r a t e g y s i n c e the d e c i s i o n s have the p o t e n t i a l t o a f f e c t the w e l f a r e o f the whole o r g a n i z a t i o n . Thus, w h i l e s p e c i f i c r e t e n t i o n requirements c l e a r l y e s t a b l i s h s t r o n g l e g a l v a l u e i n a r e c o r d f o r a d e f i n i t e p e r i o d o f time, u n s p e c i f i e d r e t e n t i o n p e r i o d s and s t a t u t e s of l i m i t a t i o n s merely e s t a b l i s h c e r t a i n r e c o r d s as l e g a l r e c o r d s . They do not i n d i c a t e the degree of l e g a l v a l u e t h a t those r e c o r d s have. Determining the degree of v a l u e i n v o l v e s c o n s i d e r a t i o n o f a number of complex e x t e r n a l f a c t o r s and should i n c l u d e c o n s u l t a t i o n w i t h l e g a l c o u n s e l and w i t h management. In a d d i t i o n t o r e q u i r i n g the c r e a t i o n and r e t e n t i o n o f c e r t a i n r e c o r d s , l e g i s l a t i o n may a l s o a f f e c t the l e g a l v a l u e of r e c o r d s by d e f i n i n g t h e i r s t a t u s as evidence. As mentioned i n the p r e v i o u s chapter, s t a t u t o r y p r o v i s i o n s may a u t h e n t i c a t e c e r t a i n c l a s s e s o f r e c o r d s o r p r o v i d e express e x c e p t i o n s t o the b e s t evidence r u l e . In e f f e c t , t h i s type o f s t a t u t o r y p r o v i s i o n p r o v i d e s an e x t e r n a l guarantee o f the r e c o r d s ' a d m i s s i b i l i t y (the second component of l e g a l 75 v a l u e ) . Laws may a l s o exclude c e r t a i n documents from a d m i s s i b l e evidence, thereby d e p r i v i n g them o f the second component o f l e g a l v a l u e . 5 Regardless o f whether the law bestows or de n i e s the second component of v a l u e , the consequence i s t h a t the s t a t u s o f the r e c o r d i s determined by a f a c t o r o u t s i d e the i n t r i n s i c c h a r a c t e r i s t i c s o f the r e c o r d . Once again, the a r c h i v i s t must be aware of a l l r e l e v a n t l e g i s l a t i o n when a p p r a i s i n g government o r b u s i n e s s r e c o r d s i n o r d e r t o a c c u r a t e l y i d e n t i f y the components o f l e g a l v a l u e t h a t the r e c o r d s have. U n l i k e s p e c i f i c r e t e n t i o n requirements, though, s t a t u t o r y p r o v i s i o n s t h a t a f f e c t the second component o f l e g a l v a l u e do not o b l i g e the a r c h i v i s t t o p r e s e r v e a p a r t i c u l a r s e t of r e c o r d s . In some cases, the a r c h i v i s t must be aware o f how e x t e r n a l f a c t o r s impact r e c o r d s o t h e r than those b e i n g a p p r a i s e d . For example, the a d m i s s i b i l i t y requirement t h a t c e r t a i n r e c o r d s come from a " n a t u r a l p l a c e o f custody" c a l l s f o r some knowledge of the c u s t o d i a l h i s t o r y o f the r e c o r d s . I f t h e r e a re r e c o r d s a v a i l a b l e t h a t document the t r a n s f e r o f a p a r t i c u l a r body of r e c o r d s from one o f f i c e t o another, those r e c o r d s should be p r e s e r v e d t o support the l e g a l v a l u e of the o r i g i n a l body of r e c o r d s . Furthermore, a r c h i v i s t s ' r e c o r d s , such as deeds of g i f t and a c c e s s i o n r e g i s t e r s , can be v i t a l t o e s t a b l i s h i n g ownership o f , and r e s p o n s i b i l i t y f o r , r e c o r d s a c q u i r e d by an a r c h i v a l i n s t i t u t i o n . Thus, an e x t e r n a l f a c t o r such as p l a c e o f custody may r e q u i r e the 76 p r e s e r v a t i o n o f supplementary i n f o r m a t i o n , and the a r c h i v i s t has a r e s p o n s i b i l i t y t o be aware of such requirements i n o r d e r t o a v o i d a c t i o n s or d e c i s i o n s t h a t c o u l d impair the l e g a l v a l u e o f the documents. O v e r a l l , e x t e r n a l f a c t o r s can p l a y an important r o l e i n the a p p r a i s a l of l e g a l v a l u e . L e g a l r e t e n t i o n requirements c r e a t e an o b l i g a t i o n f o r r e c o r d p r e s e r v a t i o n . U n s p e c i f i e d r e t e n t i o n p e r i o d s and s t a t u t e s of l i m i t a t i o n s p e r i o d s i d e n t i f y l e g a l r e c o r d s whose v a l u e i s b e s t determined through a r i s k - b e n e f i t assessment of l e g a l i s s u e s r e l a t e d t o the o r g a n i z a t i o n ' s b u s i n e s s . S t a t u t o r y p r o v i s i o n s which a f f e c t the a d m i s s i b i l i t y of r e c o r d s can a l s o be a s i g n i f i c a n t f a c t o r i n e v a l u a t i n g the degree o f l e g a l v a l u e . The a r c h i v i s t has a r e s p o n s i b i l i t y t o ensure t h a t a l l r e l e v a n t l e g i s l a t i o n has been l o c a t e d and c o n s i d e r e d d u r i n g the a p p r a i s a l p r o c e s s . Knowledge of e x t e r n a l f a c t o r s w i l l h e l p d i r e c t the a r c h i v i s t i n i d e n t i f y i n g l e g a l v a l u e i n r e c o r d s and i n i d e n t i f y i n g ways t o support t h a t l e g a l v a l u e i f n e c e s s a r y . T h i s aspect o f l e g a l v a l u e i s o f t e n mentioned i n a r c h i v a l a p p r a i s a l l i t e r a t u r e . For example, i n h i s manual on a p p r a i s a l , Maynard B r i c h f o r d i n c l u d e s a paragraph about s t a t u t o r y p r o v i s i o n s t h a t a f f e c t r e c o r d s . In L i f e o f a Document. a r c h i v i s t s C a r o l Couture and Jean-Yves Rousseau s t r e s s the importance of b e i n g aware of l e g a l r e t e n t i o n p e r i o d s . American a r c h i v i s t F r a n c i s B l o u i n d i s c u s s e s 77 r e c o r d s - c r e a t i o n and r e t e n t i o n r e g u l a t i o n s i n h i s a r t i c l e on a p p r a i s i n g b u s i n e s s r e c o r d s , and the r e c e n t ACCIS r e p o r t on e l e c t r o n i c r e c o r d s l i s t s l e g a l requirements as an a p p r a i s a l c o n s i d e r a t i o n . 6 I t would seem from these examples t h a t a r c h i v i s t s are con s c i o u s o f t h i s element o f l e g a l v a l u e and of t h e i r r e s p o n s i b i l i t i e s w i t h r e s p e c t t o i t . D e s p i t e the importance o f e x t e r n a l f a c t o r s , they a f f e c t o n l y a s m a l l p r o p o r t i o n o f the documents t h a t a r c h i v i s t s are c a l l e d upon t o a p p r a i s e . A r c h i v i s t s must have o t h e r means of d e t e r m i n i n g l e g a l v a l u e i f they are t o f u l f i l t h e i r r e s p o n s i b i l i t y t o s o c i e t y . F o r t u n a t e l y , documents have many i n t r i n s i c c h a r a c t e r i s t i c s t h a t can c o n t r i b u t e t o t h e i r r e l i a b i l i t y and p o t e n t i a l l e g a l v a l u e . I d e n t i f y i n g these i n t e r n a l sources o f r e l i a b i l i t y r e q u i r e s a study o f the ge n e s i s and forms of the documents—a d i p l o m a t i c a n a l y s i s — i n c o n j u n c t i o n w i t h a knowledge of the l e g a l c r i t e r i a f o r a d m i s s i b i l i t y . S t u d y i n g the ge n e s i s , o r formation p r o c e s s , o f r e c o r d s can r e v e a l much about the r e l i a b i l i t y o f t h e r e c o r d s . As rec o r d e d t r a n s a c t i o n s , r e c o r d s a re c r e a t e d by a p r o c e d u r e — a body o f w r i t t e n o r un w r i t t e n r u l e s t h a t c o n s t i t u t e the formal s t e p s t o be undertaken i n c a r r y i n g out an o p e r a t i o n o r t r a n s a c t i o n . Procedures e s t a b l i s h a r o u t i n e f o r the performance o f a task, thereby removing the need f o r d e c i s i o n s t o be made about the ste p s i n v o l v e d , o r the sequence i n which they are t o be performed. For example, 78 many o r g a n i z a t i o n s e s t a b l i s h procedures t o govern the c r e a t i o n and forms o f t h e i r r e c o r d s . These procedures i d e n t i f y t he i n f o r m a t i o n t h a t the o r g a n i z a t i o n needs f o r d i f f e r e n t types o f f u n c t i o n s and t r a n s a c t i o n s , and p r e s c r i b e the appearance and arrangement of the recor d e d d a t a . In e f f e c t , s t a n d a r d procedures are a method f o r c o n t r o l l i n g both the c o n s t r u c t i o n o f a r e c o r d and the one who c o n s t r u c t s i t . When t h e r e i s no scope f o r the r e c o r d - w r i t e r t o make c h o i c e s o r d e c i s i o n s , t h e r e i s no need f o r the w r i t e r t o p a r t i c i p a t e i n the r e c o r d . The w r i t e r i s f r e e t o observe the event and then l e t i t speak through the forms of the r e c o r d . L i k e w i s e , when the forms of the r e c o r d a re f a m i l i a r , the r e c o r d - u s e r can l e t the event speak f o r i t s e l f , without t r y i n g t o i n t e r p r e t the manner i n which i t was re c o r d e d o r otherwise p a r t i c i p a t i n g i n the r e c o r d . As d i s c u s s e d i n Chapter One, when an event i s allowed t o speak c l e a r l y through a r e c o r d , the r e c o r d i s a r e l i a b l e embodiment o f i t and can be used without r e f e r e n c e t o the o r i g i n a l e v ent. 7 The f o r m a t i o n process o f r e c o r d s c r e a t e d by e i t h e r p u b l i c persons o r p r i v a t e persons o f a c o r p o r a t e nature tends t o be the same. 8 T h i s p r o c e s s u s u a l l y i n c l u d e s the i u s s i o , c o m p i l a t i o n , v a l i d a t i o n , r e g i s t r a t i o n , c a l c u l a t i o n o f t a x e s , and d e l i v e r y . 9 The i u s s i o i s the o r d e r g i v e n t o compile the r e c o r d . The memory of t h i s o r d e r may appear i n the r e c o r d , as can be seen i n many c o l o n i a l p r o c l a m a t i o n s t h a t c o n t a i n the phrase "By H i s E x c e l l e n c y ' s Command." The i u s s i o i s r e g u l a r l y omitted when the r e c o r d i s p e r s o n a l l y s u b s c r i b e d by the author of the a c t i o n , s i n c e the s i g n a t u r e i m p l i e s t h a t the author commanded the c r e a t i o n o f the r e c o r d . In o t h e r cases, the order t o i s s u e a type o f r e c o r d may be expressed g e n e r i c a l l y and permanently i n the r e g u l a t i o n s t h a t e s t a b l i s h a p a r t i c u l a r o f f i c e and i t s f u n c t i o n s . However the i u s s i o i s expressed, i t i s u s e f u l f o r the a r c h i v i s t t o know the source of a u t h o r i t y f o r d i f f e r e n t types of r e c o r d s w i t h i n an o r g a n i z a t i o n . Records whose c r e a t i o n i s not r e q u i r e d o r a u t h o r i z e d by the o r g a n i z a t i o n may not be as r e l i a b l e as those whose c r e a t i o n i s r e q u i r e d , s i n c e they w i l l p r obably f a l l o u t s i d e o f any o r g a n i z a t i o n a l c o n t r o l s on r e c o r d s c r e a t i o n . The next s t e p i n the formation p r o c e s s i s the c o m p i l a t i o n o f the r e c o r d . T h i s s t e p i n v o l v e s the a c t o f g a t h e r i n g the necessary data and r e c o r d i n g them on some medium. The r e c o r d may then be v a l i d a t e d . Depending on the system b e i n g used, the v a l i d a t i o n may c o n f i r m the accuracy of the document as the embodiment of an a c t or w i l l ; o r i t may guarantee the r e g u l a r i t y o f the form a t i o n and forms of the document; or i t may c o n f e r s o l e m n i t y on the document. In some o r g a n i z a t i o n s , c e r t a i n types o f documents may need t o be r e g i s t e r e d , o r entered i n a l i s t o r r e c o r d (known as a r e g i s t e r o r r e g i s t r y ) . Sometimes, a t a x o r f e e may be r e q u i r e d b e f o r e the r e c o r d w i l l be i s s u e d t o the addressee 80 (the r e c i p i e n t o f the a c t i o n o r the document). For example, the government w i l l not i s s u e a d r i v e r ' s l i c e n s e u n t i l the a p p r o p r i a t e f e e has been p a i d . The f i n a l s t e p i n the pro c e s s i s the d e l i v e r y o f the r e c o r d t o the addressee. Records t h a t a re not d e l i v e r e d are not e f f e c t i v e . That i s , they cannot produce the consequences d e s i r e d by t h e i r c r e a t o r . Indeed, by d e f i n i t i o n , r e c o r d s are conveyed i n f o r m a t i o n ; d e l i v e r y i s an e s s e n t i a l p a r t o f the r e c o r d . The type o f r e c o r d w i l l determine what type o f d e l i v e r y i s necessary. Some r e c o r d s must be sent t o the addressee, w h i l e o t h e r s must be f i l e d i n a p l a c e where they w i l l be a c c e s s i b l e t o those who need the i n f o r m a t i o n i n the r e c o r d . In cases where the f i n a l document i s not the r e s u l t o f the a u t h o r i t y ' s own d i r e c t i n i t i a t i v e , but i s s o l i c i t e d by o t h e r p h y s i c a l o r j u r i d i c a l persons, the i u s s i o w i l l be preceded by a procedure t h a t may produce a v a r i e t y o f i n t e r l o c u t o r y documents. T h i s procedure w i l l i n c l u d e an i n t r o d u c t o r y phase, which i s the s o l i c i t a t i o n f o r a c t i o n . T h i s s o l i c i t a t i o n may be a p e t i t i o n , a c l a i m f o r damage, a p r o p o s a l f o r a new housing development, or some o t h e r type o f r e q u e s t . I t w i l l be f o l l o w e d by an i n q u i r y phase t h a t i s c o n s t i t u t e d by the c o l l e c t i o n o f i n f o r m a t i o n r e l a t e d t o the re q u e s t . Opinions and ad v i c e a re then gathered d u r i n g the c o n s u l t a t i v e phase. In the d e l i b e r a t i v e phase t h a t f o l l o w s , the i n f o r m a t i o n , o p i n i o n s , and recommendations are 81 c o n s i d e r e d and a d e c i s i o n i s made about the a c t i o n t o be taken. Sometimes, the d e l i b e r a t i v e phase i s f o l l o w e d by a c o n t r o l l i n g phase, i n which some person o r body checks t h a t the proper procedures have been c a r r i e d out and are c o r r e c t . Once the a p p r o p r i a t e a p p r o v a l s have been g i v e n , the p u b l i c a t i o n phase beg i n s . T h i s phase i n v o l v e s the e x e c u t i o n of t h e f i n a l document, as d e s c r i b e d above. The above st e p s can be seen i n a procedure f o r p r o v i d i n g f i n a n c i a l a s s i s t a n c e t o P r a i r i e f a r m e r s . 1 0 T h i s procedure i n v o l v e s a number of r e c o r d s , such as an a p p l i c a t i o n f o r a s s i s t a n c e ( s o l i c i t a t i o n ) , a c a l c u l a t i o n o f drought p e r i o d s and market p r i c e s t o assess the e x t e n t of h a r d s h i p ( i n q u i r y and c o n s u l t a t i o n ) , an o f f i c i a l a p p r o v a l or r e j e c t i o n o f the request ( d e l i b e r a t i o n ) , and a n o t i c e of t h i s d e c i s i o n sent t o the a p p l i c a n t ( p u b l i c a t i o n ) . The r e c o r d o f t h i s procedure i s a case f i l e which must c o n t a i n a l l o f the above documents i n o r d e r t o p r o v i d e evidence t h a t a l l o f the s t e p s o f the procedure were performed. I f any of the r e c o r d s are m i s s i n g , the r e c o r d - u s e r can o n l y guess a t the f a c t s t h a t the m i s s i n g r e c o r d ( s ) may have embodied. In t h i s case, the e n t i r e event cannot speak f o r i t s e l f . T h i s c o n c e p t u a l i z a t i o n of the f o r m a t i o n p r o c e s s p r o v i d e s a framework f o r the a n a l y s i s of d i f f e r e n t types of r e c o r d s c r e a t e d by p u b l i c persons and p r i v a t e persons of a c o r p o r a t e nature. I t i s important f o r the a r c h i v i s t t o i d e n t i f y which elements of the formation p r o c e s s apply t o a 82 s p e c i f i c type o f r e c o r d s , and whether the p r o c e s s i s governed by formal r u l e s . T h i s i n f o r m a t i o n can h e l p the a r c h i v i s t a s s ess the r e l i a b i l i t y o f the documents. Records t h a t do not a r i s e from a standard f o r m a t i o n p r o c e s s are i n h e r e n t l y l e s s r e l i a b l e than those t h a t do. There i s no guarantee t h a t the r e c o r d - c r e a t o r knows what type o f for m a t i o n p r o c e s s i s r e l e v a n t t o a type of r e c o r d , nor i s t h e r e any guarantee t h a t necessary procedures w i l l be executed. On the oth e r hand, when r e c o r d s a r i s e from e s t a b l i s h e d procedures, the a r c h i v i s t can e v a l u a t e both the r e l i a b i l i t y o f the procedures, and the r e l i a b i l i t y o f the r e c o r d s . Procedures can be assessed f o r the degree o f c o n t r o l they impose over r e c o r d s c r e a t i o n ; f o r t h e i r e f f e c t i v e n e s s i n i d e n t i f y i n g and c a p t u r i n g the elements needed t o accomplish an a c t ; and f o r the types o f a c c o u n t a b i l i t y and s e c u r i t y they r e q u i r e f o r r e c o r d s c r e a t i o n and maintenance. T h i s assessment w i l l i n d i c a t e whether the procedures are l i k e l y t o produce r e l i a b l e r e c o r d s . I f so, g e n e r a l i z a t i o n s can be made f o r the type o f r e c o r d t h a t i s governed by the procedures (these r e c o r d s are c a l l e d " r e c o r d s o f pr o c e d u r e " ) . Then, i f necessary, i n d i v i d u a l r e c o r d s can be assessed f o r t h e i r r e l i a b i l i t y i n r e l a t i o n t o the procedure. That i s , the a r c h i v i s t can examine an i n d i v i d u a l r e c o r d t o see i f the procedures had been f o l l o w e d . U s u a l l y , however, the a r c h i v i s t w i l l not a p p r a i s e i n d i v i d u a l r e c o r d s , but types o f r e c o r d s . o 83 Due t o the elements o f c o n t r o l imposed by a procedure, r e c o r d s o f procedure u s u a l l y f a l l w i t h i n the b u s i n e s s documents e x c e p t i o n t o the hearsay r u l e , which i s based on the presumed accuracy o f a recordke e p i n g system. r a t h e r than the a c t u a l r e l i a b i l i t y o f the i n d i v i d u a l e n t r a n t . E s t a b l i s h e d procedures f o r r e c o r d c r e a t i o n imply t h a t such r e c o r d s a re r e g u l a r l y prepared i n the o r d i n a r y course o f b u s i n e s s , and decrease the p o s s i b i l i t y t h a t the r e c o r d s were c r e a t e d e s p e c i a l l y f o r use i n l i t i g a t i o n . I d e a l l y , procedures should be documented i n an o r g a n i z a t i o n ' s r e c o r d s management manual, and r e g u l a r a u d i t s should be performed t o ensure t h a t procedures are f o l l o w e d . I f such manuals and a u d i t s e x i s t , t he a r c h i v i s t can use them t o i d e n t i f y t he r e c o r d s whose c r e a t i o n process i s c o n t r o l l e d and which t h e r e f o r e have a degree o f t r u s t w o r t h i n e s s . 1 1 These r e c o r d s need not be e x c l u s i v e l y t e x t u a l r e c o r d s , though. Procedures can apply t o r e c o r d s o f any form, i n c l u d i n g r e c o r d s made or kept by a computer. I f a recordke e p i n g system uses computers i n s t e a d o f c l e r k s , then the computers are programmed t o make r e c o r d s i n the r o u t i n e o f b u s i n e s s ( i n an analogous manner t o a c l e r k ' s duty t o c r e a t e r e c o r d s ) , and those r e c o r d s are used and r e l i e d upon by the o r g a n i z a t i o n . 1 2 As lo n g as r e c o r d s a r i s e out o f normal o p e r a t i n g procedure, they have an i n h e r e n t q u a l i t y o f d e p e n d a b i l i t y , r e g a r d l e s s o f medium. 84 In some cases, the r e l i a b i l i t y o f a document may be d e r i v e d from the r e l i a b i l i t y o f the r e c o r d - c r e a t o r r a t h e r than from t h a t of the r e c o r d k e e p i n g system. Even here, though, procedures have a r o l e t o p l a y . For example, two common ways t o f o s t e r r e l i a b i l i t y i n r e c o r d - c r e a t o r s are (1) by r e s t r i c t i n g the " p r i v i l e g e " of r e c o r d s - c r e a t i o n t o p r o f e s s i o n a l s or s e m i - p r o f e s s i o n a l s , and (2) by making a number o f t a s k s c o n c u r r e n t w i t h o t h e r t a s k s ( f o r example, a r e c o r d c r e a t e d t o meet b u r e a u c r a t i c requirements c o u l d be used f o r o t h e r purposes such as making a r e p o r t t o a d i f f e r e n t a u d i e n c e ) , 1 3 O r g a n i z a t i o n s t h a t use e i t h e r method w i l l p r o b a b l y have a procedure t h a t enumerates the r e c o r d s t o be c r e a t e d i n t h i s manner and i d e n t i f i e s who i s t o be c o n s i d e r e d a p r o f e s s i o n a l r e c o r d - c r e a t o r . I n f o r m a t i o n about these procedures can guide a r c h i v i s t s i n i d e n t i f y i n g r e c o r d s c r e a t e d by r e l i a b l e r e c o r d - w r i t e r s . The p r a c t i c e of r e s t r i c t i n g r e c o r d - w r i t i n g t o p r o f e s s i o n a l s has a long h i s t o r y . In a n c i e n t Rome, documents were w r i t t e n by n o t a r i e s , who i d e n t i f i e d the documents they c r e a t e d by appending t h e i r name and an i n d i v i d u a l siqnUm t o them. Because the number o f such p r o f e s s i o n a l s c r i b e s was l i m i t e d , , uniform standards f o r the p r o d u c t i o n o f documents c o u l d be imposed, and the c r e d e n t i a l s of the n o t a r i e s c o u l d be r e g u l a r l y checked. I t was assumed t h a t a r e l i a b l e s c r i b e would produce r e l i a b l e r e c o r d s . 1 4 The same p r i n c i p l e a p p l i e s today when 8 5 a d m i n i s t r a t o r s choose t o r e s t r i c t the c r e a t i o n of c e r t a i n k i n d s o f r e c o r d s t o persons who can be expected t o be r e l i a b l e because of t h e i r p r o f e s s i o n a l o r p u b l i c commitments. In h o s p i t a l s , f o r example, o n l y d o c t o r s and nurses are p e r m i t t e d t o make e n t r i e s i n m e d i c a l r e c o r d s . S i m i l a r l y , b u s i n e s s e s o f t e n a s s i g n bookkeeping and a c c o u n t i n g f u n c t i o n s t o a separate a c c o u n t i n g department r a t h e r than adding them t o the d u t i e s o f a s e c r e t a r y . The law o f evidence c o n s i d e r s p u b l i c o f f i c i a l s t o be r e l i a b l e r e c o r d - c r e a t o r s because they have a p u b l i c duty t o be a c c u r a t e i n t h e i r work; they are accountable t o s o c i e t y f o r t h e i r a c t i o n s . U s u a l l y , r e c o r d s c r e a t e d by p r o f e s s i o n a l s w i l l be s i g n e d , and the s i g n a t u r e w i l l be f o l l o w e d by a " q u a l i f i c a t i o n o f s i g n a t u r e " which s t a t e s the o f f i c i a l t i t l e o f the s u b s c r i b e r , thereby i n d i c a t i n g h i s / h e r s t a t u s as a p r o f e s s i o n a l . I f the a r c h i v i s t knows which r e c o r d s can o n l y be c r e a t e d by p r o f e s s i o n a l s , and can i d e n t i f y those r e c o r d s by t h e i r type or by the q u a l i f i c a t i o n of s i g n a t u r e , then he/she can a t t r i b u t e a degree of r e l i a b i l i t y t o them. Another s t r a t e g y f o r c o n t r o l l i n g the r e l i a b i l i t y o f r e c o r d - w r i t e r s and the d e p e n d a b i l i t y o f t h e i r r e c o r d s i s t o make the r e c o r d - w r i t e r ' s p r o f e s s i o n a l and b u r e a u c r a t i c t a s k s c o i n c i d e , so t h a t the same r e c o r d i s meant t o s e r v e a v a r i e t y of u s e r s . In t h i s way, the s i z e o f the audience i n c r e a s e s and the w r i t e r cannot t a i l o r the r e c o r d t o any p a r t i c u l a r group. S i n c e the r e c o r d must meet a l l needs, the 86 w r i t e r i s more l i k e l y t o l e t the event speak c l e a r l y through the r e c o r d , r a t h e r than t r y i n g t o use the r e c o r d t o express h i s / h e r own i n t e r e s t s . 1 5 For example, a h e a r t s p e c i a l i s t uses the same r e p o r t t o f u l f i l both the duty t o i n f o r m the r e f e r r i n g p h y s i c i a n o f any f i n d i n g s and the duty t o produce a r e c o r d f o r the f i l e s . The r e c o r d must be a c c u r a t e t o meet the p h y s i c i a n ' s needs, and must be complete and i n the c o r r e c t form t o meet the b u r e a u c r a t i c standards f o r the f i l e . A f a c t cannot be hidden from one group of u s e r s without a l s o a f f e c t i n g the i n f o r m a t i o n a v a i l a b l e t o the o t h e r group. Thus, t h e r e i s an i n h e r e n t guarantee of t r u s t w o r t h i n e s s i n t h i s procedure. The a r c h i v i s t b e n e f i t s from knowing the r e c o r d s - c r e a t i o n procedures of an o r g a n i z a t i o n because such procedures can h e l p i n d i c a t e which r e c o r d s are l i k e l y t o be r e l i a b l e and f o r what r e a s o n ( s ) . Knowledge o f r e c o r d s - c r e a t i o n procedures can a l s o a i d the a r c h i v i s t i n i d e n t i f y i n g o r i g i n a l documents, as r e q u i r e d by the b e s t evidence r u l e . L e g a l l y , the o r i g i n a l i s the v e r s i o n o f the document t h a t was accepted by any p a r t i e s t o i t as b e i n g the v e r s i o n upon which they agreed t o operate. I t i s not n e c e s s a r i l y the f i r s t v e r s i o n c r e a t e d , but i s the v e r s i o n which expresses the f i n a l agreement o f the p a r t i e s . I t i s u s u a l l y s i g n e d by a l l p a r t i e s . 1 6 The s i g n a t u r e s of the p a r t i e s serve t o c o n f i r m t h a t the r e c o r d corresponds t o t h e i r w i l l ( s ) . T h i s concept of an o r i g i n a l f i t s c l o s e l y w i t h the d i p l o m a t i c d e f i n i t i o n , which i d e n t i f i e s t h r e e 87 necessary elements f o r an o r i g i n a l : p r i m i t i v e n e s s , completeness, and e n f o r c e a b i l i t y . The o r i g i n a l i s the f i r s t document t o be i s s u e d i n a p a r t i c u l a r form, which i s a l s o complete and a b l e t o produce the consequences d e s i r e d by the document's a u t h o r . 1 7 A d r a f t o f a l e t t e r — a working form of the d o c u m e n t — i s not an o r i g i n a l because i t l a c k s a s i g n a t u r e and t h e r e f o r e cannot produce any consequences; i t i s not e n f o r c e a b l e . On the ot h e r hand, a copy of the f i n a l v e r s i o n o f the l e t t e r may c o n t a i n a copy o f the s i g n a t u r e and t h e r e f o r e may be viewed as complete and e n f o r c e a b l e . However, the copy l a c k s the q u a l i t y o f p r i m i t i v e n e s s . Because i t does not have a l l t h r e e elements, i t i s not an o r i g i n a l . There are cases where two or more o r i g i n a l s o f the same document may e x i s t . In c o n t r a c t s and t r e a t i e s where t h e r e are r e c i p r o c a l o b l i g a t i o n s , each p a r t y has i t s own o r i g i n a l . With photographs, both the n e g a t i v e and the f i r s t p r i n t t o be produced from the n e g a t i v e may be c o n s i d e r e d o r i g i n a l s . The n e g a t i v e i s the f i r s t t o be c r e a t e d , and may meet the photographer's need f o r an a c c u r a t e r e p r e s e n t a t i o n of some scene or event. I f the i n t e n t of the photographer, though, i s t o have p i c t u r e s t o d i s p l a y , then the n e g a t i v e cannot s a t i s f y t h i s purpose; the p r i n t i s the v e r s i o n t h a t i s e n f o r c e a b l e . I f the two forms are c o n s i d e r e d t o be d i f f e r e n t documents, i t i s p o s s i b l e t o say t h a t t h e r e i s both an o r i g i n a l n e g a t i v e and an o r i g i n a l p r i n t , each b e i n g 88 the f i r s t t o be i s s u e d i n t h a t form, and the f i r s t t o be complete i n t h a t form. Which form i s e n f o r c e a b l e depends on the photographer's purposes. A s i m i l a r argument can be advanced f o r machine-readable r e c o r d s . I f an e l e c t r o n i c message i s meant t o be accessed by computer, o r i f i t can be sent by e l e c t r o n i c m a i l , then the e l e c t r o n i c r e c o r d i s complete and e n f o r c e a b l e . I f , however, the message i s d i r e c t e d t o someone who does not have access t o a computer, then a p r i n t - o u t of the message i s the e n f o r c e a b l e v e r s i o n . Thus, both the e l e c t r o n i c r e c o r d and the p r i n t - o u t may be c o n s i d e r e d o r i g i n a l s . I d e n t i f y i n g o r i g i n a l s i n v o l v e s a n a l y s i s o f the forms and purposes o f the document, and may v a r y from case t o case. E s t a b l i s h e d r e c o r d s - c r e a t i o n procedures may i n d i c a t e which v e r s i o n i s the r e c o r d t o be a c t e d upon, thereby i d e n t i f y i n g the " o r i g i n a l " . 1 8 D r a f t s o f documents f a l l i n t o the c a t e g o r y o f "documents o f p r o c e s s " , as do rough notes and c a l c u l a t i o n s . A p r o c e s s i s d i s t i n g u i s h e d from a procedure as b e i n g a s e r i e s o f motions, or a c t i v i t i e s i n g e n e r a l , c a r r i e d out t o s e t o n e s e l f t o work and t o go on towards each formal s t e p of a procedure. A procedure i s a method of c o n d u c t i n g a t r a n s a c t i o n ; a process c o n s i s t s of the c r e a t i v e a c t i v i t i e s which f l e s h out the s k e l e t o n of the method. Documents of p r o c e s s are p r e p a r a t o r y and incomplete. They are necessary t o s e t the stage f o r the performance o f a formal p r o c e d u r a l s t e p , but are not themselves meant t o be communicated. 1 9 89 Hence, documents of p r o c e s s are not r e c o r d e d t r a n s a c t i o n s ( r e c o r d s ) , and t h e i r f ormation process i s not c o n t r o l l e d by any standards. In f a c t , the formation p r o c e s s o f these documents, and of a l l non-records i n g e n e r a l , tends t o be a t y p i c a l and i n d i v i d u a l ; i t l a c k s the elements of r e g u l a r i t y and a c c o u n t a b i l i t y t h a t procedures p r o v i d e . T h e r e f o r e , the r e l i a b i l i t y o f manuscripts cannot be g e n e r a l i z e d from an a n a l y s i s o f t h e i r f o r m a t i o n p r o c e s s . Whether a p p r a i s i n g r e c o r d s or manuscripts, a r c h i v i s t s s h o u l d l o o k beyond the formation p r o c e s s and a l s o assess the forms o f the documents. Forms can p r o v i d e v a l u a b l e i n f o r m a t i o n about both the r e l i a b i l i t y and the weight of documents. The b e s t approach t o a s s e s s i n g forms i s t o e v a l u a t e t h e i r completeness. Completeness i s a d i p l o m a t i c concept t h a t r e f e r s t o whether the forms o f a document i n c l u d e a l l the elements necessary (1) t o make the document e n f o r c e a b l e , and (2) t o p r o v i d e access t o the event t h a t the document embodies. The elements r e q u i r e d w i l l v a r y a c c o r d i n g t o the type of document. For example, l e t t e r s r e q u i r e an address i n o r der t o be sent; r e c e i p t s r e q u i r e dates t o show when the t r a n s f e r o f ownership became e f f e c t i v e . Sometimes, the p r e c i s e form of a r e c o r d i s e s t a b l i s h e d by law, r e g u l a t i o n , or b u r e a u c r a t i c standards t o ensure t h a t l e g a l or a d m i n i s t r a t i v e needs are met. Whatever the forms may be, what i s important about completeness i s not t h a t i n d i v i d u a l documents have a l l the proper d e t a i l s , 90 but r a t h e r the f a c t t h a t they should have such d e t a i l s . That i s , the a r c h i v i s t should a p p r a i s e a type o f document f o r completeness, not i n d i v i d u a l documents. When a document i s of a type t h a t has w e l l - d e f i n e d forms governed by e s t a b l i s h e d procedures, then e i t h e r a complete o r an incomplete form w i l l p r o v i d e i n f o r m a t i o n t o the u s e r . I f the forms have been r e s p e c t e d , then the u s e r can accept the document as an adequate embodiment o f an event and can use the document t o know about the event. I f the forms are not complete, then the document-creator has f a i l e d t o adequately m i r r o r the event. In t h i s i n s t a n c e , the document does not p r o v i d e access t o the event, but i t does p r o v i d e i n f o r m a t i o n about the document-creator. The us e r w i l l know t h a t a p a r t i c u l a r document-creator i s • 20 • • u n r e l i a b l e . An incomplete document may a l s o c o n s t i t u t e evidence o f a procedure t h a t was not p r o p e r l y executed, and t h i s f a c t may cause the f i n a l a c t t o be c a n c e l l e d . Thus, incomplete documents may have as much v a l u e as complete documents, depending on what the us e r wants t o know. When the forms of a document are not governed by w e l l - e s t a b l i s h e d procedures, i t i s d i f f i c u l t t o determine the r e l i a b i l i t y o f t h a t type o f document. Each document may be d i f f e r e n t from the o t h e r s o f i t s type, s u b j e c t t o the i n d i v i d u a l i t y o f the document-creators. N e i t h e r the a r c h i v i s t nor the us e r w i l l know f o r c e r t a i n what d e t a i l s would c o n s t i t u t e a complete document. Consequently, i t may be d i f f i c u l t t o a s c e r t a i n whether d e t a i l s are m i s s i n g and, i f so, whether those d e t a i l s are m i s s i n g because they were not r e v e a l e d by the event, o r because the document-creator i s u n r e l i a b l e . In oth e r words, the use r cannot be sure whether t h e document p r o v i d e s i n f o r m a t i o n about t h e document-creator, the documentation procedures, o r the event r e f l e c t e d i n the document. Such documents are t h e r e f o r e l e s s r e l i a b l e than documents c r e a t e d a c c o r d i n g t o a procedure. Once again, the a r c h i v i s t i s w e l l a d v i s e d t o examine the r e l e v a n t document-creation procedures. Government and bu s i n e s s r e c o r d s are o f t e n governed by procedures t h a t i d e n t i f y what types o f r e c o r d s a re t o be produced, and what the forms of those r e c o r d s should be. To a p p r a i s e the weight o f a type o f r e c o r d , the a r c h i v i s t s h o u l d e v a l u a t e whether the p r e s c r i b e d forms capture s u f f i c i e n t i n f o r m a t i o n t o convey the i n t e n t o f the author, t o make the r e c o r d s e n f o r c e a b l e , t o p r o v i d e access t o the events i n 'the r e c o r d s , and t o i n d i c a t e the r e l i a b i l i t y o f the i n d i v i d u a l r e c o r d s . Common elements t h a t l e n d r e l i a b i l i t y and weight t o a r e c o r d i n c l u d e : e n t i t l i n g and/or s u p e r s c r i p t i o n ; date ( c h r o n o l o g i c a l and/or t o p i c a l ) ; address; and s i g n a t u r e s . The e n t i t l i n g i n modern documents i s u s u a l l y a l e t t e r h e a d . T h i s element g i v e s the name and address o f the p h y s i c a l o r j u r i d i c a l person i s s u i n g the r e c o r d , o r the c o r p o r a t e body of which the author i s an o f f i c e r . The s u p e r s c r i p t i o n i d e n t i f i e s t he author o f the document, o r the a c t i o n , o r both. The e n t i t l i n g and s u p e r s c r i p t i o n i n d i c a t e the source o f a u t h o r i t y f o r the r e c o r d , and the person r e s p o n s i b l e f o r the a c t i o n . T h i s i n f o r m a t i o n p r o v i d e s a c o n t e x t f o r the r e c o r d and t e l l s the use r who may be c o n t a c t e d f o r f u r t h e r i n f o r m a t i o n , i f necessary. The date i n d i c a t e s when and where the r e c o r d was compiled. I t may a l s o i n d i c a t e the time and p l a c e o f the a c t i o n ( t h i s i s always t r u e i n d i s p o s i t i v e r e c o r d s ) . Keeping i n mind t h a t observers can o n l y know what i s r e v e a l e d t o them when they a re p r e s e n t i n time and space, the mention of the c h r o n o l o g i c a l and t o p i c a l date can be important because i t serves t o l o c a l i z e t he event and t o e s t a b l i s h the r e l a t i o n s h i p between the obse r v e r and the event. Mention of the date supports the i m p l i c i t c l a i m t h a t the r e c o r d - w r i t e r was pr e s e n t a t the event. 2 1 The date of the r e c o r d may i n d i c a t e whether i t was c r e a t e d a t , o r near, the time of the event (an a d m i s s i b i l i t y requirement), and whether i t was c r e a t e d b e f o r e c o n t r o v e r s y arose about the t r u t h f u l n e s s o f the f a c t s c o n t a i n e d i n i t . The address i d e n t i f i e s the r e c i p i e n t o f the a c t i o n o r the r e c o r d . A l l r e c o r d s w i l l have an addressee, s i n c e a c t i o n s must always be d i r e c t e d t o someone. However, the addressee may not always be s t a t e d e x p l i c i t l y . In some types o f r e c o r d s , such as d i s p o s i t i v e r e c o r d s , i t i s e s s e n t i a l t h a t the addressee be s t a t e d e x p l i c i t l y i n o r d e r f o r t he r e c o r d t o be d e l i v e r e d (and t h e r e f o r e be e n f o r c e a b l e ) . In p r o b a t i v e r e c o r d s , on the o t h e r hand, the address i s o f t e n absent, p a r t i c u l a r l y when the person t o whom the r e c o r d i s i s s u e d i s not the one t o whom the r e c o r d i s d i r e c t e d . For example, d r i v e r ' s l i c e n s e s and b i r t h and marriage c e r t i f i c a t e s a re i s s u e d t o the d r i v e r , o r t o the persons born o r married. These persons a re the r e c i p i e n t s of t he a c t i o n o f c e r t i f i c a t i o n . The addressee o f the r e c o r d , though, i s whoever has t o read i t . T h i s person may be a policeman r e q u i r i n g p r o o f o f one's p e r m i s s i o n t o d r i v e , or a p u b l i c o f f i c i a l r e q u i r i n g p r o o f o f c i t i z e n s h i p o r marriage i n or d e r t o grant a pension o r o t h e r b e n e f i t . The a r c h i v i s t must t h e r e f o r e i d e n t i f y the type o f document t o know whether the address should be e x p l i c i t l y s t a t e d o r not. The presence o f a s i g n a t u r e i s another important p a r t of a r e c o r d ' s completeness as i t i s u s u a l l y a means o f v a l i d a t i n g the r e c o r d . I f the s i g n a t u r e i s t h a t o f the author o f the a c t i o n , o r of the p a r t i e s t o the document, then i t d e c l a r e s t h a t t he r e c o r d corresponds p e r f e c t l y t o the w i l l and i n t e n t i o n o f the author o r the p a r t i e s . I t v a l i d a t e s t he r e c o r d as an ac c u r a t e r e p r e s e n t a t i o n o f the event. I f the s i g n a t u r e i s t h a t o f a r e c o r d s o f f i c e r , a s e c r e t a r y , a r e g i s t r a r , o r someone r e s p o n s i b l e f o r c o n t r o l l i n g the c r e a t i o n o f the r e c o r d , then i t i s a guarantee o f the r e g u l a r i t y o f the forma t i o n and forms o f the r e c o r d . I t i n d i c a t e s t h a t a l l the st e p s o f the 94 a p p r o p r i a t e procedure were f o l l o w e d , and t h a t the r e c o r d i s complete. In both of these cases, the one who s i g n s the r e c o r d t a k e s r e s p o n s i b i l i t y f o r i t and f o r i t s completeness. 2 2 In law, a v a l i d r e c o r d i s one which i s f u l l y o p e r a t i v e i n accordance w i t h the i n t e n t o f the p a r t i e s — o n e which has l e g a l s t r e n g t h or f o r c e and has been executed w i t h proper f o r m a l i t i e s . 2 3 The f u n c t i o n o f v a l i d a t i o n performed by the two types of s i g n a t u r e s d i s c u s s e d above meets t h i s l e g a l d e f i n i t i o n o f v a l i d i t y . These s i g n a t u r e s t h e r e f o r e c o n t r i b u t e t o a r e c o r d ' s r e l i a b i l i t y . Records may a l s o c o n t a i n the s i g n a t u r e s o f w i t n e s s e s t o the enactment or t o the s u b s c r i p t i o n . In r e c o r d s c r e a t e d by p u b l i c persons, these s i g n a t u r e s merely g i v e s o l e m n i t y t o the r e c o r d because the a u t h o r i t y of p u b l i c o f f i c i a l s i s such t h a t t h e i r a c t i o n s do not need t o be v a l i d a t e d by w i t n e s s e s . In r e c o r d s c r e a t e d by p r i v a t e persons, though, the s i g n a t u r e s may be e i t h e r a v a l i d a t i o n or an a u t h e n t i c a t i o n . They are a v a l i d a t i o n of the r e c o r d i f t h e i r purpose i s t o v e r i f y t h a t the a c t i o n o r event a c t u a l l y took p l a c e . I f the w i t n e s s e s c o n f i r m o n l y the s u b s c r i p t i o n s o f the p a r t i e s i n v o l v e d , then t h e i r s i g n a t u r e s are an a u t h e n t i c a t i o n o f the s u b s c r i p t i o n s . Whether the s i g n a t u r e s c o n s t i t u t e a v a l i d a t i o n or an a u t h e n t i c a t i o n , they i n d i c a t e t h a t an i d e n t i f i a b l e person has d e c l a r e d t h a t the r e c o r d i s a c c u r a t e 95 and has accepted r e s p o n s i b i l i t y f o r a l l o r p a r t o f the r e c o r d . T h i s d i s c u s s i o n has demonstrated t h a t the forms of a r e c o r d can enhance a r e c o r d ' s r e l i a b i l i t y . Some o f the elements may c o n t r i b u t e t o the r e c o r d ' s a d m i s s i b i l i t y , but many are not r e q u i r e d by the law. Elements o f form and the concept o f completeness are most u s e f u l f o r a s s e s s i n g the r e c o r d ' s weight. I f the forms are comprehensive, they w i l l be a good r e f l e c t i o n o f the events they r e p r e s e n t . I f t h e forms are governed by a w e l l - e s t a b l i s h e d procedure, then any r e c o r d o f t h a t type w i l l p r o v i d e some k i n d o f i n f o r m a t i o n t o the r e c o r d - u s e r . These aspects o f the r e c o r d ' s e v i d e n t i a l q u a l i t y are i n t r i n s i c t o the r e c o r d and do not depend on the circumstances o f any p a r t i c u l a r case. These are the asp e c t s of weight t h a t the a r c h i v i s t can a p p r a i s e , and they are a r e l e v a n t p a r t of a r e c o r d ' s o v e r a l l l e g a l v a l u e . As mentioned e a r l i e r , manuscripts are not u s u a l l y governed by procedures. As a r e s u l t , t h e i r f o r m a t i o n p r o c e s s cannot be analyzed f o r i n d i c a t i o n s o f r e l i a b i l i t y . N o t withstanding t h i s i r r e g u l a r i t y o f the form a t i o n process, the forms o f p r i v a t e documents tend t o be as t y p i c a l as those o f government and b u s i n e s s r e c o r d s . S o c i e t y f i n d s i t e a s i e s t t o f o l l o w conventions and, i n a s o c i e t y which i s i n c r e a s i n g l y dominated by bureaucracy, people have become accustomed t o the forms o f b u s i n e s s r e c o r d s . Whether c o n s c i o u s l y o r u n c o n s c i o u s l y done, people have adopted those forms when p u r s u i n g t h e i r own a f f a i r s . Thus, when the a r c h i v i s t a p p r a i s e s manuscripts f o r l e g a l v a l u e , he/she can l o o k f o r many o f the same elements of form d i s c u s s e d i n t h i s s e c t i o n . To review, a d m i s s i b i l i t y and weight are l a r g e l y based on e x t e r n a l and i n t e r n a l guarantees of document r e l i a b i l i t y . While e x t e r n a l guarantees u s u a l l y a r i s e from s t a t u t o r y p r o v i s i o n s , i n t e r n a l guarantees d e r i v e from the f o r m a t i o n p r o c e s s and forms of the document. Si n c e a document's fo r m a t i o n p r o c e s s r e p r e s e n t s the l i n k between the o u t s i d e world (the f a c t ) and the document, an a n a l y s i s o f i t s d e p e n d a b i l i t y r e v e a l s much about the v a l u e o f the document. For example, t h i s c h apter has shown t h a t r e c o r d s of procedure r e s u l t from e s t a b l i s h e d r u l e s (whether w r i t t e n or unwritten) whose purpose i s t o c r e a t e an environment i n which the r e c o r d - c r e a t o r r e c o r d s o n l y what a f a c t r e v e a l s about i t s e l f , and does so completely and p r e c i s e l y . Trustworthy procedures and r e c o r d k e e p i n g systems are l i k e l y t o produce t r u s t w o r t h y r e c o r d s . In a d d i t i o n t o a s s e s s i n g the f o r m a t i o n p r o c e s s of a document, many elements of form may be e v a l u a t e d f o r t h e i r c o n t r i b u t i o n t o r e l i a b i l i t y . Elements o f form may i n d i c a t e the document•s s t a t u s as an o r i g i n a l , d r a f t , or copy; i d e n t i f y the author, addressee, and time and p l a c e of an a c t i o n ; or v a l i d a t e or a u t h e n t i c a t e the a c t i o n o r the document. The more of t h e s e components a document has, the more u s e f u l i t i s as evidence of the 97 f a c t ( s ) i t embodies. A p p r a i s i n g documents f o r the second and t h i r d components of l e g a l v a l u e t h e r e f o r e r e q u i r e s knowledge o f s t a t u t o r y and r e g u l a t o r y requirements, a n a l y s o f b u r e a u c r a t i c standards and procedures, and a study o f documentary forms. 98 CHAPTER FOUR APPRAISING LEGAL VALUE IN DOCUMENTS Equipped w i t h an understanding o f the t h r e e components of l e g a l v a l u e , and o f many o f the e x t e r n a l and i n t e r n a l f a c t o r s c o n t r i b u t i n g t o l e g a l v a l u e , i t i s p o s s i b l e t o suggest some c r i t e r i a , and a methodology, f o r a p p r a i s i n g l e g a l v a l u e . As i n any area o f a p p r a i s a l , though, c r i t e r i a f o r i d e n t i f y i n g l e g a l v a l u e can never be a p p l i e d m e c h a n i c a l l y ; a p p r a i s a l must be done i n the c o n t e x t o f a p a r t i c u l a r s i t u a t i o n , and i n c o n j u n c t i o n w i t h a h e a l t h y dose of common sense. To a c e r t a i n extent, l e g a l v a l u e e x i s t s as an independent component of a document, but a l a r g e degree of any document's l e g a l v a l u e depends on cir c u m s t a n c e s . Whether a document w i l l ever be r e q u i r e d as evidence i n c o u r t depends on a case a r i s i n g f o r which the document has r e l e v a n t i n f o r m a t i o n . And, whether a r e l e v a n t document i s admitted t o c o u r t u l t i m a t e l y depends s o l e l y on the d e c i s i o n o f a judge, who c o n s i d e r s the f a c t s o f the case, the r u l e s of a d m i s s i b i l i t y , the e x c e p t i o n s t o those r u l e s , and p r e v i o u s d e c i s i o n s i n p r e v i o u s cases ( p r e c e d e n t ) . Furthermore, once admitted, the weight of the document as evidence depends not o n l y on the q u a l i t y o f the document, but a l s o on the f a c t s o f the case and on the o t h e r evidence 99 b e f o r e the j u r y . The a r c h i v i s t a p p r a i s i n g a body of documents f o r l e g a l v a l u e has no way o f knowing what documents w i l l be r e q u i r e d when, or what f a c t o r s may i n f l u e n c e a s p e c i f i c judge and j u r y i n a s p e c i f i c case. N e v e r t h e l e s s , t h i s t h e s i s has proposed t h a t t h e r e a re some b a s i c elements of l e g a l v a l u e which can p r o v i d e g e n e r a l guidance f o r the pro c e s s o f s e l e c t i n g and p r e s e r v i n g documents o f l e g a l s i g n i f i c a n c e . When a p p r a i s i n g documents f o r l e g a l v a l u e , common sense must p l a y a r o l e i n the d e c i s i o n s t h a t a re made. I t i s simply not p o s s i b l e t o p r e s e r v e a l l the documents t h a t modern s o c i e t y produces; some w i l l have t o be d e s t r o y e d . In a d d i t i o n t o common sense, a p p r a i s a l d e c i s i o n s should be based on an understanding o f why documents must be p r e s e r v e d f o r t h e i r l e g a l v a l u e . There are two reasons t o a p p r a i s e documents f o r l e g a l v a l u e . F i r s t , a r c h i v i s t s have a r e s p o n s i b i l i t y t o i d e n t i f y and p r e s e r v e sources t h a t p r o t e c t the r i g h t s o f a s o c i e t y , i t s c i t i z e n s , and i t s h e i r s . These sources a re documents t h a t have, or w i l l have, some r o l e i n c r e a t i n g , t r a n s f e r r i n g , m odifying, m a i n t a i n i n g , o r e x t i n g u i s h i n g l e g a l r i g h t s and d u t i e s . Second, documents wi t h l e g a l v a l u e a re products o f a p a r t i c u l a r j u r i d i c a l system and. r e f l e c t t he v a l u e s and f u n c t i o n i n g o f t h a t system. Even i f they no l o n g e r have a c t u a l l e g a l v a l u e , the documents show how the j u r i d i c a l 100 system governed and i n f l u e n c e d the a c t i o n s and r e a c t i o n s of people and i n s t i t u t i o n s w i t h i n the system; they r e v e a l the c r o l e o f law i n s o c i e t y and i n d i c a t e the e x t e n t t o which law permeated the s o c i e t y . They are p a r t of the s o c i e t y ' s documentary h e r i t a g e . Furthermore, s i n c e a s o c i e t y ' s j u r i d i c a l system has a g r e a t i n f l u e n c e on the a c t i v i t i e s and p u r s u i t s o f the s o c i e t y , an understanding o f the j u r i d i c a l system i s e s s e n t i a l t o an understanding of the s o c i e t y i n g e n e r a l . While i t can be argued t h a t these uses o f the document f a l l under " r e s e a r c h v a l u e , " they are i n c l u d e d i n t h i s d i s c u s s i o n of l e g a l v a l u e because the r e s e a r c h v a l u e of t h e s e documents i s d i r e c t l y l i n k e d t o the l e g a l n ature o f t h e i r c r e a t i o n and use. A r c h i v i s t s must t h e r e f o r e be a b l e t o i d e n t i f y the l e g a l a s p e c t s of documents. To form a documentary memory of a s o c i e t y ' s j u r i d i c a l system, i t i s u s e f u l t o f o l l o w the a d v i c e of Hans Booms, who recommended t h a t a r c h i v i s t s measure "the s o c i e t a l s i g n i f i c a n c e of p a s t f a c t s by a n a l y z i n g the v a l u e which t h e i r contemporaries a t t a c h e d t o them." 1 T h i s method pr e v e n t s the a r c h i v i s t from d i s t o r t i n g the v a l u e of documents by b r i n g i n g h i s / h e r i n t e r e s t s t o the a p p r a i s a l p r o c e s s . I t f r e e s the a r c h i v i s t from becoming i n v o l v e d i n c a l c u l a t i n g p robable or p o s s i b l e f u t u r e demands f o r the documents, o r from b e i n g swayed by c u r r e n t r e s e a r c h t r e n d s . In the case o f a p p r a i s i n g h i s t o r i c a l documents (those more than f i f t y y e a r s o l d ) , t h i s method pr e v e n t s the a r c h i v i s t 101 from a p p l y i n g c u r r e n t v a l u e standards t o the documents. I t h e l p s t o ensure t h a t . t h e documentary h e r i t a g e formed by the a r c h i v i s t r e f l e c t s the v a l u e s o f the s o c i e t y t h a t c r e a t e d the documents. Thus, i f the s o c i e t y i n which the documents were c r e a t e d saw no l e g a l use f o r some o f i t s documents, t h a t o u t l o o k s h o u l d be r e s p e c t e d by the a r c h i v i s t . F o l l o w i n g t h i s p r i n c i p l e , a r c h i v i s t s w i l l f i n d t h a t the documents t h a t b e s t r e f l e c t a s o c i e t y ' s j u r i d i c a l system are almost always l e g a l r e c o r d s . L e g a l r e c o r d s a re c r e a t e d f o r the express purpose of e s t a b l i s h i n g l e g a l r e l a t i o n s between two o r more e n t i t i e s . T h e i r e x i s t e n c e depends e n t i r e l y upon the v a l u e s o f a p a r t i c u l a r j u r i d i c a l system. T h e i r l e g a l n a ture i s t h e r e f o r e unambiguous, and they c l e a r l y i n d i c a t e the r i g h t s and d u t i e s r e c o g n i z e d by the system i n which they were c r e a t e d . In c o n t r a s t , documents w i t h p o t e n t i a l l e g a l v a l u e a r e c r e a t e d f o r a v a r i e t y o f n o n - l e g a l reasons; t h e i r r e l e v a n c e t o the j u r i d i c a l system depends on ci r c u m s t a n c e s . On t h e i r own, documents w i t h p o t e n t i a l l e g a l v a l u e cannot r e v e a l as much about a j u r i d i c a l system as l e g a l r e c o r d s can. Furthermore, l e g a l r e c o r d s a re u s u a l l y c r e a t e d a c c o r d i n g t o e s t a b l i s h e d procedures, so they have an element o f r e l i a b i l i t y and a u t h o r i t y t h a t may be m i s s i n g i n non- l e g a l documents. Thus, a s o c i e t y ' s documentary h e r i t a g e s h o u l d i n c l u d e the s o c i e t y ' s l e g a l r e c o r d s . As mentioned e a r l i e r , t h i s aspect o f a p p r a i s i n g l e g a l v a l u e c o i n c i d e s w i t h the a p p r a i s a l o f r e s e a r c h , o r 102 secondary, values. The a r c h i v i s t i s acting as a c u l t u r a l mediator, determining which types of records contribute to an understanding of the society and i t s culture. I t i s not necessary to preserve a l l of a society's l e g a l records i n order to form an adequate documentary heritage. Some le g a l records may have no s i g n i f i c a n t value beyond t h e i r r o l e i n a l e g a l transaction. For example, the a r c h i v i s t may decide that i n a c t i v e parking t i c k e t s do not have s u f f i c i e n t a r c h i v a l value to warrant t h e i r preservation. In other cases, a c e r t a i n type of l e g a l record may have some research value, but e x i s t i n such great quantities that i t i s not possible, or useful, to preserve a l l of the records. In t h i s situation,"the a r c h i v i s t may choose to sample the records; that i s , he or she may preserve only a representative part of the whole. The a r c h i v i s t ' s objective i s to preserve evidence of the society's l e g a l system, not to preserve a l l inactive l e g a l records. 2 Understanding a society's j u r i d i c a l system and i d e n t i f y i n g i t s l e g a l records comprise only one part of appraising documents for l e g a l value. The more d i f f i c u l t aspects of appraising l e g a l value are associated with 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 to i d e n t i f y sources that protect society's r i g h t s . To f u l f i l t h i s r e s p o n s i b i l i t y , a r c h i v i s t s must be knowledgeable about the values of the j u r i d i c a l system i n which they operate. They must also be aware of how these values shape t h e i r society's current and p o t e n t i a l 103 l e g a l needs. This knowledge and awareness must be brought to every appraisal, regardless of the age or o r i g i n of the documents being appraised. The o b l i g a t i o n to respond to society's current l e g a l needs has implications for the appraisal of h i s t o r i c a l documents. Since documents can acquire l e g a l value over time or i n d i f f e r e n t circumstances, documents that had l i t t l e or no l e g a l value to t h e i r contemporary society may have great l e g a l value to the a r c h i v i s t ' s present society. For example, old geological measurements of s o i l layers i n a p a r t i c u l a r v a l l e y have no l e g a l value on t h e i r own. However, i f the a r c h i v i s t ' s society i s concerned with erosion caused by logging and p o l l u t i o n , people may turn to these early documents to demonstrate what the v a l l e y ' s conditions were before industry entered the area. The c i t i z e n s may be able to use t h i s information to require c e r t a i n types of industry to take actions that w i l l prevent further damage to the environment. In t h i s example, the geological documents play an important r o l e i n helping c i t i z e n s to protect t h e i r r i g h t s and i n t e r e s t s and should be preserved for that reason. Appraising h i s t o r i c a l documents for l e g a l value i s therefore a two-step process. In the f i r s t step, the documents are appraised for what they reveal about the j u r i d i c a l system i n which they were created. The a r c h i v i s t acts as a c u l t u r a l mediator, forming the society's 104 documentary h e r i t a g e . In the second step, the documents are a p p r a i s e d f o r t h e i r l e g a l v a l u e t o the a r c h i v i s t ' s p r e s e n t s o c i e t y . The a r c h i v i s t has a v e r y d i f f e r e n t r o l e : guardian o f s o c i e t y ' s r i g h t s . In some r e s p e c t s , t h i s s i t u a t i o n c o n s t i t u t e s an e x c e p t i o n t o the p r i n c i p l e o f a p p r a i s i n g r e c o r d s o n l y i n the context o f t h e i r o r i g i n a l environment. Indeed, i t i s s i m i l a r t o the procedures i n a r e c o r d s management programme t h a t are designed t o suspend normal r e c o r d s d e s t r u c t i o n i n the case o f f o r e s e e a b l e , pending, o r a c t u a l l i t i g a t i o n o r government i n v e s t i g a t i o n . 3 In o t h e r words, the r e s p o n s i b i l i t y t o p r o t e c t the r i g h t s o f s o c i e t y i s o f prime importance, and can o v e r r i d e u s u a l procedures. D e s p i t e the undeniable importance of p r e s e r v i n g documents w i t h l e g a l v a l u e , a r c h i v i s t s have r e c e i v e d v e r y l i t t l e guidance i n how t o i d e n t i f y and e v a l u a t e such documents. Issues such as the d u r a t i o n o f l e g a l v a l u e , the need t o apply c u r r e n t l e g a l v a l u e s t o h i s t o r i c a l documents, and the c r i t e r i a f o r i d e n t i f y i n g and q u a l i f y i n g p o t e n t i a l l e g a l v a l u e have r a r e l y been addressed i n a r c h i v a l l i t e r a t u r e . H i s t o r i c a l l y , l e g a l v a l u e was the main reason f o r p r e s e r v i n g r e c o r d s . During the h i g h Middle Ages, the major i n s t i t u t i o n s o f western s o c i e t y (the Church and the State) produced and kept r e c o r d s mainly as evidence o f l e g a l t i t l e and p o l i t i c a l p r i v i l e g e . I d e n t i f y i n g l e g a l v a l u e i n documents was not a problem because the o n l y documents t h a t 105 were created were l e g a l documents. Archives i n mediaeval society were not storehouses of information on past administrative transactions; rather, they were arsenals of law. That i s , archives were " e s s e n t i a l l y t reasuries of l e g a l documents which, because they seemed to support and maintain the structure of society, retained t h e i r primary l e g a l value regardless of t h e i r age or use." 4 And t h e i r primary use was for control and management of the State. As administrative bureaucracies grew and became more complex, they began to produce other types of documents i n s i g n i f i c a n t quantities. Records-keepers and administrators dealt with the increasing volume of documents through appraisal, usually applying a r b i t r a r y and u t i l i t a r i a n c r i t e r i a to choose the documents to be kept and those to be destroyed. 5 P o l i t i c a l and administrative purposes began to be considered i n the appraisal process, but no coherent body of appraisal theory was developed at t h i s time. The modern h i s t o r y of archives begins with the French Revolution. Appraisal was the foremost problem that confronted the a r c h i v i s t s at the new Archives Nationales since most of the records from the Ancien Regime had l o s t t h e i r s i g n i f i c a n c e for administrative purposes. An appraisal board was appointed, and four categories of documents were i d e n t i f i e d . The f i r s t two categories were to be preserved, and included (1) "useful papers" (Papiers u t i l e s ) , which were documents related to the administration 106 of property confiscated by the State; and (2) " h i s t o r i c a l papers" (Chartes et Monuments appartenant a l ' h i s t o i r e , aux sciences et aux a r t s ) . The l a s t two categories, "feudal t i t l e s " ( T i t res feodaux), and "useless papers" (Papiers i n u t i l e s ) , were to be destroyed. 6 One of the important consequences of t h i s appraisal process was the emerging idea that, a f t e r a c e r t a i n period of time, documents acquired " h i s t o r i c a l " values that were d i s t i n c t from the values for which the documents were o r i g i n a l l y created. Documents became instruments of culture and research. Archives were no longer arsenals of law, but arsenals of culture. These ideas spread throughout Europe and influenced the future development of archives. In England, l e g a l documents had t r a d i t i o n a l l y been considered "public records"—documents accessible to the public as "the people's evidences"—and were the focus of the Public Records Off i c e ' s a c t i v i t i e s . 7 I t was a surprise, then, when a Select Parliamentary Committee established i n 1836 to investigate the work of a series of Record Commissions appointed since 1800 c r i t i c i z e d the Commissions for confining t h e i r work to "those o f f i c e s where there are c o l l e c t i o n s of records of ancient date, valuable for h i s t o r i c a l , antiquarian, genealogical, and topographical, rather than f o r l e g a l purposes." 8 Since the Record Commissions had been appointed to review the nature of public documents i n the country and to s e l e c t the most 107 v a l u a b l e f o r p u b l i c a t i o n , t h i s c r i t i c i s m o f t h e i r work i n d i c a t e s t h a t l e g a l v a l u e had d e c l i n e d i n importance as a documentary v a l u e . The 1836 S e l e c t Committee lamented t h i s development and proposed t h a t documents be a s s i g n e d v a l u e a c c o r d i n g t o t h e i r u s e f u l n e s s f o r the p u b l i c as a whole, not f o r t h e narrower h i s t o r i c a l i n t e r e s t s o f a few. U n f o r t u n a t e l y , the Committee d i d not p r o v i d e any guidance about how t o judge the u s e f u l n e s s o f documents, o r how t o i d e n t i f y " r e c o r d s v a l u a b l e f o r l e g a l purposes." In North America, h i s t o r i a n s dominated e a r l y a r c h i v a l a c t i v i t y . The f i r s t a r c h i v e s were founded t o p r e s e r v e documents of h i s t o r i c a l v a l u e , and t h i s h i s t o r i c a l focus remained the main motive of a r c h i v a l a c q u i s i t i o n f o r many y e a r s . In 1930, American a r c h i v i s t Margaret Cross Norton became one of the f i r s t t o speak out a g a i n s t the dominant view t h a t a r c h i v e s should be a d m i n i s t e r e d p r i m a r i l y t o s e r v e the i n t e r e s t s o f h i s t o r i a n s . She argued t h a t a r c h i v e s , and e s p e c i a l l y p u b l i c a r c h i v e s , were e s s e n t i a l l y l e g a l r e c o r d s t h a t needed t o be kept f o r important a d m i n i s t r a t i v e purposes. 9 However, w h i l e Norton i d e n t i f i e d the need t o e x p l o r e the l e g a l nature of documents, she f a i l e d t o d e f i n e the components o f l e g a l v a l u e . In 1946, American a r c h i v i s t P h i l i p Bauer addressed the i s s u e o f a r c h i v a l a p p r a i s a l i n a N a t i o n a l A r c h i v 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 , The A p p r a i s a l of C u r r e n t and Recent Records• Bauer i n c l u d e d some comments about l e g a l v a l u e , 108 p r o p o s i n g f i r s t , t h a t "an agency e s t a b l i s h e d t o p r o t e c t or r e g u l a t e c e r t a i n p r i v a t e i n t e r e s t s ought, o f course, t o m a i n t a i n a p p r o p r i a t e r e c o r d s and p r e s e r v e them as l o n g as the i n t e r e s t s p r i m a r i l y a f f e c t e d by them s u b s i s t , " and secondly, t h a t "a f a i r working p r i n c i p l e f o r f i x i n g the r e t e n t i o n p e r i o d o f such r e c o r d s would be t o c o n s i d e r them o n l y i n r e l a t i o n t o those i n t e r e s t s t h a t f a l l w i t h i n the j u r i s d i c t i o n o f the agency c r e a t i n g or accumulating them and not i n r e l a t i o n t o a l l the l i m i t l e s s r i g h t s and i n t e r e s t s t h a t c o u l d be defended by t h e i r c o l l a t e r a l u s e . " 1 0 Ten y e a r s l a t e r , i n 1956, S c h e l l e n b e r g endorsed Bauer's c o n c l u s i o n s i n h i 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. 1 1 The problem w i t h Bauer's recommendations i s t h a t they o n l y r e l a t e t o c u r r e n t p u b l i c r e c o r d s . No i n s t r u c t i o n s are g i v e n f o r a p p r a i s i n g h i s t o r i c a l documents, nor do the recommendations r e c o g n i z e t h a t documents w i t h l e g a l v a l u e may be produced o u t s i d e of r e g u l a t o r y a g e n c i e s . The concept o f p o t e n t i a l l e g a l v a l u e i s ignored, as i s the i s s u e of what v a l u e the r e c o r d s have when the r i g h t s or i n t e r e s t s they a f f e c t cease t o e x i s t . Furthermore, by recommending a r e t e n t i o n p e r i o d f o r such r e c o r d s based on the c r e a t i n g agency's i n t e r e s t s , Bauer and S c h e l l e n b e r g seem t o o v e r l o o k the a r c h i v i s t ' s broader r e s p o n s i b i l i t i e s t o s o c i e t y . The complex q u e s t i o n s r e l a t e d t o a p p r a i s i n g l e g a l v a l u e remained not o n l y unanswered a t t h i s time, but a l s o unasked. 109 No q u e s t i o n s o r answers were forthcoming i n the 1960s and 1970s, decades t h a t witnessed a v e r i t a b l e d e a r t h o f new a p p r a i s a l concepts i n the North American a r c h i v a l community. 1 2 The o n l y major d i s c u s s i o n of a p p r a i s a l i n t h i s p e r i o d was Maynard 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 , produced as one o f the S o c i e t y o f American A r c h i v i s t s 1 b a s i c manuals on a r c h i v a l t h e o r y . Although B r i c h f o r d p u l l e d t o g e t h e r many id e a s about a p p r a i s a l , he o f f e r e d l i t t l e t h a t was new w i t h r e s p e c t t o a r c h i v a l v a l u e s and t o methods of i d e n t i f y i n g them. He p o i n t e d out t h a t l e g a l v a l u e s were an important f a c t o r i n the e v a l u a t i o n of documents, and t h a t a major a d m i n i s t r a t i v e v a l u e of a r c h i v e s was " t h e i r use t o prove the l e g a l o r c i v i l r i g h t s o f i n d i v i d u a l s t o c i t i z e n s h i p , p r o p e r t y , and employment b e n e f i t s . " 1 3 He recommended t h a t documents be p r e s e r v e d f o r l e g a l v a l u e i f t h e i r r e t e n t i o n was r e q u i r e d by s t a t u t o r y p r o v i s i o n s o r i f they " e x p l a i n j u d i c i a l o p i n i o n s o r l e g a l i n t e r p r e t a t i o n s , document a c t i v i t i e s o r events t h a t may i n v o l v e l e g a l a c t i o n , e x p l a i n p r o c e d u r a l r u l e s , o r se r v e as evidence o f p r o p e r t y ownership or l e g a l o b l i g a t i o n s . 1 , 1 4 T h i s i s a good l i s t o f the types of documents t h a t may have l e g a l v a l u e . U n f o r t u n a t e l y , B r i c h f o r d goes no f u r t h e r than p r o v i d i n g the l i s t . He does not i n d i c a t e how a r c h i v i s t s are t o r e c o g n i z e these documents; he does not d i s t i n g u i s h between p o t e n t i a l and extant l e g a l v a l u e ; he does not d i s c u s s the c h a r a c t e r i s t i c s t h a t documents should have i n 110 o r d e r t o be accepted as l e g a l evidence. Once again , the a p p r a i s a l of l e g a l v a l u e i s d e a l t w i t h q u i c k l y and i n a d e q u a t e l y . I n t e r e s t i n a p p r a i s a l r e v i v e d i n the 1980s, but the f o cus had s h i f t e d from e v a l u a t i o n o f documentary v a l u e s t o d i s c u s s i o n of "documentation s t r a t e g y . " The major proponents o f t h i s new concept were, and c o n t i n u e t o be: R i c h a r d Cox, L a r r y Hackman, Helen Samuels, and Joan Warnow- Bl e w e t t . 1 5 The r a t i o n a l e behind documentation s t r a t e g y i s the i d e a t h a t " t r a d i t i o n a l c o l l e c t i n g a c t i v i t i e s , shaped by the i n t e r n a l concerns of a s i n g l e i n s t i t u t i o n , no l o n g e r adequately respond t o the c h a l l e n g e s p r e s e n t e d by modern r e c o r d s . " 1 6 The advocates o f documentation s t r a t e g y c l a i m t h a t " a r c h i v i s t s must focus t h e i r s i g h t s on the f u l l documentation of s o c i e t y , not merely the piecemeal e v a l u a t i o n of i s o l a t e d r e c o r d s , f o r h i s t o r i c a l or o t h e r long-term v a l u e . " 1 7 Documentation s t r a t e g i e s are t h e r e f o r e p l a n s formulated t o assure the adequate documentation of an ongoing i s s u e , a c t i v i t y , f u n c t i o n , s u b j e c t , o r geographic 18 a r e a . In these s t r a t e g i e s , the l o g i c a l g o a l o f a p p r a i s a l seems t o have become the h i s t o r i c a l documentation of s o c i e t y r a t h e r than the i d e n t i f i c a t i o n o f documents t h a t w i l l serve the needs of s o c i e t y . As a r c h i v i s t Frank Boles comments, documentation s t r a t e g y u l t i m a t e l y i s not h e l p f u l f o r a s s e s s i n g q u a l i t y o f s e l e c t i o n : 111 A Documentation strategy w i l l help a r c h i v i s t s understand the document universe, and may even suggest useful material that currently does not e x i s t inside that universe. But a r c h i v i s t s w i l l s t i l l have to s e l e c t out of that universe what should be saved, whether i t be an 'adequate documentary heritage* or some other idea. 1 9 In other words, a r c h i v i s t s s t i l l need to deal with documentary values. They s t i l l need to i d e n t i f y and define the values that make a document worthy of preservation. Indeed, even within a documentation strategy area, not a l l documentation can, or should, be preserved. Another c r i t i c i s m of documentation strategy comes from Roy Turnbaugh, State A r c h i v i s t of Oregon. Speaking from the point-of-view of a government a r c h i v i s t , Turnbaugh challenges the idea that the a r c h i v a l profession's f i r s t r e s p o n s i b i l i t y i s to document society and to serve h i s t o r i a n s . He argues that "our primary constituencies as public records a r c h i v i s t s are our parent governments, and beyond and above them, t h e i r sovereigns, our fellow c i t i z e n s . Our obligations to these two constituencies are d i r e c t and immediate. Less d i r e c t l y , l e s s immediately come a l l other c o n s t i t u e n c i e s — h i s t o r i a n s , scholars i n general, genealogists, attorneys—groups which lack the imperative possessed by the state and i t s c i t i z e n s . " A r c h i v i s t s must ask themselves not merely "What do we care for?" but also "Whom do we care f o r ? " 2 0 These arguments imply that 112 a r c h i v i s t s have a r e s p o n s i b i l i t y to meet the p r a c t i c a l needs of society, not j u s t the scholarly demands of one part of society. Documentation s t r a t e g i s t s seem to have overlooked t h i s f a c t , leaving one to wonder i f the i n t e r e s t s and needs of society w i l l be neglected i n t h e i r documentation plans. Documentation s t r a t e g i s t s are not the only a r c h i v i s t s who seem to have forgotten about the l e g a l value of documents, as evidenced i n the only major a r t i c l e to be written about documentary values i n the 1980s, "Exploring the Black Box: The Appraisal of University Administrative Records." 2 1 In t h i s a r t i c l e , a r c h i v i s t s Frank Boles and J u l i a Marks Young attempt to " p u l l apart the elements and components of the [appraisal] process, to e s t a b l i s h more precise d e f i n i t i o n s for them, and to analyze t h e i r i n t e r a c t i o n . " Their goal i s to b u i l d an appraisal model that incorporates " i n a l o g i c a l form a l l the s i g n i f i c a n t parts of appraisal, both those t r a d i t i o n a l l y acknowledged by a r c h i v i s t s and those factors which are often u n a r t i c u l a t e d . " 2 2 The model proposed by Boles and Young includes three general categories of appraisal decisions: the value of the information, the costs of retention, and the p o l i t i c a l and procedural implications of the appraisal recommendations. 2 3 Each category consists of several components which, i n turn, are broken down into elements. Despite the seeming comprehensiveness of the model, and despite the a r c h i v i s t s * stated goal to incorporate " a l l the 113 s i g n i f i c a n t p a r t s o f a p p r a i s a l , " l e g a l v a l u e i s not mentioned anywhere i n the a r t i c l e . What, then, are the components o f l e g a l v a l u e , and what sh o u l d a r c h i v i s t s know i n or d e r t o e v a l u a t e l e g a l v a l u e ? The f i r s t , and e s s e n t i a l , component of documentary l e g a l v a l u e i s the e x i s t e n c e o f a r e l a t i o n s h i p between the document and some j u r i d i c a l f a c t . The a r c h i v i s t s h o u l d t h e r e f o r e b e g i n the a p p r a i s a l p r o c e s s by a n a l y z i n g the mandate and f u n c t i o n s o f the document-creator t o determine whether any o f these f u n c t i o n s i n v o l v e d the c r e a t i o n , maintenance, m o d i f i c a t i o n , t r a n s f e r , o r e x t i n c t i o n o f l e g a l r i g h t s and d u t i e s . Some l e g a l r i g h t s and r e s p o n s i b i l i t i e s w i l l a r i s e from s t a t u t o r y p r o v i s i o n s and r e g u l a t i o n s r e q u i r i n g r e c o r d s r e t e n t i o n , o t h e r s w i l l r e s u l t from the v a l u e s o f the j u r i d i c a l system i n which the documents were produced. Yet o t h e r s w i l l a r i s e from the v a l u e s o f the j u r i d i c a l system i n which the a r c h i v i s t i s working. Once a l l o f the j u r i d i c a l l y r e l e v a n t f u n c t i o n s , a c t i v i t i e s , and f a c t s have been i d e n t i f i e d , the next s t e p i s t o examine the r e c o r d s e r i e s o r documents t h a t a re r e l a t e d t o them and t o a s c e r t a i n what k i n d o f r e l a t i o n s h i p e x i s t s between the documents and the j u r i d i c a l f a c t s . I f the documents put a j u r i d i c a l a c t i n t o e f f e c t ( d i s p o s i t i v e ) , o r are r e q u i r e d as p r o o f o f a j u r i d i c a l a c t ( p r o b a t i v e ) , then they are l e g a l r e c o r d s . They have a d i r e c t l i n k t o e x i s t i n g j u r i d i c a l f a c t s , and t h e r e f o r e have 114 a c t u a l l e g a l v a l u e . T h i s v a l u e may be o n l y temporary, l a s t i n g u n t i l a t r a n s a c t i o n i s completed or a time p e r i o d e x p i r e s , o r i t may be more l o n g - l a s t i n g , such as the l e g a l v a l u e o f an a c t o f i n c o r p o r a t i o n f o r a company (the l e g a l v a l u e e x i s t s as l o n g as the company c o n t i n u e s t o e x i s t ) . Examples o f l e g a l r e c o r d s i n c l u d e b i r t h , marriage, and death r e c o r d s , which d e f i n e the f a c t s of a person's e x i s t e n c e , i d e n t i t y , and m a r i t a l s t a t u s , and are e s s e n t i a l i n e s t a b l i s h i n g important c o l l a t e r a l r i g h t s such as r i g h t s t o p r o p e r t y , the p r i v i l e g e of c i t i z e n s h i p , and s o c i a l b e n e f i t s . P o l i c e and c o u r t r e c o r d s document a person's o b l i g a t i o n t o make atonement f o r d elinquency. Insurance p o l i c i e s , trademarks, and p a t e n t s demonstrate an o r g a n i z a t i o n ' s r i g h t s t o p h y s i c a l and i n t e l l e c t u a l p r o p e r t y , w h i l e i t s o b l i g a t i o n s t o i t s p e r s o n n e l are documented i n i t s p a y r o l l , p e nsion p l a n , and Workers' Compensation r e c o r d s . 2 4 Often, an o r g a n i z a t i o n ' s l e g a l r e c o r d s are i d e n t i f i e d as v i t a l r e c o r d s — t h e y are the r e c o r d s t h a t w i l l enable the o r g a n i z a t i o n t o c o n t i n u e or t o resume i t s l e g a l s t a t u s , o p e r a t i o n s , r i g h t s , and o b l i g a t i o n s d u r i n g o r a f t e r a p e r i o d o f c r i s i s . L e g a l r e c o r d s are v a l u a b l e because they embody f a c t s t h a t d i r e c t l y a f f e c t the r i g h t s and d u t i e s o f p h y s i c a l and j u r i d i c a l persons, a primary concern of s o c i e t y . S u p p o r t i n g documents, which i n c l u d e documents o f p r o c e s s and documents r e l a t e d t o ongoing j u r i d i c a l a c t i v i t i e s , have a d i f f e r e n t l i n k w i t h j u r i d i c a l f a c t s . 115 These documents do not d i r e c t l y a f f e c t the r i g h t s o f o t h e r s , and t h e i r l e g a l v a l u e u s u a l l y depends on cir c u m s t a n c e s . Documents of pr o c e s s , f o r example, may r e l a t e t o a j u r i d i c a l f a c t , but not i n an e n f o r c e a b l e form. A d r a f t o f a c o n t r a c t l a c k s the s i g n a t u r e s necessary t o make the document a b l e t o e s t a b l i s h l e g a l r i g h t s ; i t i s t h e r e f o r e not a l e g a l r e c o r d . However, i t does c o n t a i n evidence of an i n t e n t t o c r e a t e l e g a l r e l a t i o n s between two persons and may be c o n s i d e r e d t o have " p o t e n t i a l l e g a l v a l u e . " I f the o r i g i n a l , e n f o r c e a b l e v e r s i o n o f the c o n t r a c t does not e x i s t , then the d r a f t v e r s i o n may be r e q u i r e d as evidence of the i n t e n t t o c r e a t e l e g a l r e l a t i o n s . The d r a f t v e r s i o n g a i n s l e g a l v a l u e when the law becomes concerned w i t h the f a c t s t o which i t bears w i t n e s s . Documents r e l a t e d t o j u r i d i c a l l y r e l e v a n t a c t i v i t i e s have a s i m i l a r s t a t u s t o documents of p r o c e s s . They do not embody a j u r i d i c a l a c t , but they are produced i n the course of c a r r y i n g out a l e g a l duty. For example, a p r o f e s s o r i s r e q u i r e d t o impart knowledge and t o educate s t u d e n t s . I f the p r o f e s s o r chooses t o w r i t e l e c t u r e notes as a means of ac c o m p l i s h i n g t h i s duty, the notes c o n s t i t u t e evidence of the p r o f e s s o r ' s a t t e n t i o n t o h i s / h e r duty, and t h e r e f o r e have p o t e n t i a l l e g a l v a l u e . Those notes may be needed i n a wrongful d i s m i s s a l case t o show t h a t the p r o f e s s o r d i d indeed c a r r y out h i s / h e r duty. 116 The key t o i d e n t i f y i n g p o t e n t i a l l e g a l v a l u e i s t o c o n s i d e r a l l the circumstances t h a t might a f f e c t t h e documents. Do s t r o n g e r documents r e l a t e d t o the j u r i d i c a l f a c t e x i s t ; are they i n reasonably secure custody; are they l i k e l y t o remain i n secure custody? I s t h e r e a time f a c t o r t h a t w i l l change the nature o f the r e l a t i o n s h i p between document and f a c t ? I s l i t i g a t i o n i n v o l v i n g t h e s e documents f o r e s e e a b l e ? I f i t does not seem l i k e l y t h a t the documents c o u l d ever be r e q u i r e d as evidence, then they have o n l y weak p o t e n t i a l l e g a l v a l u e . For example, i f the o r i g i n a l c o n t r a c t i s r e a d i l y a v a i l a b l e and i n good c o n d i t i o n , then the d r a f t v e r s i o n has l i t t l e l e g a l v a l u e . I f the p r o f e s s o r has tenure and i s near r e t i r e m e n t , then i t i s u n l i k e l y t h a t the l e c t u r e notes w i l l be r e q u i r e d as l e g a l evidence o f h i s / h e r performance. P o t e n t i a l l e g a l v a l u e o f s u p p o r t i n g documents i s t h e r e f o r e based on f o r e s e e a b l e c i r c u m s t a n c e s i n which the documents w i l l be needed as e v i d e n c e . 2 5 N a r r a t i v e documents, which c o n s t i t u t e w r i t t e n evidence of j u r i d i c a l l y i r r e l e v a n t a c t i v i t i e s , are the l a s t c a t e g o r y of documents t o be c o n s i d e r e d . In some cases, n a r r a t i v e documents may be about events which w i l l g a i n j u r i d i c a l s i g n i f i c a n c e i n a d i f f e r e n t time and cont e x t , as has v happened w i t h the j o u r n a l s o f e a r l y a n t h r o p o l o g i s t s and m i s s i o n a r i e s who observed and d e s c r i b e d t r a d i t i o n a l p o t l a t c h ceremonies on the West Coast. Among o t h e r purposes, these ceremonies served t o e s t a b l i s h p r o p e r t y r i g h t s w i t h i n the 117 c o n t e x t o f the n a t i v e j u r i d i c a l system, a f a c t t h a t i s now b e i n g accepted by some c o u r t s . These c o u r t s have examined the j o u r n a l s o f the a n t h r o p o l o g i s t s and m i s s i o n a r i e s and accepted them as the o n l y w r i t t e n evidence of the n a t i v e ceremonies. The j o u r n a l s have gained l e g a l v a l u e because of a change i n circumstances ( i n t h i s case, the c o u r t s ' r e c o g n i t i o n o f l e g a l procedures w i t h i n the n a t i v e j u r i d i c a l system) . 2 6 In o t h e r cases, n a r r a t i v e documents may be an e x p r e s s i o n o f a j u r i d i c a l l y i r r e l e v a n t a c t i v i t y t h a t e v e n t u a l l y r e s u l t s i n a j u r i d i c a l a c t . As mentioned i n Chapter One, the correspondence between two s c i e n t i s t s comparing r e s e a r c h r e s u l t s produces n a r r a t i v e documents because the a c t i v i t y does not a f f e c t l e g a l r i g h t s nor i s i t l e g a l l y r e q u i r e d f o r any purposes. However, i f the s c i e n t i s t s are working on a new c o u n t e r f e i t i n g p r o c e s s , t h e i r correspondence c o u l d r e s u l t i n the development of a p r i n t i n g p r o c e s s t h a t i s used i n a c r i m i n a l a c t . The correspondence c o u l d g a i n l e g a l v a l u e as evidence of the s c i e n t i s t s ' involvement i n the crime. The p o t e n t i a l l e g a l v a l u e of the n a r r a t i v e documents i n each o f these examples depends a g r e a t d e a l on circumstances t h a t are not e a s i l y f o r e s e e a b l e . U n l i k e s u p p o r t i n g documents, which do not embody j u r i d i c a l a c t s but are a t l e a s t r e l a t e d t o j u r i d i c a l l y r e l e v a n t a c t i v i t i e s , n a r r a t i v e documents a r e even f u r t h e r removed from a l i n k w i t h 118 j u r i d i c a l f a c t s . In many cases, the a r c h i v i s t would not be a b l e t o a n t i c i p a t e a l e g a l need f o r a n a r r a t i v e document u n l e s s he/she c o u l d see i n t o the f u t u r e , and i t i s not 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 p r e d i c t the f u t u r e . T h e r e f o r e , i t i s o f t e n d i f f i c u l t t o a t t r i b u t e much, i f any, p o t e n t i a l l e g a l v a l u e t o n a r r a t i v e documents. On the o t h e r hand, s i n c e i t i s p o s s i b l e f o r n a r r a t i v e documents t o a c q u i r e l e g a l v a l u e , the documents may have l e g a l v a l u e by the time they a re a p p r a i s e d , o r t h e r e may be c o m p e l l i n g and immediately f o r e s e e a b l e circumstances t h a t w i l l a f f e c t the documents. N a r r a t i v e documents must not be excluded from a p p r a i s a l o f l e g a l v a l u e simply because they a r i s e from j u r i d i c a l l y i r r e l e v a n t a c t i v i t i e s . Once the type o f document has been i d e n t i f i e d , and the e x i s t e n c e o f a c t u a l o r p o t e n t i a l l e g a l v a l u e has been e s t a b l i s h e d , the a r c h i v i s t can use the second and t h i r d components of l e g a l v a l u e t o determine the degree o f t h a t v a l u e . These l a s t two c o m p o n e n t s — a d m i s s i b i l i t y and w e i g h t — a r e l a r g e l y based on the r e l i a b i l i t y , completeness, and e n f o r c e a b i l i t y o f the documents. Sometimes, e x t e r n a l f a c t s (such as s t a t u t e s and r e g u l a t i o n s ) w i l l determine a document's a d m i s s i b i l i t y . More o f t e n , though, the a r c h i v i s t w i l l need t o assess the formation p r o c e s s and forms of the documents t o determine what they c o n t r i b u t e t o a d m i s s i b i l i t y and weight. 119 6 A s s e s s i n g t h e f o r m a t i o n p r o c e s s o f documents i n v o l v e s i d e n t i f y i n g the steps used t o c r e a t e the documents. Because government r e c o r d s and b u s i n e s s r e c o r d s u s u a l l y have a stan d a r d f o r m a t i o n p r o c e s s , t h a t p r o c e s s can be e v a l u a t e d r f o r what i t i n d i c a t e s about the r e l i a b i l i t y o f the r e c o r d s . M a n u s c r i p t s , however, a r i s e from i n d i v i d u a l and i d i o s y n c r a t i c p r o c e s s e s ; t h e r e f o r e , t h e i r f o r m a t i o n o f f e r s no r e a l guarantees of t r u s t w o r t h i n e s s . The f o r m a t i o n p r o c e s s of government and b u s i n e s s r e c o r d s u s u a l l y i n c l u d e s s t e p s t h a t are f o r m a l l y i n c o r p o r a t e d i n t o the c r e a t o r ' s procedures f o r c a r r y i n g out t r a n s a c t i o n s and producing r e c o r d s . Thus, i t i s u s e f u l f o r the a r c h i v i s t t o i d e n t i f y such procedures and t o v e r i f y t h a t they are/were r e g u l a r l y f o l l o w e d . R e s u l t s o f a u d i t s can p r o v i d e t h i s l a t t e r i n f o r m a t i o n , or the a r c h i v i s t can l o o k a t a sample of the r e c o r d s t o see i f they a l l conform t o the s t a n d a r d procedure. R e c o r d s - c r e a t i o n procedures should be examined f o r what they r e v e a l about who i s r e s p o n s i b l e f o r c r e a t i n g d i f f e r e n t c l a s s e s of r e c o r d s and how r e c o r d - c r e a t o r s are accountable f o r t h e i r r e c o r d s . R e c o r d s - c r e a t i o n procedures may a l s o enumerate the r e c o r d s t h a t are produced i n the o r d i n a r y course of b u s i n e s s , and o u t l i n e the elements t h a t c o n s t i t u t e a complete r e c o r d f o r each type of r e c o r d . T h i s i n f o r m a t i o n i s v a l u a b l e t o the a r c h i v i s t because both d i p l o m a t i c s and law a t t r i b u t e an i n t e r n a l guarantee o f r e l i a b i l i t y t o 120 r e c o r d s c r e a t e d a t , or near, the time o f an event, by o r from a person w i t h knowledge o f the event. T h i s person must a l s o be under a duty t o make the r e c o r d s i n the r e g u l a r course of b u s i n e s s . A n a l y s i s of r e c o r d s - c r e a t i o n procedures has become i n c r e a s i n g l y important as o f f i c e and i n f o r m a t i o n systems have moved toward compartmentalization o f r e s p o n s i b i l i t i e s , a c t i v i t i e s , and knowledge. As a r c h i v i s t Mark Hopkins has noted, "from the m a i l room a t the s t a r t of the assembly l i n e , paper moves a c r o s s a s e r i e s of desks where anonymous i n d i v i d u a l s c a r r y out incremental p r o c e s s i n g a c t i v i t i e s , " o f t e n without l e a v i n g any v i s i b l e t r a c e of who was i n v o l v e d w i t h the document a t what s t a g e . 2 7 The growing use o f computers and e l e c t r o n i c technology has exacerbated t h i s problem. Examination of procedures, and of t h e i r r e l i a b i l i t y and s e c u r i t y , i s o f t e n the most u s e f u l way t o e v a l u a t e the r e l i a b i l i t y o f the r e c o r d s they produce. A f t e r the a r c h i v i s t has s t u d i e d the f o r m a t i o n p r o c e s s of the documents, t h e i r forms can be examined. The elements o f documentary form which are r e l e v a n t t o l e g a l v a l u e i n c l u d e : mention of the author of the document or the a c t i o n ; mention of the date and p l a c e where the document was i s s u e d ; i d e n t i f i c a t i o n of the addressee; s i g n a t u r e s which are e i t h e r a v a l i d a t i o n or an a u t h e n t i c a t i o n (of the a c t , the document, o r o t h e r s i g n a t u r e s ) ; and q u a l i f i c a t i o n s of s i g n a t u r e s . The s t a t u s of the document as a d r a f t , 121 6 o r i g i n a l , o r copy may a l s o be determinable from i t s forms. These elements are important because they s e t a document i n a p a r t i c u l a r time and p l a c e , and i n d i c a t e the a u t h o r i t y of the document (eg., an o r i g i n a l i s e n f o r c e a b l e , a d r a f t i s n o t ) . They a l s o i d e n t i f y the persons i n v o l v e d i n the event t h a t the document embodies, and the persons i n v o l v e d i n the document's c r e a t i o n . T h i s i n f o r m a t i o n makes i t p o s s i b l e f o r a u s e r t o e v a l u a t e the r e l i a b i l i t y and r e l e v a n c e o f an i n d i v i d u a l document f o r a p a r t i c u l a r purpose. F o r t u n a t e l y , t h e s e elements o f t e n appear i n s t a n d a r d i z e d p l a c e s i n documents, a f a c t t h a t can h e l p the a r c h i v i s t q u i c k l y v e r i f y t h a t the a p p r o p r i a t e elements are p r e s e n t i n a document or a type o f document. The elements t h a t must appear i n a document t o make i t complete and e n f o r c e a b l e are determined by the purpose of the document, the nature o f the f a c t ( s ) c a p t u r e d i n i t , and any e s t a b l i s h e d procedures t h a t govern the f o r m a t i o n and forms of the document. For example, l e t t e r s (whether b u s i n e s s or personal) r e q u i r e addresses i n o r d e r t o be sent, and c o n t r a c t s ( d i s p o s i t i v e records) r e q u i r e s i g n a t u r e s t o i n d i c a t e t h a t both p a r t i e s have agreed t o the a c t i o n c o n t a i n e d i n the document; but n e i t h e r addresses nor s i g n a t u r e s are r e l e v a n t t o the completeness o f a c c o u n t i n g l e d g e r s . Assessment of the forms and completeness o f documents must t h e r e f o r e be done on the b a s i s of type o f document. 122 The p o i n t t o keep i n mind about completeness i s t h a t a document g a i n s v a l u e not from the f a c t t h a t i t i s complete, but from the f a c t t h a t i t i s supposed t o be complete. When a type o f document must be prepared a c c o r d i n g t o an e s t a b l i s h e d procedure and i n a g i v e n form, the u s e r w i l l always have a r e c o r d o f some f a c t — e i t h e r a r e c o r d o f the event ( i f the r i g h t forms are r e s p e c t e d ) , o r a r e c o r d about the o b s e r v e r / r e c o r d c r e a t o r ( i f the forms are in c o m p l e t e ) . An incomplete document may have as much weight as a complete document, depending on whether the us e r wants evidence about the r e c o r d i n g a c t i v i t y , the r e c o r d - c r e a t o r , the document, or the event r e f l e c t e d i n the document. S i m i l a r l y , i n a c c u r a t e or f a l s e documents may have l e g a l v a l u e i f they were used as genuine documents and produced consequences on t h a t b a s i s . Thus, the a r c h i v i s t need not examine each i n d i v i d u a l document f o r accuracy and completeness; r a t h e r , he/she sh o u l d determine whether the document i s of a type whose c r e a t i o n i s governed by a w e l l - e s t a b l i s h e d procedure. When a form i s r e q u i r e d f o r a type o f document, t h e i n d i v i d u a l documents of t h a t type are more l i k e l y t o be u s e f u l as l e g a l e vidence than u n r e g u l a t e d documents a r e . The r e s u l t i s t h a t documents governed by procedure u s u a l l y have g r e a t e r p o t e n t i a l l e g a l v a l u e than those t h a t a re not so c o n t r o l l e d . I f the r e c o r d i s a case f i l e , then completeness must be ev a l u a t e d a t two l e v e l s . F i r s t , t he a r c h i v i s t must i d e n t i f y the a c t s r e q u i r e d t o accomplish the f i n a l a c t , and must 123 c o n f i r m t h a t documentation of those a c t s i s r e g u l a t e d by procedure. That i s , c r e a t i o n o f the case f i l e s h o u l d be s u b j e c t t o e s t a b l i s h e d r u l e s t h a t s p e c i f y what documents must appear i n the f i l e . Second, the r e c o r d s o f each i n t e r m e d i a t e a c t , and of the f i n a l a c t , must be a p p r a i s e d f o r completeness as d i s c u s s e d above. S i n c e . f i l e l e v e l o r item l e v e l a n a l y s i s i s time-consuming i f the a r c h i v i s t i s fa c e d w i t h a l a r g e body of case f i l e s o r documents, a random sample of the f i l e s o r documents can be taken and examined f o r form and completeness. The a r c h i v i s t s h o u l d be a b l e t o a s c e r t a i n from the sample whether c r e a t i o n o f the f i l e s o r documents was governed by a procedure. G e n e r a l i z a t i o n s about the c o n d i t i o n o f the whole body of documents can be made from the a n a l y s i s o f the sample. The f a c t o r s which c o n t r i b u t e t o a d m i s s i b i l i t y and weight are d i f f i c u l t t o c a t e g o r i z e as b e l o n g i n g e x c l u s i v e l y t o one component o r the ot h e r . Elements t h a t h e l p documents meet a d m i s s i b i l i t y requirements a l s o s t r e n g t h e n the e f f e c t i v e n e s s o f the documents as evidence o f the a c t i v i t i e s embodied i n them. For i n s t a n c e , when r e c o r d s are c r e a t e d a c c o r d i n g t o procedure, they have an i n h e r e n t guarantee o f r e l i a b i l i t y t h a t w i l l be c o n s i d e r e d by any judge d e t e r m i n i n g a d m i s s i b i l i t y . The r e c o r d s a re a l s o l i k e l y t o be an adequate r e p r e s e n t a t i o n of events s i n c e procedures and forms are designed t o a s s i s t r e c o r d - c r e a t o r s c a p t u r e a l l r e l e v a n t i n f o r m a t i o n about events. Because the two components are so 124 r e l a t e d , and because the a r c h i v i s t cannot know what f a c t o r s w i l l be r e l e v a n t f o r a d m i s s i b i l i t y and weight i n any p a r t i c u l a r l e g a l case, the b e s t course o f a c t i o n f o r the a r c h i v i s t i s t o assess the o v e r a l l c r e d i b i l i t y and q u a l i t y of both the documentation p r o c e s s and the types o f documents a t hand. E v a l u a t i o n s o f s p e c i f i c documents w i l l be done by lawyers, judges, and j u r i e s w i t h i n the c o n t e x t o f p a r t i c u l a r c a s es. In c o n c l u s i o n , the d e c i s i o n t o p r e s e r v e documents f o r t h e i r l e g a l v a l u e should be based on a c o n s i d e r a t i o n o f a l l t h r e e components o f l e g a l v a l u e . A c t i v e d i s p o s i t i v e and p r o b a t i v e r e c o r d s have a c t u a l l e g a l v a l u e due t o the nature o f t h e i r l i n k w i t h j u r i d i c a l a c t s and, by d e f i n i t i o n , should a l s o be complete and e n f o r c e a b l e . A p p r a i s i n g l e g a l r e c o r d s t h e r e f o r e r e q u i r e s knowledge o f the r i g h t s and d u t i e s r e c o g n i z e d by the j u r i d i c a l system i n which the documents were c r e a t e d . Once the a r c h i v i s t has i d e n t i f i e d t he r e c o r d s t h a t document those r i g h t s and d u t i e s , the a r c h i v i s t can as s e s s t h e i r o v e r a l l r e l i a b i l i t y by a n a l y z i n g the form a t i o n p r o c e s s and the forms of the r e c o r d s . Another i s s u e t o examine i s the d u r a t i o n o f the l e g a l v a l u e . S i n c e l e g a l v a l u e i s l i n k e d t o r i g h t s and d u t i e s , the a r c h i v i s t must be a b l e t o i d e n t i f y t he l i f e span o f the l e g a l r e l a t i o n t o which the r e c o r d s r e l a t e . Some r e c o r d s are p a r t o f short- t e r m c o n t r a c t s , and cease t o have l e g a l v a l u e when the terms of the c o n t r a c t are s a t i s f i e d . Others 125 have longer-term v a l u e , such as the c o n s t i t u t i o n o f a company, which has l e g a l v a l u e as l o n g as the company e x i s t s . However, s i n c e a l l r i g h t s must be i n v e s t e d i n a j u r i d i c a l person o r persons, and s i n c e j u r i d i c a l persons r a r e l y endure f o r e v e r , i t i s f a i r t o ask whether documents ever have permanent l e g a l v a l u e . Some r i g h t s , such as l a n d t i t l e , do e x i s t f o r a long time. But even th e s e r i g h t s are dependent on' a j u r i d i c a l system t h a t r e c o g n i z e s them as such. The important q u e s t i o n , then, i s whether a r c h i v i s t s can j u s t i f y p r e s e r v i n g documents f o r t h e i r l e g a l v a l u e i f t h a t v a l u e i s not permanent. T h i s q u e s t i o n can be approached i n two ways. F i r s t , documents t h a t once had l e g a l v a l u e are an important p a r t of a s o c i e t y ' s documentary h e r i t a g e and should be p r e s e r v e d , i n t o t a l o r i n p a r t (as a p p r o p r i a t e ) , f o r the reasons o u t l i n e d e a r l i e r i n t h i s chapter. The second answer t o t h i s q u e s t i o n l i e s i n the concept of p o t e n t i a l l e g a l v a l u e . T h e o r e t i c a l l y , p o t e n t i a l l e g a l v a l u e i s a permanent v a l u e , f o r the p o s s i b i l i t y always e x i s t s t h a t a c e r t a i n document or body o f documents may be r e q u i r e d as l e g a l evidence a t any time. Documents which had a c t u a l l e g a l v a l u e i n a j u r i d i c a l system are good c a n d i d a t e s f o r p r e s e r v a t i o n f o r p o s s i b l e f u t u r e l e g a l uses. Although t h e i r l e g a l v a l u e has ceased t o e x i s t , such documents s t i l l r e t a i n the c h a r a c t e r i s t i c s t h a t o r i g i n a l l y gave them r e l i a b i l i t y and a u t h o r i t y . These c h a r a c t e r i s t i c s . w i l l c o n t r i b u t e t o the v a l u e o f the 126 documents as l e g a l evidence should they be r e q u i r e d f o r l i t i g a t i o n o r i n v e s t i g a t i o n s i n the f u t u r e . For example, the r e g i s t r a t i o n o f a marriage ceases t o have l e g a l v a l u e when the marriage ends ( e i t h e r by d i v o r c e o r upon the death o f one o f the p a r t n e r s ) . A descendent s e v e r a l g e n e r a t i o n s l a t e r , though, may need p r o o f o f the marriage i n o r d e r t o c l a i m an i n h e r i t a n c e o r t o show a p a r t i c u l a r l i n e a g e . The marriage r e g i s t r a t i o n would pr o b a b l y be accepted as adequate p r o o f i n t h i s s i t u a t i o n , and would g a i n l e g a l v a l u e f o r the descendent. With r e s p e c t t o the d u r a t i o n o f l e g a l v a l u e , then, l e g a l r e c o r d s must be p r e s e r v e d as l o n g as they have a c t u a l l e g a l v a l u e . That i s , they must be p r e s e r v e d as l o n g as the r i g h t s o r d u t i e s t o which they r e l a t e remain e f f e c t i v e . Once those r i g h t s o r d u t i e s cease t o e x i s t , the r e c o r d s s h o u l d be a p p r a i s e d f o r t h e i r p o t e n t i a l l e g a l v a l u e . T h i s a p p r a i s a l o f p o t e n t i a l l e g a l v a l u e c o u l d occur d u r i n g a r e a p p r a i s a l o f the r e c o r d s , o r i t c o u l d be c o n s i d e r e d d u r i n g the i n i t i a l a p p r a i s a l ; In e i t h e r case, the a r c h i v i s t must be aware t h a t most r e c o r d s do not have a c t u a l l e g a l v a l u e f o r e v e r , and some thought must be g i v e n t o what w i l l happen t o the r e c o r d s when t h e i r a c t u a l l e g a l v a l u e i s e x t i n g u i s h e d . R e t e n t i o n o f documents w i t h p o t e n t i a l l e g a l v a l u e i s l a r g e l y determined by the s t r e n g t h o f the second and t h i r d components of l e g a l v a l u e ( i . e . , a d m i s s i b i l i t y and weight). 127 S i n c e documents w i t h p o t e n t i a l l e g a l v a l u e do not d i r e c t l y a f f e c t r i g h t s and d u t i e s , t h e i r l e g a l worth depends on t h e i r u s e f u l n e s s as evidence i n an i n q u i r y o r t r i a l . I f the documents are not l i k e l y t o be admitted t o c o u r t because they l a c k b a s i c guarantees o f t r u s t w o r t h i n e s s , o r c o n t a i n hearsay, then t h e i r v a l u e as l e g a l evidence d e c r e a s e s . Because a r c h i v a l r e s o u r c e s a re s c a r c e , t h e r e i s l i t t l e p o i n t i n p r e s e r v i n g documents t h a t have p o t e n t i a l l e g a l v a l u e a c c o r d i n g t o the f i r s t component, but are inadequate i n terms o f the remaining two components. In c o n t r a s t , i f documents have p o t e n t i a l l e g a l v a l u e t h a t i s supported by the necessary elements c o n t r i b u t i n g t o a d m i s s i b i l i t y and weight, then they have s u f f i c i e n t v a l u e t o warrant t h e i r p r e s e r v a t i o n f o r p o t e n t i a l l e g a l uses. A r c h i v i s t s must a v o i d b e i n g tempted t o p r e s e r v e e v e r y t h i n g on the b a s i s o f p o t e n t i a l l e g a l v a l u e . S e l e c t i o n d e c i s i o n s must be made, and the a r c h i v i s t must be w i l l i n g t o accept some r i s k i n c a r r y i n g out a p p r a i s a l f o r l e g a l v a l u e . I t i s not p o s s i b l e t o p r e s e r v e a l l documents and, i n e v i t a b l y , some w i l l be d e s t r o y e d t h a t c o u l d have been u s e f u l t o an u n f o r e s e e a b l e f u t u r e i n v e s t i g a t i o n . The b e s t t h a t the a r c h i v i s t can do i s t o i d e n t i f y and p r e s e r v e those documents w i t h c u r r e n t l e g a l v a l u e and those t h a t seem t o have the s t r o n g e s t p o t e n t i a l l e g a l v a l u e , based on an assessment o f a l l t h r e e components of l e g a l v a l u e . 128 0 F i n a l l y , once the a r c h i v i s t has determined t h a t c e r t a i n documents warrant p r e s e r v a t i o n f o r t h e i r a c t u a l o r p o t e n t i a l l e g a l v a l u e , he/she then has a duty t o p r o t e c t the i n t e g r i t y o f the documents so t h a t t h e i r v a l u e i s not impaired by c a r e l e s s p r o c e s s i n g , p r e s e r v a t i o n , o r access p r o v i s i o n s . 129 CONCLUSION c L e g a l v a l u e i s u s u a l l y l i s t e d i n a r c h i v a l l i t e r a t u r e as an important a p p r a i s a l c r i t e r i o n , but l i t t l e has been w r i t t e n about what c o n s t i t u t e s l e g a l v a l u e , how one r e c o g n i z e s l e g a l v a l u e i n documents, o r how one determines the d u r a t i o n and s t r e n g t h of t h a t v a l u e . With these q u e s t i o n s i n mind, t h i s t h e s i s s e t out t o i n v e s t i g a t e the concept o f l e g a l v a l u e i n documents and t o c o n s i d e r how t h a t v a l u e can be a p p r a i s e d by a r c h i v i s t s . In t h i s p r o c e s s , t h r e e components of l e g a l v a l u e were i d e n t i f i e d , a d e f i n i t i o n of l e g a l r e c o r d s was proposed, and some g u i d e l i n e s f o r a p p r a i s a l were suggested. I t i s hoped t h a t t h i s i n v e s t i g a t i o n w i l l prompt f u r t h e r i n q u i r i e s i n t o t h i s important aspect of a p p r a i s a l . S i n c e l i t t l e has been w r i t t e n about l e g a l v a l u e i n the a r c h i v a l l i t e r a t u r e , t h i s t h e s i s e x p l o r e d the l i t e r a t u r e s o f s o c i o l o g y , r e c o r d s management, j u r i s p r u d e n c e , law, and d i p l o m a t i c s . The study s t a r t e d by a n a l y z i n g the document- event r e l a t i o n s h i p i n o r d e r t o g a i n an u n d e r s t a n d i n g o f (1) the r o l e t h a t documents p l a y i n the development o f events, and (2) the c o n n e c t i o n between events and the instruments t h a t r e c o r d them. I t was seen t h a t t h e r e i s a r e c i p r o c a l r e l a t i o n s h i p between documents and events. Documents embody 130 events, e n a b l i n g them t o s u r v i v e beyond the p r e s e n t , and making them a c c e s s i b l e t o s o c i e t y . On the o t h e r hand, the type o f event determines the nature o f the document, thereby i n f l u e n c i n g the v a l u e s i t has f o r s o c i e t y . In p a r t i c u l a r , whether an event i s j u r i d i c a l l y r e l e v a n t o r i r r e v e l a n t i s one of the de t e r m i n i n g f a c t o r s o f a document's l e g a l v a l u e . Documents r e l a t e d t o j u r i d i c a l l y r e l e v a n t e v e n t s — o n e s i n which the s o c i e t y ' s l e g a l system has an i n t e r e s t — h a v e some degree o f l e g a l v a l u e . They are l i n k e d , d i r e c t l y o r i n d i r e c t l y , t o an event w i t h l e g a l s i g n i f i c a n c e , and t h e r e f o r e c o u l d have a r o l e t o p l a y i n p r o t e c t i n g the r i g h t s o r i n t e r e s t s o f those a f f e c t e d by the event. Documents t h a t are not r e l a t e d t o j u r i d i c a l l y r e l e v a n t events do not have l e g a l v a l u e on t h e i r own. They w i l l o n l y g a i n l e g a l v a l u e i f circumstances change such t h a t the documents a c q u i r e some c o n n e c t i o n w i t h a j u r i d i c a l l y r e l e v a n t event. The f i r s t component o f l e g a l v a l u e i s thus the presence o f a r e l a t i o n s h i p between a document and a j u r i d i c a l event. Once t h i s r e l a t i o n s h i p has been i d e n t i f i e d , the document's l e g a l v a l u e can be c l a s s i f i e d a c c o r d i n g t o whether the r e l a t i o n s h i p i s d i r e c t o r i n d i r e c t . Documents t h a t are d i r e c t l y l i n k e d t o a j u r i d i c a l event, e i t h e r by the nature o f t h e i r c r e a t i o n o r by circumstances, have a c t u a l l e g a l v a l u e . That i s , the l e g a l system i s d i r e c t l y i n t e r e s t e d i n u s i n g the documents t o a s c e r t a i n the f a c t s t h a t i t needs. 131 Probably the most important and most u s e f u l of these documents i s the c l a s s i d e n t i f i e d i n t h i s t h e s i s as " l e g a l r e c o r d s " — t h o s e r e c o r d s t h a t e i t h e r execute, o r are w r i t t e n evidence o f , a c t s o r events t h a t c r e a t e , t r a n s f e r , modify, m a i n t a i n , or e x t i n g u i s h l e g a l r i g h t s and d u t i e s . These r e c o r d s are necessary t o the enforcement and p r o t e c t i o n o f s o c i e t y ' s r i g h t s . A l l documents w i t h a c t u a l l e g a l v a l u e s h o u l d be p r e s e r v e d as long as the event t o which they are r e l a t e d remains j u r i d i c a l l y r e l e v a n t . Documents t h a t are o n l y i n d i r e c t l y r e l a t e d t o a j u r i d i c a l event may have p o t e n t i a l l e g a l v a l u e . However, p o t e n t i a l l e g a l v a l u e o n l y e x i s t s when t h e r e are f o r e s e e a b l e circumstances i n which the l e g a l system may become i n t e r e s t e d i n the documents. While any document can g a i n l e g a l v a l u e i n the r i g h t circumstances, a r c h i v i s t s cannot become i n v o l v e d i n p r e d i c t i n g the f u t u r e , nor can they p r e s e r v e e v e r y t h i n g j u s t because something might a c q u i r e l e g a l v a l u e i n an unusual case. A r c h i v i s t s must work w i t h the narrow d e f i n i t i o n of p o t e n t i a l l e g a l v a l u e proposed here, and accept some r i s k . I t i s i n e v i t a b l e t h a t some documents t h a t c o u l d be u s e f u l i n an u n f o r e s e e a b l e s i t u a t i o n w i l l not be p r e s e r v e d . The b e s t t h a t a r c h i v i s t s can do i s t o i d e n t i f y and p r e s e r v e those documents w i t h a c t u a l l e g a l v a l u e f o r t h e i r s o c i e t y , and those w i t h s t r o n g p o t e n t i a l l e g a l v a l u e . 132 To determine the s t r e n g t h o f a document's p o t e n t i a l l e g a l v a l u e , the a r c h i v i s t must c o n s i d e r the second and t h i r d components of l e g a l v a l u e , which are r e l a t e d t o the use o f documents as l e g a l evidence. The second component, a d m i s s i b i l i t y , i s based on the r u l e s o f evidence t h a t a judge uses t o d e c i d e whether t o r e c e i v e a document as evidence i n a p a r t i c u l a r case. While some a s p e c t s o f a d m i s s i b i l i t y a re i n f l u e n c e d by the circumstances o f the p a r t i c u l a r case, o t h e r s are a s s o c i a t e d w i t h the r e l i a b i l i t y o f t he documents. T h i s r e l i a b i l i t y d e r i v e s from the t r u s t w o r t h i n e s s o f the documents' formation p r o c e s s and from i n h e r e n t documentary c h a r a c t e r i s t i c s . The t h i r d component of l e g a l v a l u e i s weight. U n l i k e a d m i s s i b i l i t y , weight i s not governed by any formal r u l e s o f evidence. Rather, i t depends on the document, the circumstances o f the case, and the i n f o r m a t i o n a l needs o f the t r i e r o f f a c t . N e v e r t h e l e s s , some p o r t i o n o f a document's weight i s r e l a t e d t o i t s e f f e c t i v e n e s s as a r e p r e s e n t a t i o n o f f a c t s . T h i s e v i d e n t i a l q u a l i t y o f the document i s composed of i n d i c a t i o n s o f r e l i a b i l i t y , e n f o r c e a b i l i t y , and completeness. When documents have a l l t h r e e components o f l e g a l v a l u e , they have s t r o n g l e g a l v a l u e (whether a c t u a l o r p o t e n t i a l ) , and must be p r e s e r v e d f o r t h a t v a l u e . I f one or more o f the components i s m i s s i n g , o r i s weak, then the 133 l e g a l v a l u e i s weakened, and the document may not warrant p r e s e r v a t i o n f o r i t s l e g a l v a l u e . A p p r a i s i n g l e g a l v a l u e i s not a mysterious p r o c e s s t h a t can o n l y be performed by those w i t h h i g h l y s p e c i a l i z e d knowledge. Rather, l e g a l v a l u e should be viewed as one of the many v a l u e s t h a t documents may have, and i t s h o u l d be e v a l u a t e d i n the normal course o f a p p r a i s a l . Much of the i n f o r m a t i o n and a n a l y s i s needed t o determine l e g a l v a l u e i s fundamental t o any a p p r a i s a l p r o c e s s . For i n s t a n c e , the SAA manual on a p p r a i s a l s t a t e s t h a t " a p p r a i s a l r e q u i r e s a f a m i l i a r i t y w i t h the h i s t o r y , o b j e c t i v e s , and methods of the agency o f o r i g i n and the r e l a t i o n s h i p s of r e c o r d s w i t h each ot h e r . The a r c h i v i s t may a c q u i r e t h i s s p e c i a l competency by r e a d i n g a d m i n i s t r a t i v e h i s t o r i e s , r e v i e w i n g s t a t u t e s and a d m i n i s t r a t i v e r e g u l a t i o n s governing o f f i c e o p e r a t i o n s , s t u d y i n g the o r g a n i z a t i o n a l c h a r t s and manuals, i n s p e c t i n g budget documents and p u b l i s h e d r e p o r t s , and f l o w - c h a r t i n g procedures t h a t r e s u l t i n the c r e a t i o n o f r e c o r d s . " 1 T h i s study of the agency's s t r u c t u r e and f u n c t i o n i n g , o f i t s r e c o r d s - c r e a t i o n procedures, and of r e l e v a n t l e g i s l a t i o n i s a l s o needed f o r the a r c h i v i s t t o i d e n t i f y l e g a l r e c o r d s and l e g a l v a l u e . Another element of a p p r a i s a l i s i m p a r t i a l i t y . That i s , the documentary h e r i t a g e t h a t i s p r e s e r v e d must p r e s e n t a p i c t u r e of s o c i e t y as i t s people expe r i e n c e d i t i n t h e i r day and age. The a r c h i v i s t must be aware of the c u l t u r e and 134 p r e v a i l i n g v a l u e s o f the s o c i e t y , and should a l l o w h i m / h e r s e l f t o be guided by the s o c i e t y ' s v a l u e system. Once again , t h i s approach i s a p p l i c a b l e t o the a p p r a i s a l o f l e g a l v a l u e s i n c e i t a s s i s t s the a r c h i v i s t i n d e t e r m i n i n g what r i g h t s and d u t i e s were r e c o g n i z e d by the s o c i e t y ' s j u r i d i c a l system. I t a l s o h e l p s t o i d e n t i f y t he documents t h a t s o c i e t y thought were important f o r the p r o t e c t i o n o f those r i g h t s and d u t i e s . Some asp e c t s o f l e g a l v a l u e , such as elements of forms and the concept o f completeness, r e q u i r e a d i p l o m a t i c a n a l y s i s o f documents. Although such an a n a l y s i s has not t r a d i t i o n a l l y been a p a r t o f the a p p r a i s a l p r o c e s s i n North America, i t has much t o o f f e r the a r c h i v i s t i n the i d e n t i f i c a t i o n , a p p r a i s a l , arrangement, and d e s c r i p t i o n o f documents. 2 A c q u i r i n g knowledge about d i p l o m a t i c methods sho u l d t h e r e f o r e not be seen as a s p e c i a l requirement f o r a p p r a i s i n g l e g a l v a l u e , but as an o p p o r t u n i t y t o expand the a r c h i v i s t ' s understanding o f , and a p p r e c i a t i o n f o r , the forma t i o n and essence o f documents. In a s o c i e t y governed by law i n a l l i t s a s p e c t s , and absorbed by the uses and v a l u e s o f reco r d e d i n f o r m a t i o n , i d e n t i f y i n g and p r e s e r v i n g documents t h a t d i r e c t l y o r i n d i r e c t l y a f f e c t r i g h t s and d u t i e s i s an important s o c i a l r e s p o n s i b i l i t y . As "keepers o f the r e c o r d , " a r c h i v i s t s have a p r o f e s s i o n a l and e t h i c a l duty t o p r e s e r v e a documentary h e r i t a g e t h a t w i l l h e l p t o p r o t e c t s o c i e t y , i t s 135 i n s t i t u t i o n s , i t s c i t i z e n s , and i t s h e i r s . A p p r a i s i n g l e g a l v a l u e i s t h e r e f o r e a c e n t r a l p a r t o f any a r c h i v a l a p p r a i s a l p r o c e s s . 136 NOTES I N T R O D U C T I O N 1. P h i l i p C. Brooks, Public Records Management, p. 1, quoted i n Purnendu Basu, Archives and Records: What Are They? (New Delhi: National Archives of India, 1960), 25. 2. K. D. Madan, "Governmental Records 'Explosion'—How to Contain I t , " Indian Archives 29 (July-Dec. 1980): 7. 3. Great B r i t a i n . Public Record O f f i c e , P r i n c i p l e s Governing the Elimination of Ephemeral or Unimportant Documents i n Public or Private Archives (London, n.d.), 1, quoted i n T. R. Schellenberg, The Appraisal of Modern Public Records. B u l l e t i n of the National Archives, No. 8 (Wash., D.C.: National Archives and Records Service, 1956),5. 4. Colloquium given by Jacques Grimard at the School of Library, A r c h i v a l , and Information Studies, University of B r i t i s h Columbia, 13 March 1990. 5. Hans Booms, "Society and the Formation of a Documentary Heritage: Issues i n the Appraisal of Archival Sources," ed. and trans. Hermina Joldersma and Richard Klumpenhouwer, Ar c h i v a r i a 24 (Summer 1987), 77. 6. Frank B. Evans, Donald F. Harrison, and Edwin A. Thompson, comps., "A Basic Glossary for A r c h i v i s t s , Manuscript Curators, and Records Managers," American A r c h i v i s t 37 (July 1974): s.v. "appraisal," 417. 7. Maynard J . Brichford, Archives and Manuscripts: Appraisal and Accessioning, Basic Manual Series (Chicago: Society of American A r c h i v i s t s , 1977), 4. 8. P a t r i c i a E. Wallace et a l . , Records Management: Integrated Information Systems. 2d ed. (New York: John Wiley & Sons, 1987), 87. 9. Schellenberg, Appraisal of Modern Public Records. 6. 10. H i l a r y Jenkinson, A Manual of Archive Administration, 2d ed. (London: Percy Lund, Humphries & Co. Ltd., 1965), 149, 151. 137 11. T. R. S c h e l l e n b e r g , 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 of Chicago P r e s s , 1956), 16, 133; S c h e l l e n b e r g , A p p r a i s a l of Modern P u b l i c Records, p. 6. 12. F e l i x H u l l , "The A p p r a i s a l o f Documents—Problems and P i t f a l l s , " J o u r n a l of the S o c i e t y o f A r c h i v i s t s 6 ( A p r i l 1980): 287-291. 13. Note t h a t i m p a r t i a l i t y — i n the sense o f not showing fav o u r t o the needs o f any type of document u s e r — i s an important f a c t o r o n l y i n democratic c o u n t r i e s . 14. Booms, " S o c i e t y and Documentary H e r i t a g e , " 101-02. 15. I b i d . , 104. 16. S o c i e t y may a l s o d e s i r e t o p r e s e r v e r e c o r d s f o r a v a r i e t y of c u l t u r a l , i d e o l o g i c a l , r e l i g i o u s , and s e n t i m e n t a l reasons. However, these reasons are o u t s i d e the realm of t h i s t h e s i s . 17. The view t h a t a r c h i v i s t s have a r e s p o n s i b i l i t y t o p r o t e c t the needs and i n t e r e s t s o f s o c i e t y was upheld by a d e c i s i o n o f the U n i t e d S t a t e s D i s t r i c t Court i n 1979. In the case American F r i e n d s S e r v i c e Committee, e t a l . v. W i l l i a m H. Webster, e t a l . . a group of s o c i a l a c t i o n o r g a n i z a t i o n s , h i s t o r i a n s , j o u r n a l i s t s , and o t h e r s f i l e d s u i t t o stop the d e s t r u c t i o n o f F e d e r a l Bureau of I n v e s t i g a t i o n (FBI) r e c o r d s and t o c h a l l e n g e an a r c h i v a l a p p r a i s a l d e c i s i o n . The s u i t charged the d e f e n d a n t s — r e p r e s e n t a t i v e s o f the FBI, 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 , the a t t o r n e y g e n e r a l ' s o f f i c e , and o t h e r o f f i c i a l s — w i t h " d e s t r o y i n g on a massive s c a l e unique, i r r e p l a c e a b l e h i s t o r i c a l r e c o r d s o f g r e a t l e g a l , r e s e a r c h , s c h o l a r l y , and o t h e r v a l u e . " The judge i n the case r u l e d i n f a v o u r of the p l a i n t i f f s , as d i d a U.S. D i s t r i c t Court o f Appeals judge, who s t a t e d t h a t : "We do not d i s a g r e e w i t h the government's g e n e r a l p o i n t t h a t the FBI may s a t i s f a c t o r i l y summarize such i n v e s t i g a t i v e data. But the summaries need t o account i n some reasonable f a s h i o n f o r h i s t o r i c a l r e s e a r c h i n t e r e s t s and the r i g h t s of a f f e c t e d i n d i v i d u a l s — n o t j u s t the FBI's immediate, o p e r a t i o n a l needs." (Susan D. S t e i n w a l l , " A p p r a i s a l and the FBI F i l e s Case: For Whom Do A r c h i v i s t s R e t a i n Records?" American A r c h i v i s t 49 (Winter 1986): 52-63.) 18. Canadian A r c h i v e s . Report t o the S o c i a l S c i e n c e s and Humanities Research C o u n c i l of Canada by the C o n s u l t a t i v e Group on Canadian A r c h i v e s (Ottawa: S o c i a l S c i e n c e s and Humanities Research C o u n c i l of Canada, 1980), 6. 19. Couture, C a r o l , and Jean-Yves Rousseau, The L i f e of a Document. A G l o b a l Approach t o A r c h i v e s and Records Management, t r a n s . David Homel (Montreal: V e h i c u l e Press, 1987), 140. 138 20. Margaret Cross Norton, "Some L e g a l Aspects o f A r c h i v e s , " American A r c h i v i s t 8 (January 1945): 5. 21. T e r r y Eastwood, " N u r t u r i n g A r c h i v a l E d u c a t i o n i n the U n i v e r s i t y , " American A r c h i v i s t 51 (Summer 1988): 248. 22. Ronald Dworkin, Law's Empire (Cambridge: Harvard U n i v e r s i t y Press, 1986), v i i , quoted i n Eastwood, " N u r t u r i n g A r c h i v a l E d u c a t i o n , " 248. 23. L u c i a n a D u r a n t i , " D i p l o m a t i c s : New Uses f o r an Old S c i e n c e , " A r c h i v a r i a 28 (Summer 1989): 17. H e r e i n a f t e r r e f e r r e d t o as " D i p l o m a t i c s (Part I ) . " 24. American a r c h i v i s t C l a r k E l l i o t t , who has i n v e s t i g a t e d the " f u n c t i o n a l r e l a t i o n s h i p of documents t o h i s t o r i c a l e vents," commented i n a 1985 a r t i c l e t h a t " a r c h i v i s t s , h i s t o r i a n s , and o t h e r i n v e s t i g a t o r s c u r r e n t l y l a c k an adequate grounding i n the atomic l e v e l of the s u b j e c t of document-event r e l a t i o n s . " ( C l a r k A. E l l i o t t , "Communication and Events i n H i s t o r y : Toward a Theory f o r Documenting the Past," American A r c h i v i s t 48 [ F a l l 1985]: 361.) CHAPTER ONE. EXPLORING THE NATURE OF DOCUMENTS 1. The SAA has d e f i n e d a document as "recorded i n f o r m a t i o n r e g a r d l e s s o f medium or c h a r a c t e r i s t i c s " (Evans e t a l . , " G l o s s a r y , " s.v. "document," 421). 2. I b i d . , s.v. " r e c o r d , " 428. 3. Eugenio Casanova, A r c h i v i s t i c a (Siena, 1928), 19, quoted i n S c h e l l e n b e r g , Modern A r c h i v e s . 12. 4. Jenkinson, Manual, 6. 5. V i c t o r i a L o u i s e B l i n k h o r n , "The Records o f V i s u a l A r t i s t s : A p p r a i s i n g f o r A c q u i s i t i o n and S e l e c t i o n " (Master of A r c h i v a l S t u d i e s t h e s i s , U n i v e r s i t y of B r i t i s h Columbia, 1988), 21. 6. U n i t e d Nations A d v i s o r y Committee f o r the C o - o r d i n a t i o n of I n f o r m a t i o n Systems, T e c h n i c a l Panel on E l e c t r o n i c Record Management (TP/REM), E l e c t r o n i c Records G u i d e l i n e s : A Manual f o r P o l i c y Development and Implementation ( F i f t h S e s s i o n of ACCIS, 18—21 September 1989), 9. H e r e i n a f t e r r e f e r r e d t o as ACCIS, E l e c t r o n i c Records G u i d e l i n e s . 7. I b i d . , 10. 139 8. L u c i a n a D u r a n t i , " D i p l o m a t i c s : New Uses f o r an Old S c i e n c e ( P a r t I I ) , " A r c h i v a r i a 29 (Winter 1989-90), 12. 9. J u r i d i c a l person: an e n t i t y c o n s i d e r e d by the law as capable o f r i g h t s and d u t i e s and t h e r e f o r e capable, o r p o t e n t i a l l y capable, of a c t i n g l e g a l l y . A j u r i d i c a l person i s c o n s t i t u t e d by e i t h e r a c o l l e c t i o n o r a s u c c e s s i o n of persons. Examples may i n c l u d e "the S t a t e , " "the Bureau o f C r i m i n a l I n v e s t i g a t i o n , 1 1 the P r e s i d e n t of the U n i t e d S t a t e s , and so on. I t i s i n t e r e s t i n g t o note t h a t one can have communication between p h y s i c a l persons o r between j u r i d i c a l persons, but not between a p h y s i c a l person and a j u r i d i c a l person, because, when d e a l i n g w i t h a j u r i d i c a l person, the p h y s i c a l person assumes a j u r i d i c a l r o l e t o o . 10. ACCIS, E l e c t r o n i c Records G u i d e l i n e s . 10. Note t h a t r e c o r d e d i n f o r m a t i o n may not meet the requirements o f a r e c o r d e d t r a n s a c t i o n ; hence, i t i s not a r e c o r d . I t i s s t i l l a document. though, and may indeed be a s i g n i f i c a n t document. 11. Luciana D u r a n t i , "The Odyssey of Records Managers. P a r t I : From the Dawn of C i v i l i z a t i o n t o the F a l l o f the Roman Empire," Records Management Q u a r t e r l y 23 ( J u l y 1989): 3; E r n s t Posner, A r c h i v e s i n the A n c i e n t World (Cambridge, Mass.: Harvard U n i v e r s i t y P r e s s , 1972), 94; M. T. Clanchy, "'Tenacious L e t t e r s ' : A r c h i v e s and Memory i n the Middle Ages," A r c h i v a r i a 11 (Winter 1980-81): 115; Clanchy, From Memory t o W r i t t e n Record. England. 1066-1307 (Cambridge, Mass.: Harvard U n i v e r s i t y Press, 1979), 56, 232. 12. D u r a n t i , "Odyssey," 3-5, 8; Posner, A r c h i v e s i n the A n c i e n t World. 23-79; O l i v e r W. Holmes, " H i s t o r y and Theory of A r c h i v a l P r a c t i c e , " i n U n i v e r s i t y A r c h i v e s , ed. R o l l a n d E. Stevens (Champaign, 111., 1965), 5-6; Denise Schmandt-Besserat, "From Ac c o u n t i n g t o W r i t t e n Language: The Role of A b s t r a c t Counting i n the I n v e n t i o n of W r i t i n g , " i n The S o c i a l C o n s t r u c t i o n o f W r i t t e n Communication, ed. Bennett A. R a f o r t h and Donald L. Rubin (Norwood, N.J.: Ablex P u b l i s h i n g C o r p o r a t i o n , 1988), 119- 130. 13. Posner, A r c h i v e s i n the A n c i e n t World, 3-4. 14. D u r a n t i , " D i p l o m a t i c s , (Part I I ) , " 10. 15. Henry Campbell Black, B l a c k ' s Law D i c t i o n a r y : D e f i n i t i o n s o f the Terms and Phrases of American and E n g l i s h J u r i s p r u d e n c e . A n c i e n t and Modern, 4th ed., r e v . (St. P a u l , Minn.: West P u b l i s h i n g Co., 1968), s.v " f a c t " . H e r e i n a f t e r r e f e r r e d t o as B l a c k ' s Law D i c t i o n a r y . 140 16. I b i d . , s.v. "event"; F r e d e r i c k P o l l o c k , A F i r s t Book of J u r i s p r u d e n c e f o r Students of the Common Law, 4th ed. (London: Macmillan and Co., 1918), 142-143. 17. B l a c k ' s Law D i c t i o n a r y , s.v. " a c t " . 18. P o l l o c k , F i r s t Book of J u r i s p r u d e n c e , 147; John Salmond, J u r i s p r u d e n c e . 7th ed. (London: Sweet and Maxwell, L t d . , 1924), 381-383, 393. 19. S t a n l e y R a f f e l , Matters o f F a c t : A S o c i o l o g i c a l I n g u l r v (London: Routledge and Kegan P a u l , 1979), 51. A s i m i l a r argument i s found i n George H. Kendal, F a c t s (Toronto: Butterworth and Company, 1980), 69, 72. 20. R a f f e l , M atters o f F a c t . 10, 19. 21. I b i d . , 41-43. 22. I b i d . , 55-67, 27-28. 23. I b i d . , 79, 84-87. 24. I b i d . , 102-106; D u r a n t i , " D i p l o m a t i c s ( P a r t I I ) , " 11. 25. A s i m i l a r p a t t e r n o f thought and r e c o r d development i s d e s c r i b e d i n Denise Schmandt-Besserat's study o f the i n v e n t i o n o f w r i t i n g i n Sumeria ("From Accounting t o W r i t t e n Language," 119- 130) . 26. Clanchy, From Memory t o W r i t t e n Record. 202-207. L a t e r a r c h i v i s t s u s u a l l y d i s c a r d e d such o b j e c t s because "the language of memory which they expressed had no s i g n i f i c a n c e f o r l i t e r a t e s " ( I b i d . , 207). 27. Clanchy, From Memory t o W r i t t e n Record. 21-24. 28. I b i d . , 203. 29. I b i d . , 205-207; Clanchy, '"Tenacious L e t t e r s , " * 123; Hugh T a y l o r , "'My Very A c t and Deed': Some R e f l e c t i o n s on the Role o f T e x t u a l Records i n the Conduct o f A f f a i r s , " American A r c h i v i s t 51 ( F a l l 1988): 459. 30. Clanchy, From Memory t o W r i t t e n Record. 36, 207-208, 245; Clanchy, "'Tenacious L e t t e r s , ' " 118. 31. T a y l o r , "'My Very A c t and Deed,'" 459. 32. For a d e f i n i t i o n o f j u r i d i c a l persons, see note 10. 141 33. D u r a n t i , " D i p l o m a t i c s (Part I I ) , " 5-7; Thomas E r s k i n e H o l l a n d , The Elements of J u r i s p r u d e n c e , 13th ed. (Oxford: Clarendon Press, 1924), 360; Paul V i n o g r a d o f f , Common Sense i n Law. 3d ed., r e v . and ed. H. G. Hanbury (1913: London: Oxford U n i v e r s i t y P r e s s , 1959), 63, 74. 34. A j u r i d i c a l system i s "a c o l l e c t i v i t y o r g a n i z e d on the b a s i s of a system of r u l e s . The system o f r u l e s i s c a l l e d a l e g a l system." ( D u r a n t i , " D i p l o m a t i c s [ P a r t I I ] , " 5 ) . In o t h e r words, a j u r i d i c a l system i s comprised of both a s o c i a l group and a l e g a l system. 35. George Whitecross Paton, A Text-book o f J u r i s p r u d e n c e . 2d ed. (Oxford: Clarendon Press, 1951), 218-219, 241; Salmond, J u r i s p r u d e n c e . 59, 237, 241-242, 357. 36. D u r a n t i , " D i p l o m a t i c s (Part I I ) , " 7. 37. I b i d . , 7-8. 38. T h i s d i s t i n c t i o n i s proposed and developed by D u r a n t i i n " D i p l o m a t i c s (Part I I ) , " 9. 39. Indeed, the l e g a l d e f i n i t i o n o f " t r a n s a c t i o n " i s "an a c t i n which more than one person i s concerned, and by which the l e g a l r e l a t i o n s of such persons between themselves are a l t e r e d . " ( Black's Law D i c t i o n a r y , s.v. " t r a n s a c t i o n . " ) 40. See f o r example, C h r i s t i n e J . N. Kates, "The Osgoode S o c i e t y : P r e s e r v a t i o n of L e g a l Records," Law S o c i e t y of Upper Canada Gazette 21 (March 1987): 58-70; Cathy J . Shepard, "Court and L e g a l Records a t the A r c h i v e s of O n t a r i o , " A r c h i v a r i a 24 (Summer 1987): 117-120; Barbara E. C o r r i g a n e t a l . , Guide t o the Management o f L e g a l Records ( P r a i r i e V i l l a g e , Kansas: A s s o c i a t i o n of Records Managers and A d m i n i s t r a t o r s , 1987). o 41. In Edwin A. Thompson's A G l o s s a r y o f American H i s t o r i c a l and L i t e r a r y Manuscript Terms, l e g a l documents are d e f i n e d as "documents of or p e r t a i n i n g t o the law, a r i s i n g out of or by v i r t u e of the law, or i n c l u d e d i n , based upon, o r governed by the law."^ A c a r e f u l a n a l y s i s of t h i s d e f i n i t i o n r e v e a l s a sense o f l e g a l documents which i s the same, or c l o s e l y r e l a t e d t o , the d e f i n i t i o n o f l e g a l r e c o r d s proposed i n t h i s t h e s i s . The most u s e f u l p a r t of t h i s d e f i n i t i o n i s Thompson's comprehensive l i s t o f examples of l e g a l documents i n the American j u r i d i c a l system: a b s t r a c t o f t i t l e , a c t , a d m i n i s t r a t i v e bond, a f f i d a v i t , agreement, appeal, a p p r a i s a l , a r t i c l e s o f a s s o c i a t i o n , a u t h o r i z a t i o n , award, bequest, b r i e f , bylaw, case, case f i l e , casebook, c e r t i f i c a t e , c e r t i f i c a t e o f i n c o r p o r a t i o n , c e r t i f i e d copy, charge book/sheet, c h a r t e r , c i t a t i o n , 142 c i t i z e n s h i p p a p e r s / r e c o r d s , c l a i m , c o d i c i l , complaint, c o n s t i t u t i o n , c o n t r a c t , c o r p o r a t i o n r e c o r d s , c o u r t - m a r t i a l order, c o u r t - m a r t i a l r e c o r d , c o u r t order, c o u r t r e c o r d s , d e c i s i o n , decree, d e d i c a t i o n , deed, deed o f p a r t i t i o n , deed o f manumission, deed p o l l , d e p o s i t i o n , d i g e s t , docket, engrossed b i l l , e n r o l e d b i l l , e x h i b i t , g u a r d i a n s h i p papers, homestead and preemption c e r t i f i c a t e , i n d e n t u r e , i n j u n c t i o n , judgment, judgment book, l a n d s c r i p , l a n d warrant, l e a s e , l e a s e and r e l e a s e , l e g a l f i l e , l e t t e r s c l o s e , l e t t e r s m i s s i v e , l e t t e r s of a d m i n i s t r a t i o n , l e t t e r s o f marque, l e t t e r s patent, l e t t e r s r o g a t o r y , l e t t e r s testamentary, l i c e n s e , l i t e r a r y p r o p e r t y r i g h t s , memorial, mortgage, mortgage bond, mortgage deed, mortgage l o a n , mortgage note, muniments, n a t u r a l i z a t i o n p a p e r s / r e c o r d s , nuncupative w i l l , o p i n i o n , o r d e r , o r d e r of the day, p a r t n e r s h i p r e c o r d s , p a s s p o r t , patent, p e t i t i o n , p l e a , power o f a t t o r n e y , q u i t c l a i m , r e l e a s e , r e s o l u t i o n , r o l l , schedule, s e a l , sentence, s h i p ' s papers, testimony, t i t l e , t r a n s f e r , t r e a t y , warrants, w i l l , w r i t , and w r i t o f c e r t i o r a r i . (Edwin A. Thompson, A G l o s s a r y o f American H i s t o r i c a l and L i t e r a r y M anuscript Terms [Washington: P r i v a t e l y P r i n t e d , 1965], quoted i n Couture and Rousseau, L i f e o f a Document. 279.) CHAPTER TWO: COMPONENTS OF LEGAL VALUE 1. The o t h e r v a l u e s are a d m i n i s t r a t i v e , f i s c a l , e v i d e n t i a l , and i n f o r m a t i o n a l . 2. I n t e r n a t i o n a l C o u n c i l of A r c h i v e s , D i c t i o n a r y of A r c h i v a l Terminology, s.v. " l e g a l v a l u e . " 3. Wilmer 0. Maedke, Mary J . Robek, and G e r a l d F. Brown, Inf o r m a t i o n and Records Management. 2d ed. (Encino, C a l i f o r n i a : Glencoe P u b l i s h i n g Co., 1981), 479. 4. P o t e n t i a l l e g a l v a l u e e x i s t s i n documents which do not c u r r e n t l y have extant l e g a l v a l u e , but which w i l l p r o b a b l y a c q u i r e l e g a l v a l u e due t o f o r e s e e a b l e c i r c u m s t a n c e s . P o t e n t i a l l e g a l v a l u e i s d i s t i n g u i s h e d from the concept o f documents a c q u i r i n g l e g a l v a l u e over time i n t h a t p o t e n t i a l l e g a l v a l u e depends on the e x i s t e n c e of f o r e s e e a b l e circumstances t h a t w i l l a f f e c t the l e g a l s t a t u s of the documents. Almost any document can g a i n l e g a l v a l u e g i v e n the a p p r o p r i a t e c i r c u m s t a n c e s , but when the circumstances are not f o r e s e e a b l e or p r e d i c t a b l e , they do not c o n t r i b u t e t o p o t e n t i a l l e g a l v a l u e . These concepts are developed l a t e r i n the chapter. 5. P o l l o c k , F i r s t Book of J u r i s p r u d e n c e , 141-142. 143 6. R. A. Brown, Documentary Evidence i n A u s t r a l i a ( A g i ncourt, O n t a r i o : C a r s w e l l Company L t d . , 1988), 8; W. Ken K a t s a r i s , Evidence and Procedure i n the A d m i n i s t r a t i o n o f J u s t i c e (New York: John Wiley and Sons, Inc., 1975), 6; Joseph D. S c h l o s s , Evidence and I t s L e g a l Aspects (Columbus, Ohio: C h a r l e s E. M e r r i l l P u b l i s h i n g Company, 1976), 1; Salmond, J u r i s p r u d e n c e . 498. 7. B l a c k ' s Law D i c t i o n a r y , s.v. "evidence." 8. John Henry Wigmore, A T r e a t i s e on the Anglo-American System o f Evidence i n T r i a l s a t Common Law. 3d ed. (Boston: L i t t l e , Brown and Co., 1940), v o l . 1, 6. 9. B l a c k ' s Law D i c t i o n a r y , s.v. "proof"; Salmond, J u r i s p r u d e n c e . 499; K a t s a r i s , Evidence and Procedure. 7, 32; Wigmore, T r e a t i s e on Evidence. 1:1, 411. 10. B l a c k ' s Law D i c t i o n a r y , s.v. "evidence"; K a t s a r i s , 207. 11. Thayer, P r e l i m i n a r y T r e a t i s e on Evidence. 16; Wigmore, T r e a t i s e on Evidence. 1:235; John Salmond, Essays i n J u r i s p r u d e n c e and L e g a l H i s t o r y (London: Stevens and Haynes, 1891; L i t t l e t o n , Colorado: Fred B. Rothman and Co., 1987), 18-20. 12. Thayer, P r e l i m i n a r y T r e a t i s e on Evidence. 17. 13. I b i d . , 50, 100, 139-140; Wigmore, T r e a t i s e on Evidence, 1:235-240; K a t s a r i s , Evidence and'Procedure f 3-4. 14. Brown, Documentary Evidence i n A u s t r a l i a . 1-2; Donald S. Skupsky, " A d m i s s i b i l i t y of O r i g i n a l Records i n Evidence," Records Management Q u a r t e r l y 20 ( A p r i l 1986): 48; Thayer, P r e l i m i n a r y T r e a t i s e on Evidence. 107. 15. K a t s a r i s , Evidence and Procedure. 26; Brown, Documentary Evidence i n A u s t r a l i a . 3-4; Wigmore, T r e a t i s e on Evidence f 1:296. 16. K a t s a r i s , Evidence and Procedure, 29-30; S c h l o s s , Evidence and I t s L e g a l A s p e c t s . 53-54; Thayer, P r e l i m i n a r y T r e a t i s e on Evidence, 265, 269; Wigmore, T r e a t i s e on Evidence. 1:289-293. 17. K a t s a r i s , Evidence and Procedure. 211-213; A. F. Sheppard, "Records and A r c h i v e s i n Court," A r c h i v a r i a 19 (Winter 1984-85): 197, 201; J . Douglas Ewart, Documentary Evidence i n Canada ( [ A g i n c o u r t , O n t a r i o ] : C a r s w e l l L e g a l P u b l i c a t i o n s , 1984), 21-21; Canada Evidence A c t . Revised S t a t u t e s of Canada 1985, C . C-5, S S . 24, 29, 30(3). 144 18. K a t s a r i s , Evidence and Procedure. 207; S c h l o s s , Evidence and I t s Le g a l A s p e c t s . 273; Sheppard, "Records and A r c h i v e s i n Court," 196. 19. T h i s d e f i n i t i o n appears i n the proposed Uniform Evidence A c t , and i s c i t e d by both Ewart and Sheppard i n t h e i r r e s p e c t i v e works. (Ewart, Documentary Evidence i n Canada. 14; Sheppard, "Records and A r c h i v e s i n Court," 198.) 20. Ewart, Documentary Evidence i n Canada. 12-14; Ewart, "Documentary Evidence: The A d m i s s i b i l i t y a t Common Law o f Records Made Pursuant t o a Business Duty," Canadian Bar Review 59 (March 1981): 53; Sheppard, "Records and A r c h i v e s i n Court," 198. 21. Ewart, "Documentary Evidence," 60; Skupsky, " O r i g i n a l Records i n Evidence," 38; S c h l o s s , Evidence and I t s L e g a l A s p e c t s . 298. 22. Ewart, "Documentary Evidence," 54-60; Skupsky, " O r i g i n a l Records i n Evidence," 48; Wigmore, T r e a t i s e on Evidence. 5: 369, 373, 376. 23. Ewart, "Documentary Evidence," 63-66; Wigmore, T r e a t i s e on Evidence. 5: 369, 513-517. 24. Ewart, "Documentary Evidence," 71; Skupsky, " O r i g i n a l Records i n Evidence," 48; Wigmore, T r e a t i s e on Evidence. 5:369- 370, 373. Another f a c t o r c o n t r i b u t i n g t o r e l i a b i l i t y i s the g e n e r a l requirement t h a t the r e c o r d must have been made b e f o r e c o n t r o v e r s y arose about the t r u t h f u l n e s s o f the f a c t s c o n t a i n e d i n i t . A f t e r the d i s p u t e arose, people might have been tempted t o make r e c o r d s f a v o u r i n g t h e i r own i n t e r e s t i n the outcome o f the d i s p u t e . 25. S c h l o s s , Evidence and I t s Le g a l A s p e c t s . 275. 26. I b i d . ; Wigmore, T r e a t i s e on Evidence. 7:714, 724-725. 27. Brown, Documentary Evidence i n A u s t r a l i a . 3-4; K a t s a r i s , Evidence and Procedure. 26. 28. Completeness i s a d i p l o m a t i c concept t h a t w i l l be developed i n the next chapter. I t r e f e r s t o whether a document's forms are s u f f i c i e n t l y comprehensive t o ensure e n f o r c e a b i l i t y and t o p r o v i d e adequate access t o the f a c t s . I t a l s o i n c l u d e s an element o f p r e d i c t a b i l i t y , so t h a t e i t h e r a complete o r an incomplete form w i l l p r o v i d e i n f o r m a t i o n t o the us e r . 145 CHAPTER THREE: FACTORS CONTRIBUTING TO LEGAL VALUE 1. See, f o r example, Canada Business C o r p o r a t i o n s A c t . R.S.C. 1985, c. C-44, s s . 19-22; 101; Canada Pension P l a n . R.S.C. 1985, c. C-8, s. 25; and Unemployment Insurance A c t , R.S.C. 1985, c. U - l , s. 58. 2. John M. Fedders and Lauryn H. Guttenplan, "Document R e t e n t i o n and D e s t r u c t i o n : P r a c t i c a l , L e g a l and E t h i c a l C o n s i d e r a t i o n s , " Notre Dame Lawyer 56 (October 1980): 9; John M. Murray, " L e g a l C o n s i d e r a t i o n s i n Records Management," Records Management Q u a r t e r l y 12 (January 1978): 25; Donald S. Skupsky, "L e g a l Requirements f o r Records R e t e n t i o n . . . the Three-Year Presumption," Records Management Q u a r t e r l y 19 (October 1985): 52. Manuals and guidebooks are a v a i l a b l e which i d e n t i f y s t a t u t e s and r e g u l a t i o n s t h a t have p r o v i s i o n s c o n c e r n i n g r e c o r d s . Among these r e f e r e n c e s a r e : Ronald M. Anson-Cartwright, Robert T. H o l l i n g s h e a d , and J . Timothy Kennish, Records R e t e n t i o n : Law and P r a c t i c e (Don M i l l s , O n t a r i o : R i c h a r d de Boo P u b l i s h e r s , 1989); Records R e t e n t i o n and D e s t r u c t i o n i n Canada: A Guidebook (Willowdale, O n t a r i o : F i n a n c i a l E x e c u t i v e s I n s t i t u t e Canada, 1988) ; F e d e r a l R e g u l a t i o n s I n v o l v i n g Records R e t e n t i o n Requirements f o r Businesses i n Canada (Toronto: A s s o c i a t i o n of Records Managers and A d m i n i s t r a t o r s Inc., 1986). 3. Donald S. Skupsky, "Legal C o n s i d e r a t i o n s f o r Records Management-Business R i s k D e c i s i o n s , " Records Management Q u a r t e r l y 23 ( J u l y 1989): 56-57; Skupsky, "Determining L i t i g a t i o n and S t a t u t e s o f L i m i t a t i o n Requirements f o r Records R e t e n t i o n Programs," Records Management Q u a r t e r l y 20 ( J u l y 1986): 42. Some r e c o r d s managers, i n c l u d i n g Skupsky, a l s o p o i n t out t h a t r e c o r d s w i t h l i t t l e v a l u e t o an o r g a n i z a t i o n may become a f i n a n c i a l and l e g a l disadvantage i f they are subpoenaed and used a g a i n s t the company by an adverse p a r t y . On t h i s b a s i s , some r e c o r d s managers recommend t h a t such r e c o r d s be scheduled f o r d e s t r u c t i o n once t h e i r most u s e f u l p e r i o d has e x p i r e d . Other r e c o r d s managers are uneasy about whether such a d e c i s i o n may be a s u b v e r s i o n of j u s t i c e . T h i s debate r e f l e c t s the d i f f i c u l t i e s o f d e t e r m i n i n g r e t e n t i o n p e r i o d s f o r l e g a l r e c o r d s when the l e g i s l a t i o n i s vague. 4. Skupsky, "Determining L i t i g a t i o n and S t a t u t e s o f L i m i t a t i o n Requirements, 1 1 42; Fedders and Guttenplan, "Document R e t e n t i o n and D e s t r u c t i o n , " 16-17, n. 57; Murray, "Legal C o n s i d e r a t i o n s i n Records Management," 26. 5. See, f o r example, Canada Evidence A c t . s. 30(10). 6. B r i c h f o r d , A r c h i v e s and Manuscripts: A p p r a i s a l and A c c e s s i o n i n g , 7; Couture and Rousseau, L i f e of a Document. 140- 141; F r a n c i s X. B l o u i n , J r . , "An Agenda f o r the A p p r a i s a l o f Business Records'," i n A r c h i v a l Choices: Managing the H i s t o r i c a l 146 Record i n an Age o f Abundance, ed. Nancy Peace (Lexington, Mass.: Lexi n g t o n Books, 1984), 68-69; ACCIS, E l e c t r o n i c Records G u i d e l i n e s . 62. 7. D u r a n t i , " D i p l o m a t i c s (Part I I ) , " 13; Kendal, F a c t s . 10; R a f f e l , M a t t e r s o f F a c t . 102-104. 8. For the purposes o f t h i s t h e s i s , the d i p l o m a t i c d e f i n i t i o n s o f "documents c r e a t e d by p u b l i c persons" and "documents c r e a t e d by p r i v a t e persons" w i l l be adopted. A document i s c r e a t e d by a p u b l i c person when i t i s i s s u e d by a p u b l i c j u r i d i c a l person (a body having j u r i s d i c t i o n i n matters of a p u b l i c nature, o r the o f f i c e r s o f such a body e x e r c i s i n g a p u b l i c f u n c t i o n ) , o r by h i s / h e r command or i n h i s / h e r name, o r a c c o r d i n g t o a procedure imposed by a p u b l i c person. Documents c r e a t e d by a p r i v a t e person are those c r e a t e d by a p r i v a t e person, o r by h i s / h e r command or i n h i s / h e r name. 9. The f o l l o w i n g d i s c u s s i o n o f the form a t i o n p r o c e s s o f documents i s drawn from the author's c l a s s notes f o r ARST 601- D i p l o m a t i c s ( c l a s s g i v e n by Luciana D u r a n t i a t the School o f L i b r a r y , A r c h i v a l and Inf o r m a t i o n S t u d i e s , U n i v e r s i t y o f B r i t i s h Columbia, September-December 1989). 10. T h i s example i s drawn from a p r e s e n t a t i o n by a r c h i v i s t V i c t o r i a B l i n k h o r n t o the ARST 601 c l a s s a t the School o f L i b r a r y , A r c h i v a l and Inf o r m a t i o n S t u d i e s , U n i v e r s i t y o f B r i t i s h Columbia, 17 October 1989. 11. Ewart, "Documentary Evidence," 74-75; Skupsky, " A d m i s s i b i l i t y o f O r i g i n a l Records i n Evidence," 46, 52; ACCIS, E l e c t r o n i c Records G u i d e l i n e s . 5/6?? 12. There are, o f course, g r e a t e r s e c u r i t y problems w i t h e l e c t r o n i c r e c o r d s than w i t h t e x t u a l r e c o r d s s i n c e e l e c t r o n i c r e c o r d s can be e a s i l y accessed and changed, l e a v i n g no t r a c e o f the change. T h i s r i s k , however, does not a l t e r t he b a s i c f a c t t h a t computer r e c o r d s are s t i l l b u s i n e s s r e c o r d s , w i t h most of the same c h a r a c t e r i s t i c s o f t r a d i t i o n a l b u s i n e s s r e c o r d s : c o n t r o l l e d f o r m a t i o n p r o c e s s , standard forms, c a p a b i l i t y t o accomplish p a r t i c u l a r purposes, e t c . 13. R a f f e l , M atters o f F a c t . 91. 14. Clanchy, From Memory t o W r i t t e n Record. 241-242. 15. R a f f e l , M atters o f F a c t . 98-99. 16. Brown, Documentary Evidence i n A u s t r a l i a , 18. 17. D u r a n t i , " D i p l o m a t i c s (Part I ) , " 19. 147 18. Note, too, t h a t procedures may a l s o e x p l a i n the u n a v a i l a b i l i t y o f an o r i g i n a l . I f an o r g a n i z a t i o n has an e s t a b l i s h e d r o u t i n e f o r m i c r o f i l m i n g c e r t a i n c l a s s e s o f r e c o r d s and d e s t r o y i n g the o r i g i n a l paper v e r s i o n s , then t h i s r o u t i n e can be used t o j u s t i f y p r e s e n t i n g m i c r o f i l m c o p i e s o f a r e c o r d t o the c o u r t . For f u r t h e r d i s c u s s i o n of d r a f t s , o r i g i n a l s , and c o p i e s , see D u r a n t i , " D i p l o m a t i c s (Part I ) , " 19-21. 19. D u r a n t i , " D i p l o m a t i c s (Part I I ) , " 13. 20. R a f f e l , M atters of F a c t . 94, 102-111. 21. R a f f e l , M atters of F a c t . 72-74. 22. I b i d . , 110-111. 23. Salmond, J u r i s p r u d e n c e , 367; B l a c k ' s Law D i c t i o n a r y , s.v. " v a l i d " . CHAPTER FOUR: APPRAISING LEGAL VALUE IN DOCUMENTS 1. Booms, " S o c i e t y and the Documentary H e r i t a g e , " 104. 2. For more i n f o r m a t i o n about when and how t o sample documents, see F e l i x H u l l , The Use of Sampling Techniques i n the R e t e n t i o n of Records: A RAMP Study w i t h G u i d e l i n e s ( P a r i s : Unesco, 1981); Paul Lewinson, " A r c h i v a l Sampling," American A r c h i v i s t 20 (October 1957): 291-312; Frank Boles, "Sampling i n A r c h i v e s , " American A r c h i v i s t 44 (Spring 1981): 125-130; and David R. Kepley, "Sampling i n A r c h i v e s : A Review," American A r c h i v i s t 47 (Summer 1984): 237-242. 3. See, f o r example, Skupsky, "Legal Issues i n Records R e t e n t i o n and D i s p o s i t i o n Programs," Records Management Q u a r t e r l y 18 ( J u l y 1984): 74. 4. R i c h a r d Klumpenhouwer, "Concepts of Value i n the A r c h i v a l A p p r a i s a l L i t e r a t u r e : An H i s t o r i c a l and C r i t i c a l A n a l y s i s , " Master of A r c h i v a l S t u d i e s t h e s i s , U n i v e r s i t y o f B r i t i s h Columbia, 1988, 9. 5. Klumpenhouwer, "Concepts of Value," 11. 6. S c h e l l e n b e r g , Modern A r c h i v e s . 133-135. 7. O l i v e r W. Holmes, " P u b l i c Records: Who Knows What They Are?" American A r c h i v i s t 23 (1960): 21-23. 148 8. Great B r i t a i n , Parliament, "Report o f the S e l e c t Committee on the Record Commission," S e s s i o n a l Papers, v o l . 16, sec. 1-11 (London: HMSO, 1836), i i i , quoted i n Klumpenhouwer, "Concepts of Value," 29. 9. Margaret Cross Norton, i n Norton on A r c h i v e s : The W r i t i n g s of Margaret Cross NOrton on A r c h i v a l and Records Management. ed. Thornton W. M i t c h e l l (Carbondale, 111.: Southern I l l i n o i s U n i v e r s i t y Press, 1975), 4. 10. P h i l i p G. Bauer, The A p p r a i s a l of C u r r e n t and Recent Records, The N a t i o n a l A r c h i v 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 , 13 (June 1946), quoted i n S c h e l l e n b e r g , A p p r a i s a l of Modern P u b l i c Records. 33. 11. S c h e l l e n b e r g , A p p r a i s a l of Modern P u b l i c Records. 33. 12. Klumpenhouwer, "Concepts of Value," 95. 13. B r i c h f o r d , A p p r a i s a l and A c c e s s i o n i n g . 7. 14. B r i c h f o r d , A p p r a i s a l and A c c e s s i o n i n g , 7. 15. To t r a c e the development of documentation s t r a t e g y , see: Helen W i l l a Samuels, "Who C o n t r o l s the P a s t , " American A r c h i v i s t 49 ( S p r i n g 1986): 109-124; L a r r y J . Hackman and Joan Warnow-Blewett, "The Documentation S t r a t e g y P rocess: A Model and A Case Study," American A r c h i v i s t 50 (Winter 1987): 12-47; P h i l i p N. Alexander and Helen W. Samuels, "The Roots o f 128: A H y p o t h e t i c a l Documentation S t r a t e g y , " American A r c h i v i s t 50 ( F a l l 1987) : 518-131; R i c h a r d J . Cox and Helen W. Samuels, "The A r c h i v i s t ' s F i r s t R e s p o n s i b i l i t y : A Research Agenda t o Improve the I d e n t i f i c a t i o n and R e t e n t i o n o f Records of Enduring V a l u e , " American A r c h i v i s t 51 (Winter and S p r i n g 1988): 28-46; R i c h a r d J . Cox, "A Documentation S t r a t e g y Case Study: Western New York," American A r c h i v i s t 52 ( S p r i n g 1989): 192-200. 16. Alexander and Samuels, "The Roots o f 128," 519. 17. Cox and Samuels, "The A r c h i v i s t ' s F i r s t R e s p o n s i b i l i t y , " 30. 18. Samuels, "Who C o n t r o l s the P a s t , " 115; and Hackman and Warnow-Blewett, "The Documentation S t r a t e g y P r o c e s s , " 14. 19. Frank Boles, "Commentary," American A r c h i v i s t 51 (Winter and S p r i n g 1988): 46. 20. Norton, quoted i n Roy C. Turnbaugh, " A p p r a i s a l and Documentation S t r a t e g i e s , " paper presented a t the annual S p r i n g Conference of the A s s o c i a t i o n of B r i t i s h Columbia A r c h i v i s t s , Vancouver, B.C., 28 A p r i l 1990. 149 21. Frank Boles, and J u l i a Marks Young, " E x p l o r i n g the Bl 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 (Spring 1985): 121-140. 22. Boles and Young, " E x p l o r i n g the B l a c k Box," 137. 23. Bol e s and Young, " E x p l o r i n g the B l a c k Box," 121-140. 24. S c h e l l e n b e r g , A p p r a i s a l o f Modern P u b l i c Records. 31; Basu, A r c h i v e s and Records. 22; Couture and Rousseau, L i f e o f a Document. 136-137. 25. I t i s important t o remember t h a t l e g a l v a l u e i s o n l y one o f the many v a l u e s t h a t a document may have. I t i s e n t i r e l y p o s s i b l e t h a t a n t h r o p o l o g i s t s ' j o u r n a l s , p r o f e s s o r s ' l e c t u r e notes, and s c i e n t i s t s ' correspondence w i l l be p r e s e r v e d f o r t h e i r e v i d e n t i a l o r i n f o r m a t i o n a l v a l u e and w i l l t h e r e f o r e be a v a i l a b l e i f c i r cumstances a r i s e i n which the documents are needed f o r l e g a l evidence. 26. For f u r t h e r d i s c u s s i o n o f a r c h i v a l sources b e i n g used i n n a t i v e c l a i m s , see James Morrison, " A r c h i v e s and N a t i v e Claims," A r c h i v a r i a 9 (Winter 1979-80): 15-32. 27. 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