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Appraising legal value : concepts and issues Heywood, Heather Mary 1990

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APPRAISING LEGAL VALUE: CONCEPTS AND ISSUES By HEATHER MARY HEYWOOD B.A., The U n i v e r s i t y o f 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 o f L i b r a r y , A r c h i v a l and I n f o r m a t i o n S t u d i e s  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.  ^Bepartment of The University of British Columbia Vancouver, Canada Date  DE-6 (2/88)  31  QkjixjyJjJLK)  <1-?o.  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 t h e m a i n f o c u s o f 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 s e r v e d p r i m a r i l y a s arsenals of law—instruments f o r c o n t r o l and management o f the State. T o d a y , a r c h i v e s h a v e many d i f f e r e n t v a l u e s and u s e s , 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 during the a r c h i v a l a p p r a i s a l process. I t i s an i m p o r t a n t c r i t e r i o n , t h o u g h , s i n c e a r c h i v i s t s h a v e an o b l i g a t i o n t o p r e s e r v e n o t o n l y t h o s e documents n e e d e d t o u n d e r s t a n d s o c i e t y and i t s c u l t u r e , b u t a l s o t h o s e r e q u i r e d t o p r o t e c t t h e r i g h t s and i n t e r e s 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 . 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 t h e a r c h i v a l l i t e r a t u r e a b o u t what c o n s t i t u t e s d o c u m e n t a r y l e g a l v a l u e n o r how t h i s v a l u e c a n 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 f r o m 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 t h e s t u d y f o c u s e s on N o r t h A m e r i c a n archives, the l e g a l l i t e r a t u r e consulted p e r t a i n s to the E n g l i s h l e g a l s y s t e m 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 t h e U n i t e d S t a t e s and Canada. To b e g i n w i t h , t h e t h e s i s e x a m i n e s t h e d o c u m e n t - e v e n t r e l a t i o n s h i p and t h e 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. This 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 a i m s t o p r o v i d e an u n d e r s t a n d i n g o f t h e c a p a c i t y o f d o c u m e n t s t o p r o t e c t s o c i e t y and t o s e r v e a s l e g a l e v i d e n c e . I t i s then p r o p o s e d t h a t t h e p r e s e n c e 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 e v e n t (one i n w h i c h t h e s o c i e t y ' s l e g a l s y s t e m h a s an i n t e r e s t ) be c o n s i d e r e d t h e f i r s t component o f l e g a l v a l u e . P e r h a p s t h e most i m p o r t a n t and most u s e f u l o f t h e documents h a v i n g r e l e v a n c e t o e v e n t s w i t h l e g a l s i g n i f i c a n c e i s t h e 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 o f t h o s e documents t h a t e x e c u t e o r c o n s t i t u t e w r i t t e n e v i d e n c e o f a c t s and e v e n t s w h i c h 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 t h e f i r s t component f u r t h e r , t h e t h e s i s makes a d i s t i n c t i o n b e t w e e n 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 b a s e d on w h e t h e r t h e r e l a t i o n s h i p o f t h e document t o a j u r i d i c a l e v e n t i s d i r e c t o r i n d i r e c t , and w h e t h e r t h e e v e n t 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 strength of p o t e n t i a l l e g a l value i n v o l v e s c o n s i d e r a t i o n o f t h e s e c o n d and t h i r d components o f l e g a l v a l u e , w h i c h a r e r e l a t e d t o t h e use o f documents as ii  l e g a l evidence. T h e s e two components a r e a d m i s s i b i l i t y a n d w e i g h t ( i n t h e s e n s e o f a document's e f f e c t i v e n e s s a s a representation of facts). 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 , a n d some o f t h e s e f a c t o r s a r e discussed. More o f t e n t h o u g h , t h e a r c h i v i s t w i l l n e e d t o s e a 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 c o m p l e t e n e s s i n t h e documentary f o r m a t i o n p r o c e s s and i n t h e elements o f f o r m i n t r i n s i c t o a t y p e o f document. The t h e s i s i d e n t i f i e s many o f t h e 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 p r o p o s e s some c r i t e r i a a n d a m e t h o d o l o g y f o r a p p r a i s a l of l e g a l value. Appraisal of l e g a l value i s not a mysterious process. W i t h 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 t h e i n f o r m a t i o n and a n a l y s i s needed t o d e t e r m i n e l e g a l v a l u e i s f u n d a m e n t a l 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 l a w 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 .  iii  T A B L E OF CONTENTS  Abstract  i i  L i s t of Tables  v  L i s t of Figures  vi  Acknowledgements . . .  v i i  Introduction  1  Chapter One:  E x p l o r i n g t h e Nature o f Documents  15  Chapter Two:  Components o f L e g a l Value . . . .  47  Chapter Three: Chapter Four:  Factors Contributing t o Legal Value . . . A p p r a i s i n g L e g a l Value i n Documents . . .  70 99  Conclusion  130  Notes Introduction Chapter One Chapter Two Chapter Three Chapter Four Conclusion  137 139 143 146 148 150  Bibliography  151  iv  LIST  Table I: Correlation Documents  OF  TABLES  Between Two  Classifications  of 45  v  L I S T OF  Figure  FIGURES  1: C l a s s i f i c a t i o n B a s e d o n G e n e r a t i n g Activity  F i g u r e 2: C l a s s i f i c a t i o n B a s e d o n W r i t t e n Form o f Document  vi  17 .  39  ACKNOWLEDGEMENTS  I wish t o thank T e r r y Eastwood and Luciana D u r a n t i f o r t h e i n s p i r a t i o n and encouragement they p r o v i d e d w h i l e I was i n the M.A.S. programme. S p e c i a l thanks t o my t h e s i s a d v i s o r , Luciana D u r a n t i , who o f f e r e d much wisdom and a d v i c e . I also wish t o express my a p p r e c i a t i o n t o my classmate, Donna Humphries, whose f r i e n d s h i p , support, and encouragement have been i n v a l u a b l e .  vii  INTRODUCTION  Records a r e t h e means by which p u b l i c o f f i c i a l s i n a democracy a r e a c c o u n t a b l e t o t h e people. They a r e t o o l s o f a d m i n i s t r a t i o n , t h e memory o f an o r g a n i z a t i o n , t h e embodiment o f experience, p r o t e c t o r s o f l e g a l r i g h t s and sources o f many k i n d s o f information. 1  Documents, i n whatever form, a r e an i n t e g r a l p a r t o f human s o c i e t y .  Throughout h i s t o r y , s o c i e t i e s have u s u a l l y  -found a way t o document t r a n s a c t i o n s  between i n d i v i d u a l s and  r e l a t i o n s between government and c i t i z e n s . authorize  o r d i r e c t a c t i o n , supply i n f o r m a t i o n o r  explanation, ancient  Documents may  o r p r o v i d e entertainment.  The c l a y t a b l e t s o f  Babylon, E g y p t i a n murals, i n s c r i p t i o n s on papyrus  s c r o l l s , and t h e quipu ropes o f t h e Incas a l l bear w i t n e s s to society's propensity keeping.  2  t o , and r e l i a n c e on, r e c o r d  Documents can be a v a l u a b l e  preservation  r e s o u r c e , and t h e i r  and t r a n s m i t t a l t o t h e f u t u r e  responsibility—one  i s a great  that society often entrusts t o  a r c h i v i s t s , t h e "keepers o f t h e r e c o r d . " However, w h i l e every document i s p o t e n t i a l l y u s e f u l t o someone a t sometime, many documents do not have s u f f i c i e n t enduring v a l u e t o warrant t h e time and r e s o u r c e s needed f o r an a r c h i v i s t t o p r e s e r v e them and make them a v a i l a b l e f o r 1  use.  In a d d i t i o n , the volume of documents produced i n  modern s o c i e t y t h r e a t e n s use them.  t o overwhelm anyone who  E a r l i e r t h i s century,  wishes t o  the B r i t i s h P u b l i c Record  O f f i c e noted t h a t "even the most convinced advocates o f conservation  i n the h i s t o r i c a l i n t e r e s t have begun t o  fear  t h a t the H i s t o r i a n of the f u t u r e d e a l i n g w i t h our own may  be submerged i n the f l o o d of w r i t t e n e v i d e n c e s . "  i s a danger t h a t knowledge w i l l become l o s t i n and  t h a t documents w i l l cease t o serve To be o f use  period There  3  information,  society.  4  t o s o c i e t y , worthwhile i n f o r m a t i o n  must  not o n l y be r e t a i n e d , but must a l s o be e a s i l y r e t r i e v a b l e . I f the worthwhile i n f o r m a t i o n information  and  no r e a l v a l u e .  i s b u r i e d i n a mass of  cannot be accessed upon request,  other  then i t has  Thus, i t i s e s s e n t i a l t o have some p r o c e s s  by which the overabundance o f i n f o r m a t i o n  a v a i l a b l e today  can be winnowed down t o form a s o c i a l l y r e l e v a n t documentary r e c o r d t h a t i s humanly One  way  usable.  5  o f forming such a v i t a l and u s a b l e body o f  documents i s through the a r c h i v a l f u n c t i o n of  appraisal—the  p r o c e s s o f e s t a b l i s h i n g the v a l u e of a r c h i v a l documents, q u a l i f y i n g that value, and  d e t e r m i n i n g the v a l u e ' s  endurance,  thereby d e c i d i n g the d i s p o s i t i o n of the documents.  S o c i e t y o f American A r c h i v i s t s ' (SAA)  Committee on  Terminology d e f i n e s a p p r a i s a l as: the p r o c e s s of d e t e r m i n i n g the v a l u e and thus the d i s p o s i t i o n of r e c o r d s based upon t h e i r c u r r e n t a d m i n i s t r a t i v e , 2  The  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 i n f o r m a t i o n a l or r e s e a r c h v a l u e ; 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 i n d i c a t e s ,  the v a l u e o f  archival  documents d e r i v e s from the nature of t h e i r c r e a t i o n and That i s , documents are c r e a t e d t o serve a p a r t i c u l a r  use.  purpose  o r f u n c t i o n ; t h e r e f o r e , they are evidence o f a p l a n , an intent,  or an a c t i v i t y .  They a l s o c o n t a i n i n f o r m a t i o n .  i s these i n t r i n s i c p r o p e r t i e s t h a t a r c h i v i s t s  7  It  l o o k f o r when  a p p r a i s i n g documents. In g e n e r a l , documents are assessed a c c o r d i n g t o f i v e c a t e g o r i e s of v a l u e : evidential,  administrative, legal,  or informational.  These v a l u e s r e l a t e  p o s s i b l e uses o f the dqcument. f i s c a l v a l u e may audit t r a i l evidential  fiscal, t o the  For example, documents w i t h  support f i n a n c i a l statements  f o r subsequent v e r i f i c a t i o n .  and p r o v i d e an  Documents w i t h  v a l u e i l l u s t r a t e the " o r g a n i z a t i o n , f u n c t i o n s ,  p o l i c i e s , d e c i s i o n s , procedures,  operations or other  a c t i v i t i e s " of t h e i r c r e a t o r , w h i l e documents w i t h informational value contain factual p l a c e s , and  events.  data about  persons,  8  Another approach t o documentary v a l u e i s t h a t proposed by American a r c h i v i s t T. R. S c h e l l e n b e r g i n the 1950s. S c h e l l e n b e r g d e f i n e d two  types of v a l u e s :  "primary  the v a l u e of r e c o r d s t o t h e i r c r e a t o r f o r the of i t s f u n c t i o n s ; and  "secondary 3  value"—  implementation  v a l u e " — t h e value that  r e c o r d s have f o r persons o t h e r than t h e i r c r e a t o r .  The  emphasis here i s on t h e v a l u e o f t h e documents t o t h e user, r a t h e r than on t h e i r use. Documents may a l s o have an i n t r i n s i c v a l u e t h a t e x i s t s independently o f t h e i r p o s s i b l e uses o r u s e r s .  Intrinsic  v a l u e i s l i n k e d t o t h e formal a s p e c t s o f documents and i n c l u d e s a r t i f a c t u a l and symbolic v a l u e s .  F o r example,  i l l u m i n a t e d documents, and r e c o r d s w i t h g o l d s e a l s , have a r t i f a c t u a l v a l u e , w h i l e t h e o r i g i n a l forms o f t h e Magna Charta and t h e Canadian C o n s t i t u t i o n have a symbolic  value  t h a t transcends t h e i r l e g 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 value. Some documents may have more than one v a l u e , and some may have d i f f e r e n t v a l u e s a t d i f f e r e n t times.  Some  documentary v a l u e s w i l l be temporary, w h i l e o t h e r s w i l l be long-lasting. determine  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 t o  which v a l u e s a document has and t o i d e n t i f y  those  documents which a r e s u f f i c i e n t l y v a l u a b l e t o be p r e s e r v e d i n d e f i n i t e l y i n an a r c h i v a l i n s t i t u t i o n . a r c h i v i s t s c a r r y out t h i s r e s p o n s i b i l i t y ? determine  e x i s t i n g and p o t e n t i a l v a l u e s ?  But how do How do they What a r e t h e  c r i t e r i a f o r choosing some documents f o r p r e s e r v a t i o n and r e f u s i n g others?  Who e s t a b l i s h e s and l e g i t i m i z e s  those  criteria? These q u e s t i o n s have been t h e s u b j e c t o f much debate over t h e y e a r s .  F o r example, E n g l i s h a r c h i v i s t S i r H i l a r y 4  Jenkinson  a r g u e d t h a t t h e a d m i n i s t r a t o r , as t h e  t h e d o c u m e n t s , was  "the  s o l e agent f o r the  d e s t r u c t i o n o f h i s own  d o c u m e n t s , " b a s e d on  own  1 0  that  practical  s e l e c t i o n was  s h o u l d be values  By  concerned  with  unbalanced  two  viewpoints  documentary h e r i t a g e .  concentrate  solely  to recognize  documents.  On  longer-term  they  groups, or personal  to appraisal:  the  business values  t o be  needs  advocates  o f movable  their  only  focus  a d m i n i s t r a t i v e n e e d s and appraisal. interest  that  capable  the a r c h i v i s t  administrator with  and  a third  approach  responsibility." perhaps  t h e r e f o r e s h o u l d have a say  in  though, the  creator's  to that of the a r c h i v i s t ,  of o b j e c t i v e assessment."  the  research  to  stands  t h e n e e d s o f e a c h and  Hull  who  has  a duty  t o be  the  familiar  to determine the d i s p o s i t i o n  5  is  claims  i n a c e n t r a l p o s i t i o n between  s c h o l a r , and  on  current  in relation  Over a p e r i o d o f time,  s h o u l d g i v e way  "more f u l l y  records stand  to  biases.  T h i s approach recognizes t h a t a d m i n i s t r a t o r s , or r e c o r d s m a n a g e r s , know how  an  and  in  i n t e r e s t s of strong  Felix Hull  "principle  create  i n f l u e n c e d by  r e s e a r c h i n t e r e s t s and  English archivist  The  1 1  Administrators are apt  i f archivists  r e s e a r c h t r e n d s , t h e n e e d s and  who  secondary  research uses.  secondary  are l i k e l y  argued  of the a r c h i v i s t ,  i s t h a t e a c h may  on t h e i r p r a c t i c a l  t h e o t h e r hand,  research value,  and  t h e needs o f h i s  assessing the  o f d o c u m e n t s f o r r e f e r e n c e and these  selection  contrast, Schellenberg  the r e s p o n s i b i l i t y  primarily  problem with  fail  business.  creator of  of  documents i n c o n s u l t a t i o n w i t h each. the  final  see  key  the  whole p i c t u r e , not  point  that  a l l three  f a c t o r s i n the  ultimately heritage,  part  shapes the and  appraisal process.  character  the  i t i s important t h a t present  reveals  whole p i c t u r e o f s o c i e t y .  the  appraisal  therefore  allow  accurate  and  i n t e r e s t s of researchers  obligations to  documentary  and  future  objective record  need a s o u r c e o f  them t o b a l a n c e t h e  T h o s e who  needs o f a d m i n i s t r a t o r s  while s t i l l  meeting  source f o r a p p r a i s a l c r i t e r i a  Hans Booms i n h i s  "Society  the  a Documentary  Formation of  Appraisal  and  p r i n c i p l e s of a p p r a i s a l should  from the  social 1 4  the  p r o c e s s t o w h i c h we Public opinion appraisal  be  been article  Heritage:  of A r c h i v a l Sources."  that the  legitimizes  that  their  has  German a r c h i v i s t  responsible."  do  appraisal c r i t e r i a  s u g g e s t e d by  i n the  that  society.  A possible  and  is  Appraisal  1 3  of a s o c i e t y ' s  h a v e an  Issues  of  r e s p o n s i b i l i t y are  generations  the  j u s t one  a r c h i v i s t s recognized  k n o w l e d g e , i m p a r t i a l i t y , and  essential  will  makes  1 2  The that  archivist  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  position to picture.  The  Booms a r g u e s  drawn  [ a r c h i v i s t s ] are  should  be  the  force  process:  The p u b l i c and p u b l i c o p i n i o n , a s a c o n s t i t u t i v e e l e m e n t o f modern s o c i e t y , sanctions public actions, 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 process, 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  "directly  which  Therefore, should not p u b l i c o p i n i o n also legitimize archival appraisal? 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 of a r c h i v a l appraisal? 1 5  Booms i s recommending t h a t , picture  i n o r d e r t o form  of a s o c i e t y , a r c h i v i s t s should not  choose standards understand  the values of the s o c i e t y that  documents.  Appraisal  documents t h a t society.  o f documentary v a l u e , but  i s then  reflect  I n t h i s way,  society w i l l  be  a process  the values that  be  a to  a  of  of t h e i r  Thus, t h e needs f o r an  relative  and objective  and  i n the  development.  future,  sources which are v i t a l administrative, An  legal,  1 6  itself,  In order and  with  to  operate  s o c i e t y i s o b l i g a t e d t o keep  those  to the s u r v i v a l of i t s patrimonial,  political,  e s s e n t i a l component o f t h e s e  body o f d o c u m e n t s t h a t  In  s o c i e t y i s most c o n c e r n e d  continue t o f u n c t i o n , understand  society,  the  interests of society?  said that  preservation  structure.  created  to  process.  i t may  creatively  strive  characterize  i s evidence  society.  What a r e t h e n e e d s and  own  should  of i d e n t i f y i n g the  i n t e r e s t s of s o c i e t y provide the c r i t e r i a  its  arbitrarily  documented, w h i l e t h e a b s e n c e  insignificance to that  general,  accurate  i s s u e s t h a t were s i g n i f i c a n t  d o c u m e n t a t i o n on o t h e r i s s u e s  evaluation  an  r e c o r d s and  i t s institutions,  and  protects  and  sources  moral i s the  the r i g h t s of  i t s individual citizens.  7  1 7  As its  the  C o n s u l t a t i v e Group on  Report t o the  Council role  Social  o f Canada, t h e  for archives:  necessary  corporate  bodies  "since the  archivists The  Life  s u c h as  government o r d e r s , solely  century  addition to t h e i r  i n the M i d d l e Ages,  judicial  legal  although  we  legal  value. has  value.  w r i t t e n by  archivists]  secondary  b e e n an  are  is As  important little  archivist  spending nothing  that our  has  p h i l o s o p h i c a l aspects  •  been of  20  subject of  respects,  values  "I discovered  practically  A m e r i c a n a r c h i v i s t s on  and  mid-nineteenth  historically  records,  charters  1 9  N o r t o n r e m a r k e d i n 1945,  caring for legal  in  records  Couture  archival literature.  [public records  Quebec  d e c i s i o n s , and  h a v e begun t o a c q u i r e  i t i n the  Margaret Cross  the  government,  i n t h e p r e s e r v a t i o n o f documents, t h e r e  discussion of  lives  r i g h t s of  the  Jean-Yves Rousseau p o i n t out  for their  Although l e g a l value factor  ancient  c l a y t a b l e t s were  i t i s only, s i n c e t h e  that records  in  Research  individuals within society."  o f a Document t h a t ,  Rousseau c l a i m t h a t  Humanities  noted  a r c h i v i s t s have p r e s e r v e d  C a r o l C o u t u r e and  were p r e s e r v e d  in  ago,  first  t o document t h e and  and  p r o t e c t i o n o f r i g h t s i s an  f o r m e d , o v e r 5000 y e a r s records  Sciences  Canadian Archives  legal  little  has  of records."  c h a n g e d s i n c e 1945.  legal value  as  has  d e f i n e d what l e g a l v a l u e  clearly  recognized.  A  an  aspects  few  important  I n many Archivists list  appraisal criterion,  archivists  and 8  i s o r how  but  no  i t i s to  one be  h i s t o r i a n s have w r i t t e n  about the r e s e a r c h v a l u e of " l e g a l r e c o r d s , " 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 p r o v i d i n g access t o these a r c h i v e s , but no one has d e f i n e d "legal records."  Often, the term seems t o be used  loosely  t o r e f e r t o c o u r t r e c o r d s and the r e c o r d s of law f i r m s and lawyers. One  f i e l d t h a t i s b e g i n n i n g t o look a t the  a s p e c t s of documents i s r e c o r d s management. r e c o r d s managers have been concerned requirements  legal  Traditionally,  about l e g a l r e t e n t i o n  and l e g a l l i a b i l i t y w i t h r e s p e c t t o document  destruction.  R e c e n t l y , q u e s t i o n s about the  admissibility  and use o f e l e c t r o n i c r e c o r d s i n c o u r t have prompted r e s e a r c h and d i s c u s s i o n about the r e l i a b i l i t y and o f automated i n f o r m a t i o n systems.  As a r e s u l t , some r e c o r d s  managers have s t a r t e d t o look a t how  they can c o n t r o l  f o r m a t i o n p r o c e s s o f r e c o r d s i n o r d e r t o meet the requirements examination  security  f o r a d m i s s i b i l i t y o f documents.  the  legal  This  i s a r e c e n t development, however, and tends  to  focus on e l e c t r o n i c r e c o r d s . D e s p i t e i t s n e g l e c t i n the l i t e r a t u r e , a study o f the l e g a l a s p e c t s 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 a r c h i v a l educator T e r r y Eastwood p o i n t s out i n h i s a r t i c l e " 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 , " modern s o c i e t y i s governed by law i n a l l i t s a s p e c t s . quotes Ronald the law.  Dworkin on t h i s s u b j e c t :  . . We  "We  21  l i v e i n and  are s u b j e c t s of law's empire, liegemen 9  He by to  i t s m e t h o d s and  ideals,  we  must t h e r e f o r e d o . "  or  may  have,  legal  documents t h a t legal  bound i n s p i r i t w h i l e we I f a l l actions  2 2  significance,  arise  significance.  i t follows that  As  by t h e  evidence of actions,  that  a l s o have  proceedings.  How  legal  s o c i e t y governed  system.  by  in legal  responsibility  formed  The  law,  and  they  the by  l e g a l v a l u e o f documents of t h e i r  creation  from t h e i r p o t e n t i a l  proceedings.  to understand  an  of evidence e s t a b l i s h e d  t h e r e f o r e d e r i v e s from t h e f a c t  as e v i d e n c e  have  well  r o l e d e p e n d s t o a l a r g e e x t e n t on w h e t h e r  the English  in a t o be  used  A r c h i v i s t s have a  this  t o i n c o r p o r a t e an a s s e s s m e n t  appraisal  also  c o n s e q u e n t l y be s u f f u s e d  d o c u m e n t s may  d o c u m e n t s meet t h e r e q u i r e m e n t s  and  the  law.  important r o l e to p l a y i n l e g a l fill  what  have,  as t h e documentary h e r i t a g e  from t h e s e documents, a r c h i v e s w i l l w i t h and  i n a society  out of those a c t i o n s w i l l And,  debate  legal  n a t u r e o f documents  of legal value into  the  process.  This thesis l e g a l v a l u e and  aims t o d e f i n e t h e a r c h i v a l t o propose  some c r i t e r i a  concept  of  for appraising  l e g a l v a l u e i n documents. Chapter  One  explores the general nature of  what t h e y r e p r e s e n t , and i n the world. e x p l o r i n g how uses  how  they are r e l a t e d  to  documents— happenings  T h i s study e s t a b l i s h e s the background different  activities  o f t h e documents t h e y p r o d u c e .  affect The  for  t h e c h a r a c t e r and concept  of  j u r i d i c a l r e l e v a n c e i s i n t r o d u c e d i n r e l a t i o n t o 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 o f " l e g a l r e c o r d s " i s developed from t h i s d i s c u s s i o n . Chapter Two i n v e s t i g a t e s t h e concept o f l e g a l v a l u e , drawing on Chapter One's d i s c u s s i o n o f t h e r e l a t i o n s h i p between documents and law, and a l s o on an examination o f t h e requirements o f evidence e s t a b l i s h e d by t h e E n g l i s h system.  legal  Three components o f l e g a l v a l u e a r e i d e n t i f i e d , and  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 i s proposed. Chapter Three o u t l i n e s t h e f a c t o r s , both e x t e r n a l and i n t e r n a l , t h a t c o n t r i b u t e t o t h e l e g a l v a l u e o f documents and t o t h e i r q u a l i t y as documentary evidence.  Suggestions  are made as t o what a r c h i v i s t s should know about laws t h a t a f f e c t documents and what i n t r i n s i c documentary  elements  need t o be examined t o assess l e g a l v a l u e . F i n a l l y , Chapter Four p r e s e n t s some g u i d e l i n e s f o r a p p r a i s i n g l e g a l v a l u e , based on t h e concept o f l e g a l v a l u e developed i n Chapter Two and t h e f a c t o r s d i s c u s s e d i n Chapter Three.  The proposed a p p r a i s a l c r i t e r i a take i n t o  account both 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 .  T h i s chapter  a l s o d i s c u s s e s t h e reasons f o r a p p r a i s i n g documents f o r l e g a l v a l u e and c o n s i d e r s t h e i s s u e o f whether documents can have permanent l e g a l v a l u e . As Margaret Cross Norton observed, a r c h i v i s t s have w r i t t e n v e r y l i t t l e about t h e l e g a l a s p e c t s o f documents. 11  Consequently,  although  published  works o f a r c h i v a l s c i e n c e  were e x a m i n e d 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 the  general  heavily  nature  f r o m a number o f a l l i e d  o f documents are  o f documents, t h i s t h e s i s h a s  i n C h a p t e r O n e — o f what t h e y  r e l a t e d t o occurrences  of the h i s t o r i c a l and  disciplines.  sociology  The a n a l y s i s  b a s e d on  development o f document-based  on a n i n q u i r y by s o c i o l o g i s t  Stanley  drawn  a r e a n d how  i n the w o r l d — i s  and  they studies  societies,  R a f f e l into the  o f k n o w l e d g e and i t s r e p r e s e n t a t i o n  i n recorded  form. Works i n j u r i s p r u d e n c e principal  sources  juridical  relevance  and  Jurisprudence  law.  explores justice  a n d d i p l o m a t i c s were t h e two  of information  f o r the discussion of  and t h e r e l a t i o n s h i p b e t w e e n  (the science o r philosophy  such i s s u e s as t h e d e f i n i t i o n  o f law, what  therefore provided  valuable  a b o u t w h i c h f a c t s and a c t i o n s h a v e l e g a l d e r i v e t h a t s i g n i f i c a n c e f r o m , how  a f f e c t e d by c i r c u m s t a n c e s , determined. diplomatics and of  o f law) l a w and  a r e b a s e d on, a n d t h e r o l e o f l a w i n s o c i e t y .  of jurisprudence  they  documents  and how  information  significance,  that significance i s  i n conjunction  t o e s t a b l i s h t h e r e l a t i o n s h i p between the legal  where  i t s e n d u r a n c e c a n be  T h i s a n a l y s i s was u s e d  law, and t o e x p l o r e  Works  nature  with documents  of various  classes  documents. Diplomatics  genesis,  i s the d i s c i p l i n e  f o r m s , and t r a n s m i s s i o n  12  that studies "the  o f a r c h i v a l documents  and  their and  r e l a t i o n s h i p [both] w i t h t h e f a c t s r e p r e s e n t e d  with t h e i r creator,  i n order  communicate t h e i r t r u e n a t u r e . " used t o i d e n t i f y value  to identify, Diplomatic  2 3  internal factors that  i n them  evaluate,  and  a n a l y s i s was  contribute  to legal  i n documents. The  examination o f the l e g a l  c o n c e p t o f e v i d e n c e , and  of t h e r u l e s o f evidence as they apply drawn f r o m l e g a l  R.S.C. 1985, c . C-5.  management l i t e r a t u r e p r o v i d e d  Since  of external this  North America consulted  t h e s i s focuses  (Canada,  pertains  Records  information  f o r the  factors affecting legal on a r c h i v e s  i n particular),  to the English  p a r t i c u l a r manifestations The  was  t e x t s on e v i d e n c e and from a s t u d y o f t h e  Canada E v i d e n c e A c t .  discussion  t o documents,  study  and documents i n  the legal  legal  i n the United  objective of this  value.  literature  system and i t s States  i s twofold.  and Canada. First, i t  seeks t o determine t h e n a t u r e o f t h e document-event relationship, in  a subject  archival literature.  t h a t has n o t r e c e i v e d 2 4  event r e l a t i o n s h i p w i l l documents p l a y , the  i n their  An e x p l o r a t i o n illustrate  of this  the functions  attention  documentthat  c r e a t i o n and u s e , as an element i n  s t r u c t u r e o f s o c i e t i e s and i n t h e development o f e v e n t s .  T h i s understanding might l e a d t o a g r e a t e r only legal as  much  f o r the h i s t o r i c value nature—their  legal  capacity  appreciation not  o f documents, b u t a l s o to protect  evidence.  13  for their  s o c i e t y and t o  serve  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  archivists' legal  obligation to give  relevant  n a t u r e o f documents i n t h e a p p r a i s a l p r o c e s s .  the  social  the  a r c h i v i s t ' s duty t o i d e n t i f y  will  r e s p o n s i b i l i t y inherent  protect  citizens,  and i t s h e i r s .  for  sufficient that  Part of from  and p r e s e r v e documents  that  Therefore,  legal value  to the  i n appraisal derives  the rights of society,  what c o m p r i s e s l e g a l v a l u e with  consideration  i t s institutions, i t s i t i s n e c e s s a r y t o know  a n d how t o i d e n t i f y t o warrant t h e i r  documents  preservation  purpose.  G i v e n t h e v o l u m e o f modern d o c u m e n t a t i o n a n d t h e n e e d t o choose a documentary h e r i t a g e important that appraisal that  from t h a t volume,  a r c h i v i s t s h a v e some s t a n d a r d  criteria for  and an u n d e r s t a n d i n g o f t h o s e documentary  a r e most e s s e n t i a l t o t h e c o n t i n u e d  development o f s o c i e t y .  14  i t is  values  f u n c t i o n i n g and  CHAPTER ONE EXPLORING THE NATURE OF DOCUMENTS  In  seeking t o understand  the relationship  d o c u m e n t s a n d l a w , a n d how t h i s evaluated  relationship  i n the appraisal process,  between  c a n be  i ti s useful  t o b e g i n by  e x p l o r i n g t h e n a t u r e o f documents i n g e n e r a l — w h a t  they are,  what t h e y r e p r e s e n t , why t h e y a r e c r e a t e d a n d how t h e y a r e 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 l a t i o n s h i p b e t w e e n documents a n d t h e w o r l d , inside  ( t h e document,  document r e p o r t s ) . arily and  t h e r e f o r e i s an i m p o r t a n t  factor  r e l a t i o n s h i p b e t w e e n document a n d w o r l d ,  t h a t produce  different  o f documents  examine t h e  and w i l l  also  kinds of relationships  k i n d s o f documents.  Specifically, i t  i n v e s t i g a t e w h e t h e r t h e r e i s a t y p e o f document  can be c a l l e d  a "legal  circumstances  or characteristics distinguish  from  necess-  i n determining the  This chapter w i l l  c o n s i d e r whether t h e r e a r e d i f f e r e n t  (what t h e  relationship  i n f l u e n c e s t h e v a l u e s and c h a r a c t e r i s t i c s  l e g a l v a l u e o f documents.  will  between t h e  t h e word) a n d t h e o u t s i d e  The n a t u r e o f t h i s  reveal the  that  r e c o r d " a n d , i f s o , what legal  records  non-legal records. A document  information.  i s t h e most f u n d a m e n t a l  Indeed,  unit  of recorded  t h e S o c i e t y o f American A r c h i v i s t s *  15  (SAA)  Committee on T e r m i n o l o g y e s t a b l i s h e s f a i r l y  criteria  for identifying  p r e s e n c e o f some d a t a are  recorded.  the general  a document, r e q u i r i n g  class  only the  a n d a medium o n , o r i n , w h i c h t h e d a t a  Considered  1  minimal  taxonomically,  "documents"  that describes a l l recorded  form  information.  Documents a r e t h e g e n u s , w h i c h c a n b e b r o k e n down i n t o number o f s p e c i e s and, s o m e t i m e s , s u b - s p e c i e s . scientific  c l a s s i f i c a t i o n s developed  Unlike the  f o r p l a n t s and animals,  t h e g e n u s "documents" c a n b e c l a s s i f i e d i n a v a r i e t y ways, d e p e n d i n g on t h e p a r t i c u l a r characteristics there w i l l  classifications.  That  of  documentary  t h a t one c h o o s e s t o s t u d y .  be a c o r r e l a t i o n  a  I n some  cases,  between t h e s p e c i e s o f d i f f e r e n t  i s , the characteristics  c a t e g o r i z e a document a s a p a r t i c u l a r  that  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 t h e document i s c a t e g o r i z e d i n another  classification.  relationship  There i s r a r e l y  a direct  one-on-one  b e t w e e n c l a s s i f i c a t i o n s , however, a n d s p e c i e s  c a n n o t be i n t e r c h a n g e d  between c l a s s i f i c a t i o n s .  Thus, a  t e r m u s e d 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 c o n t e x t  i n t h a t sense i n t h i s t h e s i s . recorded be  information  and w i l l  o n l y be u s e d  When a r e f e r e n c e  i n general, t h e term  i s made t o  "documents"  will  used. The  first  c l a s s i f i c a t i o n o f documents t o be  in this thesis  i s represented  i n Figure  1.  classification  i d e n t i f i e s documents a c c o r d i n g  considered  This t o the type o f  FIGURE 1 CLASSIFICATION BASED ON GENERATING ACTIVITY  DOCUMENTS Adminstrative Activity  RECORDS  LEGAL RECORDS  Personal Activity  MANUSCRIPTS  NON-LEGAL RECORDS  activity  t h a t generated  activity  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 o f  of factors  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 variety  them.  The f o c u s on g e n e r a t i n g  a u s e f u l base from which t o e x p l o r e t h e r e l a t i o n s h i p communication and e v e n t s will  i n history.  t h e r e f o r e be e x a m i n e d i n some  This  r e c o r d s and  T h e SAA's Committee on T e r m i n o l o g y  records as " a l l recorded characteristics,  defines  i n f o r m a t i o n , r e g a r d l e s s o f media o r  made o r r e c e i v e d a n d m a i n t a i n e d  organization or institution obligations  classification  detail.  Two s p e c i e s a r e named i n F i g u r e 1: manuscripts.  between  by an  i n pursuance o f i t s l e g a l  or i n the transaction of i t s business."  2  R e c o r d s a r e d i s t i n g u i s h e d f r o m documents i n g e n e r a l b y t h e stipulation  t h a t r e c o r d s be c r e a t e d a n d m a i n t a i n e d  means o r a n i n s t r u m e n t Although  t o accomplishing  t h e SAA d e f i n i t i o n  about t h e k i n d s o f circumstances o b l i g a t i o n s and a c t i v i t i e s business), pursued  as a  a purpose.  a p p e a r s t o be v e r y  specific  that create records  (legal  related to the transaction of  t h e r e i s some q u e s t i o n a b o u t what p u r p o s e s a r e  i n c a r r y i n g out business  purpose i s e s s e n t i a l clarification  transactions.  to the d e f i n i t i o n  Since  of records, further  i s needed.  I n many E u r o p e a n c o u n t r i e s , t h e t e r m " a r c h i v e s " r e f e r s to both  a c t i v e and i n a c t i v e  records.  In North  America, t h e  terms a r c h i v e s and r e c o r d s a r e o f t e n used t o i d e n t i f y different  periods  i n the record l i f e  18  cycle,  records  two  being  c u r r e n t , a c t i v e documents, and a r c h i v e s b e i n g current records value.  t h a t a r e preserved  t h e non-  f o r t h e i r long-range  However, s i n c e t h e two terms r e f e r t o e s s e n t i a l l y  the same documents, t h i s d i s c u s s i o n about r e c o r d s w i l l draw from s t u d i e s o f both r e c o r d s  and a r c h i v e s .  At t h i s p o i n t , one can t u r n t o t h e w r i t i n g s o f I t a l i a n a r c h i v i s t Eugenio Casanova and E n g l i s h a r c h i v i s t S i r H i l a r y J e n k i n s o n , both o f whom addressed t h e i s s u e o f purpose i n t h e i r respective studies of archives.  Casanova d e f i n e d  archives as: the o r d e r l y accumulation o f documents which were c r e a t e d i n t h e course o f 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 o r an i n d i v i d u a l , and which a r e preserved f o r the accomplishment o f t h e p o l i t i c a l , l e g a l , o r c u l t u r a l purposes o f 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 , J e n k i n s o n d e f i n e d a r c h i v a l documents as those drawn up o r used i n t h e course o f an administrative or executive t r a n s a c t i o n (whether p u b l i c o r p r i v a t e ) o f which [the documents themselves] formed a p a r t ; and subsequently preserved i n t h e i r own custody f o r t h e i r own i n f o r m a t i o n by t h e person o r persons r e s p o n s i b l e f o r t h a t t r a n s a c t i o n and t h e i r legitimate successors. 4  According  t o these d e f i n i t i o n s , t h e purpose o f r e c o r d s -  c r e a t i o n i s t o f a c i l i t a t e t h e accomplishment o f i n t e n t i o n a l and  organized  a c t i v i t i e s intended  t o manage t h e i n t e r e s t s o f  an i n s t i t u t i o n o r i n d i v i d u a l , whether those i n t e r e s t s be 19  political,  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 t o the f u n c t i o n i n g o f t h e i r and  creator  are maintained by the c r e a t o r f o r t h i s reason. An  important i d e a 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  a v i t a l p a r t of the o p e r a t i o n s institution. Therefore,  rather  o f an i n d i v i d u a l o r  They a r i s e i n the course of an  activity.  they are p r i m a r i l y s i g n i f i c a n t i n r e l a t i o n  a c t i v i t y and  are  only secondarily i n r e l a t i o n to  subject.  to 5  Records have v a l u e because o f the dynamic r o l e they p l a y i n a c t i v i t i e s ; the f a c t u a l data of t h e i r content p r o v i d e complementary  an  value.  T h i s dynamic aspect  of r e c o r d s  i s highlighted in a  r e c e n t d e f i n i t i o n of r e c o r d s proposed i n a r e p o r t on p o l i c y g u i d e l i n e s f o r e l e c t r o n i c records published Nations' Advisory  Committee f o r the C o - o r d i n a t i o n  I n f o r m a t i o n Systems (ACCIS).  emphasize the need t o r e c o g n i z e generated a r e c o r d .  and  United of  In t h i s r e p o r t , i t i s argued  t h a t t r a d i t i o n a l d e f i n i t i o n s of r e c o r d s  records,  by the  and  archives  the o f f i c i a l a c t i o n t h a t  I t i s pointed  out t h a t , w i t h e l e c t r o n i c  i t i s not always p o s s i b l e t o determine the  f u n c t i o n of an item or document.  source  Indeed, i t can even be  d i f f i c u l t t o determine these f a c t s when working w i t h t e x t u a l records.  6  The  r e p o r t t h e r e f o r e proposes a "more o p e r a t i o n a l  d e f i n i t i o n " of r e c o r d s  as "recorded  transactions,  . . .  information, business, The  communicated t o o t h e r p e o p l e  v i a a store of  information  concept of recorded as  are  information,  just  information. facilitate persons.  recorded The  8  they  t o be  transaction. and  various  communicated and Likewise,  the  draft  not  recorded  official  document  o r a r e v i s i o n were s e n t  out,  i t  c o n s e q u e n c e s d e s i r e d by complete.  considered  hand, documents need n o t  to  be  recorded  an  i n t e n t i o n f o r others  in  o f an  a  transactions.  be  t o be  The  draft  records.  p h y s i c a l l y "sent"  It is sufficient  to r e c e i v e the  file"  purpose o f making the  entry  who  or journal at a l a t e r  use  Defining several  the  file  records  criteria  as  i s to transmit  recorded  for identifying  21  the  the  in  order  that there  information  example, m a k i n g a "memo t o t h e  to  and  On  o r an  a fact to date.  entry the others  1 0  transactions establishes records.  be  a t some  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  will  way.  out  other  For  i s not  is  an  sent  able t o produce the  r e v i s i o n s c a n n o t be  time.  information,  meant t o be  document c r e a t o r s i n c e i t i s n o t its  juridical  something  hence,  r e v i s i o n s of i t are not  be  conveyed  i n f l u e n c e someone e l s e i n some  anyone. Even i f a d r a f t would not  records  creation i s to  T h u s , a n o t e t o r e m i n d o n e s e l f t o do intended  are  i n t e n t i o n t o p a s s on  or  7  clearly  i n t e r a c t i o n between p h y s i c a l o r  intention to affect  of  them."  o f documents:  purpose of t h e i r  T h e r e i s an  9  a sub-set  course  available to  transactions  distinguishes records not  i n the  Specifically,  there  must b e a n i n t e n t i o n t o communicate  information,  and  t h a t c o m m u n i c a t i o n must b e n e e d e d f o r t h e p u r p o s e s o f managing one's b u s i n e s s a f f a i r s .  T h e document must b e  able  t o a c h i e v e some e f f e c t o r c o n s e q u e n c e r e l a t e d t o t h o s e purposes.  E s s e n t i a l l y , then,  administrative that  records  endeavour.  require  out t h e i r  at history  confirms  and t h a t transactions  functions. i n some f o r m s i n c e t h e t i m e  began t o g a t h e r t o g e t h e r  i n t e r a c t w i t h one a n o t h e r . their  society,  and t o a c t t o p r o t e c t  that  i n s o c i e t i e s and t o  Interaction requires  identify  wants.  look  some f o r m o f r e c o r d e d  Records have e x i s t e d humans f i r s t  A brief  are tools of  h a v e a l w a y s met t h e s e c r i t e r i a  administrations to carry  records  people t o  needs and wants, b o t h i n d i v i d u a l l y and as a  R u l e s and r e g u l a t i o n s  and a c h i e v e t h o s e needs and are formulated,  goods and  s e r v i c e s a r e exchanged, and s o c i e t y s e e k s t o d e v e l o p by b u i l d i n g upon p a s t  e v e n t s and e x 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 t h e s e c i r c u m s t a n c e s a s information—that present this  acts  and d e c i s i o n s .  information  non-literate "records"  which i s known—becomes t h e b a s i s f o r  c a n be s t o r e d  and a c c e s s e d .  Thus,  even  s o c i e t i e s h a v e ways o f c r e a t i n g a n d p r e s e r v i n g  of their  activities.  a f f a i r s were t r a n s a c t e d registered  Memory i s t h e means b y w h i c h  before  In ancient  orally  that  business  a mnemon, a "memory man,"  the proceedings mentally  upon t o t e s t i f y  Greece,  a n d who c o u l d  be c a l l e d  a p a r t i c u l a r t r a n s a c t i o n had  22  who  indeed taken p l a c e . Northwest  The n a t i v e s o c i e t i e s o f North  America's  P a c i f i c r e g i o n c o n s t r u c t e d totem p o l e s whose  symbols h e l d the memory o f events, t r a n s a c t i o n s , e x p e r i e n c e — i n f o r m a t i o n t h a t was  and  a l s o passed t o succeeding  g e n e r a t i o n s through a s t r o n g o r a l t r a d i t i o n .  In p r e -  1 i t e r a t e England, important t r a n s a c t i o n s took p l a c e b e f o r e w i t n e s s e s whose o r a l testimony a t a l a t e r date would be s u f f i c i e n t t o e s t a b l i s h the t r u t h o f the event o r t r a n s a c t i o n which they had seen and heard. was  the l e g a l l y v a l i d r e c o r d .  The spoken word  H i s t o r i a n M. T. Clanchy notes  t h a t i n t w e l f t h - c e n t u r y England, the v e r b " t o r e c o r d " meant t o bear o r a l w i t n e s s .  S i m i l a r l y , the L a t i n r o o t o f the word  " r e c o r d " means " t o remember, t o c a l l t o mind," thus emphasizing the aspect o f r e c o r d as memory r a t h e r than d e f i n i n g r e c o r d as a p a r t i c u l a r form o f memory.  11  As s o c i e t i e s grew, and the t a s k o f a d m i n i s t e r i n g them became i n c r e a s i n g l y complex, t h e r e arose a need f o r a d i r e c t , t a n g i b l e , 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  d e p i c t e d i n p i c t o r i a l form, but by the t h i r d m i l l e n n i u m B.C.,  the Sumerians  had i n v e n t e d an a l p h a b e t i c s c r i p t as a  response t o the r e c o r d k e e p i n g needs o f t h e i r p o l i t i c a l and economic l i f e .  The development  active of w r i t i n g  not the r e s u l t o f a whimsical d e s i r e f o r c r e a t i v e e x p r e s s i o n , but r a t h e r the r e s u l t o f a p r a c t i c a l a d m i n i s t r a t i v e need t o keep r e c o r d s . 23  was  The  importance o f records t o organized  i n d i c a t e d by t h e f a c t are the clay t a b l e t Hittite  Empire  C h r i s t i a n Era.  that the earliest  preserved  from t h e t h i r d m i l l e n n i u m  Inventories of the ruler's property, collected,  and gardens a r e j u s t  bureaucratic  and t h e  B.C. t o t h e records  contracts with  s e a s o n a l w o r k e r s , a n d documents c o n c e r n e d fields  writings  records o f A s s y r i a , Babylonia,  o f o f f e r i n g s made o r t a x e s  of  society i s also  with  the renting  some o f t h e r e c o r d s  these  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 , p e o p l e , 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  i m m e d i a t e a d m i n i s t r a t i v e n e e d s , t h e y were n o t 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 centres of p o l i t i c a l , The  economic, and r e l i g i o u s  c r e a t i o n and use o f r e c o r d s  long history,  and a r c h i v i s t  there are c e r t a i n constants his  t o be e s t a b l i s h e d a t  study  identified  i n s o c i e t y thus  E r n s t Posner has noted i n this  economic i n s t i t u t i o n s  1.  has a  In  Posner  o f records which appear i n t h e  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 regardless o f the nature  1 2  that  c r e a t i o n and use.  o f archives i n t h e ancient world, s i x b a s i c types  activity.  throughout  o f t h e governmental,  of the society.  history,  r e l i g i o u s , and  These types  include:  The l a w s o f t h e 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 rolls). 3. F i n a n c i a l and o t h e r a c c o u n t i n g r e c o r d s needed to help the r u l e r or other authority administer h i s domain a n d i t s r e s o u r c e s .  4. Records of the r u l e r or other a u t h o r i t y which a s s u r e h i s income f r o m l a n d and p e r s o n s n o t b e l o n g i n g t o h i s i m m e d i a t e d o m a i n (ex: l a n d surveys; tax assessments; land records 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 p u r p o s e s o f 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 t h e payment o f a c a p i t a t i o n o r p e r s o n a l t a x . 6. " N o t a r i a l " records of s t a t e agencies or s t a t e authorized persons t h a t safeguard jprivate business 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 t h e c h a r a c t e r i s t i c s 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 . and  an  business  They a r i s e  endeavour.  from a  need  effect.  t h e r e f o r e lend the r e c o r d s as  recorded  These "constants support  r e c o r d s and  Returning classification documents:  activities. essential  t o F i g u r e 1 and  the  i t r e p r e s e n t s , one  manuscripts.  administrative  forms o f  activities,  They a r e not  to accomplishing  also to  of  applies  traditional  documentary notes  a second s p e c i e s  arise  to achieve  a person's  from  of  from  personal  results  practical  activities.  meant t o e x p l a i n ,  F o r example, poems and  25  have  records.  manuscripts  They a r e o f t e n ends i n themselves, or e n t e r t a i n .  definition  U n l i k e records, which a r i s e  intended  of  i n record creation"  The  records, but  other  a r e meant t o  of h i s t o r y t o the concept  transactions.  only to electronic  of  They a r e c r e a t e d i n t h e c o u r s e  i n o r d e r t o " g e t t h i n g s d o n e " and  a practical  textual  recorded  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  administrative  not  of  correspondence  inform, between  f r i e n d s a r e two k i n d s o f manuscripts.  T h e i r c r e a t i o n i s not  r e q u i r e d by any l e g a l o r a d m i n i s t r a t i v e o b l i g a t i o n s ; t h e i r forms and content a r e not governed by procedures; they may convey  information,  but they a r e not c r e a t e d t o accomplish  administrative goals.  They a r i s e from a c t i v i t i e s and  i n t e n t i o n s whose nature embodies a s i g n i f i c a n t measure o f i n 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 t h a t freedom.  14  Both r e c o r d s and manuscripts a r e shaped and i n f l u e n c e d by t h e e x t e r n a l world.  The nature o f t h e r e l a t i o n s h i p  between documents—which can endure through t i m e — a n d t h e f a c t s t h a t appear i n d o c u m e n t s — e v e n t s and a c t s t h a t can o n l y occur i n a s p e c i f i c time and p l a c e — n e e d s t o be c l o s e l y examined. First, with " f a c t . "  i t i s e s s e n t i a l t o d e f i n e some terms, b e g i n n i n g The word " f a c t " d e r i v e s from t h e L a t i n  factum, meaning deed, a c t , a t h i n g done.  A f a c t i s "an  a c t i o n performed o r an i n c i d e n t t r a n s p i r i n g ; an event o r c i r c u m s t a n c e ; an a c t u a l o c c u r r e n c e . "  15  F a c t s a r e not  l i m i t e d t o what i s t a n g i b l e o r v i s i b l e ; t h e r e f o r e , they may be e i t h e r p h y s i c a l o r mental. diplomatics,  I n j u r i s p r u d e n c e and  f a c t s a r e d i v i d e d i n t o events and a c t s .  Events  are t h a t which happen, o r may happen, i n t h e course o f nature (as d i s t i n g u i s h e d from a t h i n g which e x i s t s ) and a r e not d i r e c t l y determined by i n t e n t i o n a l human i n t e r v e n t i o n . A c t s , on t h e o t h e r hand, a r e " e f f e c t [ s ] produced  26  i n the  1 6  e x t e r n a l w o r l d b y t h e e x e r c i s e o f t h e power o f a p e r s o n objectively,  prompted  by i n t e n t i o n ,  by a motion o f t h e w i l l . " i n t e n t i o n on t h e p a r t effects follow  An a c t r e s u l t s  1 7  o f t h e human w i l l  o r consequences  from an  t o produce t h e  w h i c h a r e known o r e x p e c t e d t o  from a p a r t i c u l a r  human w i l l  and p r o x i m a t e l y c a u s e d  action.  I t i s this  with respect t o foreseen e f f e c t s  d i s t i n g u i s h e s an a c t from an e v e n t . of  a c t i n which  a body a d m i n i s t e r s  to  other bodies; there  i s a n added  exercise of the that  Transactions are a type i t s affairs  i n relation  intention to create a 18  r e l a t i o n s h i p with another body(ies). discussion,  t h e terms  "fact"  In the following  and " e v e n t " w i l l  be u s e d  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 h a p p e n i n g s , whether arise  from a n a t u r a l  human i n t e r v e n t i o n . though, w i l l  cause o r as a r e s u l t The terms  o n l y be u s e d  they  of the exercise of  " a c t " and " t r a n s a c t i o n , "  i n the s t r i c t  senses  defined  above. The explored Raffel  r e l a t i o n s h i p between documents a n d e v e n t s h a s b e e n i n some d e p t h b y s o c i o l o g i s t  claims that the essential  creation  can be d e s c r i b e d by s y m b o l s . without events. documents; t h a t social  element  Raffel.  f o r document  i s t h a t t h e w o r l d i s composed o f d i s c r e t e  w i t n e s s a b l e events, t o which  In  Stanley  observers can t e s t i f y  facts, and which  Documents c a n n o t o c c u r  19  However, e v e n t s may o r may n o t p r o d u c e i s , e v e n t s can o c c u r and remain u n r e c o r d e d .  science,  though,  any e v e n t t h a t goes u n r e c o r d e d i s 27  not communal p r o p e r t y ; i t i s not knowable by s o c i e t y . Without a r e c o r d , o n l y those p r e s e n t a t an event w i l l know of  i t s o c c u r r e n c e ; no one e l s e can ever a c c e s s i t .  example, suppose a c h i l d t r i p s i n t h e s t r e e t .  For  I f the c h i l d  does not b r u i s e h i m s e l f / h e r s e l f , i f no one sees t h e a c c i d e n t , and i f the c h i l d f o r g e t s about t h e event, then t h e r e i s no r e c o r d o f i t . happened.  No one w i l l ever know t h a t i t  On the o t h e r hand, i f someone sees t h e a c c i d e n t  and t a k e s a p i c t u r e o f the f a l l e n c h i l d , then o t h e r s can l o o k a t t h e p i c t u r e and see what happened. act  The c o n s t i t u t i v e  performed by t h e document i s t h a t o f naming t h e event,  thereby s o c i a l i z i n g  i t and making i t a c c e s s i b l e t o s o c i e t y .  Documents a r e important because they embody events and make 20  them knowable. In a d d i t i o n t o s o c i a l i z i n g  an event, t h e r e c o r d i s a l s o  needed t o ensure t h e event's s u r v i v a l .  Since only the  p r e s e n t can be known, some d e v i c e i s r e q u i r e d f o r f r e e z i n g the observed p r e s e n t b e f o r e i t s l i p s i n t o t h e p a s t . document, as an embodiment  The  o f the event, c o n v e r t s t h e  p r e s e n t i n t o t h e permanent.  21  As George O r w e l l observed i n  1984, "past events, i t i s argued, have no o b j e c t i v e e x i s t e n c e , but s u r v i v e o n l y i n w r i t t e n r e c o r d s and i n human memories." For  an event t o be documented, an o b s e r v e r must be  p r e s e n t i n time and space t o bear w i t n e s s t o t h e event when and where i t appears.  However, 28  i n o r d e r f o r the document  t o be e v i d e n c e  o f t h e event  r a t h e r than  must b e unencumbered b y t h e o b s e r v e r ' s o b s e r v e r must o b j e c t i v e l y about  itself,  what a n o b s e r v e r  In t h i s  case,  present  c a n know.  can t r u l y  know.  the boundaries of  r e c o r d s may i n c l u d e a  be c a r e f u l  t o note  h e / s h e c a n o n l y know what  F o r t h e r e c o r d - w r i t e r , t h e event  by t h e p a t i e n t ; r a t h e r , t h e e v e n t i s  t h e d i a l o g u e between t h e p a t i e n t and t h e r e c o r d - w r i t e r . A good r e c o r d i s s e l f - s u f f i c i e n t allows t h e event  t o speak through  re-experienced through  i t ; t h a t i s , events  use o f the record.  administrators  a n d b u r e a u c r a t s , who c a n n o t  a b o u t w h i c h t h e y n e e d t o know.  be p r e s e n t a t a l l T h e y must r e l y on  events.  T h e r e a r e two ways i n w h i c h b u r e a u c r a t s usability ensures  of records.  In the f i r s t  can achieve  method, t h e b u r e a u c r a t  that the record-writer i s r e l i a b l e  controls,  c a n be  This  o f r e c o r d s i s what makes them u s e f u l t o  records t o access those  through  various  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  the w r i t e r .  2 2  and r e l i a b l e , and  characteristic  the events  that  S i n c e t h e r e c o r d - w r i t e r was n o t  a t the previous events,  n o t what i s r e l a t e d  reveals  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 .  t h e p a t i e n t says happened. is  Medical  the record-writer w i l l  i s hearsay.  Thus, t h e  r e c o r d o n l y what t h e e v e n t  records t o i l l u s t r a t e  o f the events  the h i s t o r y  opinion.  which i s a l l t h a t t h e observer  R a f f e l uses medical  "history"  o f the observer, i t  The r e c o r d - u s e r  (the bureaucrat)  29  then  with  becomes  the  o b s e r v e r a t t h e event and can proceed t o a d m i n i s t e r  h i s / h e r a f f a i r s through t h e r e c o r d . In  23  t h e second method, t h e b u r e a u c r a t ensures t h a t t h e  r e c o r d i s r e l i a b l e by j u d g i n g i t s completeness—whether  the  r e c o r d possesses v a r i o u s b u r e a u c r a t i c a l l y n e c e s s a r y forms, whether a l l t h e p a r t s o f a form have been f i l l e d  i n and,  r e q u i r e d , whether t h e r e a r e t h e a p p r o p r i a t e s i g n a t u r e s . the  if If  r e c o r d i s complete, t h e b u r e a u c r a t c o n s i d e r s i t t o be a  v i s i b l e f a c t i n i t s e l f and approaches i s c u r r e n t l y p r e s e n t and can be known.  i t as an event which S i n c e t h e complete  r e c o r d embodies t h e o r i g i n a l event, t h e b u r e a u c r a t can a c h i e v e what he/she n e e d s — p r e s e n c e use o f t h e r e c o r d . In itself,  at the e v e n t — t h r o u g h  2 4  e i t h e r method, t h e r e c o r d l e t s t h e event speak f o r t h e r e b y p r o v i d i n g a way f o r the r e c o r d - u s e r t o  a c h i e v e presence a t t h e event a f t e r i t has happened.  Hence,  r e c o r d s a r e an instrument through which events s u r v i v e and can be r e - e x p e r i e n c e d .  Records a r e not merely  "about"  events, they a r e a means o f access t o events. T h i s r e l a t i o n s h i p between r e c o r d s 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 o f t h e development  o f l i t e r a c y and t h e use o f w r i t t e n r e c o r d s i n  day-to-day b u s i n e s s i n England.  As Clanchy t r a c e s t h e s h i f t  from memory t o w r i t t e n r e c o r d between A.D. 1066 and A.D. 1307,  one can see t h a t n o n - l i t e r a t e forms o f r e c o r d 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 t o events and t h a t t h e r o 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 a b s o r b e d written  record.  A l t h o u g h C l a n c h y ' s s t u d y f o c u s e s 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,  this  shift to  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 o t h e r s o c i e t i e s , o l d e r a n d more r e c e n t t i m e s , a n d i n v o l v e d adjustments  i n both  similar  i n p e o p l e ' s t h o u g h t s and a c t i o n s .  w h i l e t h e e x a m p l e s may b e s p e c i f i c and  by t h e  t o England,  Therefore, the concepts  c o n c l u s i o n s o f C l a n c h y ' s s t u d y a r e more b r o a d l y  applicable.  2 5  As m e n t i o n e d  earlier,  transactions  i n pre-literate  E n g l a n d t o o k p l a c e b e f o r e w i t n e s s e s who h e a r d a n d m e n t a l l y r e c o r d e d t h e words u t t e r e d by each p a r t y i n t h e 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 s y m b o l i z e d b y t h e t r a n s f e r o f a n  object  such as a horn,  were t r a d i t i o n a l  finger rings,  or silver  symbols f o r conveyances,  from t h e l a n d might  be used  important  2 6  although a t u r f  b e s y m b o l i z e d b y an  The t r a n s f e r o f t h e o b j e c t was  i n two ways:  i t i n d i c a t e d that both  accepted the transaction,  horses a c t u a l l y passed  parties  a n d i t f o r m a l i z e d t h e moment o f  a c t i o n — t h e moment a t w h i c h t h e o w n e r s h i p  addition,  Knives  i n a l a n d g r a n t , and a g i f t o f  h o r s e s f r o m one p e r s o n t o a n o t h e r m i g h t i v o r y whip-handle.  cups.  of the land or the  f r o m one p a r t y t o t h e o t h e r .  In  t h e o b j e c t h e l d a memory o f t h e t r a n s a c t i o n a n d  was a t a n g i b l e people's l i v i n g  supplement t o t h e r e c o r d p r e s e r v e d i n memories.  31  The  importance o f o b j e c t s i s e v i d e n t  i n a story related  t o Edward I's quo warranto proceedings i n the t h i r t e e n t h century.  In t h i s s t o r y , the E a r l Warenne appears b e f o r e  k i n g ' s judges, produces an a n c i e n t and  r u s t y sword from the  Norman Conquest ( i n s t e a d of a w r i t t e n c h a r t e r ) , and " T h i s i s my  warrant!"  i n a c c u r a c i e s and  the  claims  As Clanchy p o i n t s out, t h e r e are many  i n c o n s i s t e n c i e s i n the s t o r y , but the  story  remains v a l u a b l e f o r what i t t e l l s about p r e - l i t e r a t e customs.  Warenne's a n c e s t o r s  had  acquired  l a n d 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 was  a l o g i c a l symbol of t h a t a c q u i s i t i o n .  The  been p a r t of the event and t h e r e f o r e served l i t e r a t e form of p r o p e r t y  sword  as a  t i t l e f o r Warenne.  As w r i t t e n r e c o r d s were i n t r o d u c e d  the sword  non-  27  i n t o everyday l i f e ,  i t would have seemed l o g i c a l f o r c h a r t e r s and  other  t o supersede both the t r a n s i t o r y a c t o r s w i t n e s s i n g t r a n s a c t i o n and the symbolic parties.  records a  o b j e c t s t r a n s f e r r e d between the  However, change o c c u r r e d  contemporaries continued  had  s l o w l y , and many  their pre-literate habits.  l o n g time, the spoken word remained the l e g a l l y r e c o r d , a r e c o r d f a r s u p e r i o r t o any w r i t t e n  For a  valid  representation.  Clanchy p o i n t s out t h a t when w i l l s were f i r s t e n r o l e d i n London around A.D.  1258,  on the w i t n e s s e s who was  had  the formula of probate put  emphasis  seen and heard the t r a n s a c t i o n .  o n l y i n the 1290's t h a t these r o l l s began t o omit  names of the witnesses,  thereby i n d i c a t i n g t h a t the  It  the  validity  of the w i l l  d e p e n d e d upon i t s b e i n g  i n a c o r r e c t documentary 28  f o r m r a t h e r t h a n upon t h e v e r b a l  assurances o f  witnesses.  I n a n o t h e r example, c o n v e y a n c e s were o f t e n w r i t t e n on symbolic the  o b j e c t s , which continued  parties.  tense,  In addition, records  implying  confirmation transaction. By had  t o be t r a n s f e r r e d between  that  records  were d r a f t e d  i n the past  were m e r e l y a n a d j u n c t  o f , t h e p h y s i c a l ceremony s u r r o u n d i n g  t o , and a  2 9  the l a t t e r h a l f of the t h i r t e e n t h century,  become commonplace i n E n g l a n d .  Lingering  records  pre-1iterate  h a b i t s were accommodated t h r o u g h t h e u s e o f s e a l s w h i c h were attached  t o records  replaced  t h e symbolic  of recording  as a form o f a u t h e n t i c a t i o n . objects  used  enough t o h o l d  Gradually,  t h e r e c o r d was a c c e p t e d  an  event,  i n the traditional  t r a n s a c t i o n s a n d made t h e w r i t i n g s  impressive  3 0  as t h e s o l e instrument o f  socialized  t h e e v e n t and had  I n many c a s e s ,  became b o t h t h e a c t a n d t h e memory o f t h e a c t . to indicate their  between r e c o r d  and a c t u n t i l  f i n g e r on t h e l i t t l e "this  r e d spot  i s my v e r y  the record People  awareness o f t h i s r e l a t i o n s h i p early this  customary i n s i g n i n g a l e g a l  declare  seem  t h e memory o f a n e v e n t .  i n d i c a t e d t h e moment o f a c t i o n .  still  ways  r e p l a c i n g b o t h t h e w i t n e s s e s a n d t h e ceremony  which had t r a d i t i o n a l l y  continued  The s e a l s  century,  instrument t o place  (the v e s t i g i a l  a c t and deed."  33  when i t was  31  s e a l ) and  a  In the  examples g i v e n  so  f a r , the  r e c o r d o f an  c o n s i s t s o f a s i n g l e document w h i c h l e a d s directly For  instance,  fact and  from the  document t o t h e  the  society,  participation  t h o u g h , many b u r e a u c r a t i c  procedure which r e q u i r e s the  own no  As  prior  necessary  f o r the  to access  insurance  the  result  of  final  initiate  acts  event,  o b j e c t i v e of the  i t .  accident,  procedure.  indication On  For  f r o m an  the  record of the  fact  be by  example,  automobile  and  so  on.  the  insurance of the  garage,  claimant  the  cheque  i s the  final  However, t h e  act,  cheque acts  that  cheque i s m e r e l y a r e c o r d  company t o t h e  c l a i m i s the 34  an  other  The  o f t h e many i n t e r m e d i a t e  i t s own,  money p a i d by  To  i t may  o f damage, c o n t a c t w i t h  which i s u l t i m a t e l y i s s u e d t o the  preceded  where  a procedure that requires p o l i c e  extent  i n v o l v e d i n the  no  several  act.  o f documents i n v o l v e d .  a  create i 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  contains  of  the procedure, which i s o n l y p o s s i b l e  chain  assessment of the driver  today's  partial  final  c l a i m f o r damages a r i s i n g  accident w i l l  the  a r e many c a s e s  accomplishment o f the  s i g n i f i c a n c e of the  considering the  reports,  In  completion  a consequence, t h e r e  to  Norman C o n q u e s t  acts are  s i n g l e document embodies a l l o f t h e  understand the  the  i n the  autonomous a c t s , e a c h o f w h i c h may  documents.  necessary  an  e n t i r e fact generating i t .  subsequent a c q u i s i t i o n of land.  r e l a t e d but  record-user  E a r l Warenne's s w o r d l e d d i r e c t l y  of h i s ancestors' their  the  event  claimant.  case f i l e ,  of  The  which  c o n t a i n s t h e r e c o r d s o f a l l t h e i n t e r m e d i a t e a c t s and o f t h e final  act.  As a u n i t ,  then, t h e case f i l e  c a n be c o n s i d e r e d  a r e c o r d and has a l l t h e t y p i c a l c h a r a c t e r i s t i c s  of a  record. A review o f the ideas explored thus whether t h e r e c o r d i s a s i n g l e strictly  interrelated  and  exist  i n the world  on t h e i r own.  i s direct  out of acts  e v e n t s a n d g i v e body t o them, t h e r e b y m a k i n g them  Documents p l a y many r o l e s part  t h e event.  effects about  Records,  relations  They always  which a r e conveyed  have a  facts,  the world  information,  between p e o p l e and a r e a b l e t o a c h i e v e  d e s i r e d by t h e i r c r e a t o r s . t h e y a r e an i n t e g r a l  One r e s u l t  Documents a r e n o t m e r e l y and a c t i v e  of this relationship  part  role  i n that  from which t h e y a r i s e , a c t o r event.  of facts.  between documents and  i s t h a t documents c a n b e d i f f e r e n t i a t e d  t h e a c t o r event  their  i n events.  survival.  i n a n e v e n t a s a w i t n e s s t o i t , a n d may a l s o b e a g e n t s  establish  to  between  and dynamic.  They a r i s e  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  in  that  document o r a n a g g r e g a t i o n o f  documents, t h e r e l a t i o n s h i p  documents and happenings Documents c a n n o t  f a r shows  according  and a c c o r d i n g t o  T h e r e f o r e , one must h a v e  some u n d e r s t a n d i n g o f a c t s a n d e v e n t s b e f o r e p r o c e e d i n g any further. In  b o t h 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  distinction  i s made b e t w e e n a c t s a n d e v e n t s w h i c h a r e  juridically  relevant,  and t h o s e which a r e n o t . 35  This  /  distinction fact  i s b a s e d on w h e t h e r o r n o t t h e c o n s e q u e n c e s o f a  a r e r e c o g n i z e d by t h e l e g a l  occurs. legal  That i s , while a l l f a c t s  system i s i n t e r e s t e d  t h a t may a r i s e selects and  produce consequences,  i n a l l the possible  from a l l p o s s i b l e  facts.  Those f a c t s  t h e law a r e c a l l e d  juridical  facts;  called  legal  consequences  R a t h e r , t h e law  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  are  and w i t h o u t  juridically  relevant  facts,  or  t h o s e whose c o n s e q u e n c e s a r e n o t r e c o g n i z e d  juridically  d u t i e s o f persons  irrelevant  facts.  In the E n g l i s h  (whether p h y s i c a l  or j u r i d i c a l )  and and has  3 2  t h e r e f o r e chosen t o r e c o g n i z e t h o s e a c t s and e v e n t s rights  juridical  and d u t i e s .  Within t h i s p a r t i c u l a r  f a c t may be more n a r r o w l y d e f i n e d  o c c u r r e n c e o r a c t which c r e a t e s , m o d i f i e s , maintains,  or extinguishes a right  that  the rules  system e x i s t rules  also  further law, are by  of right  to protect  establish  the interests  context,  a  transfers, 3 3  and d u t i e s  or justice  which  as any  or a duty.  E x p l o r i n g the concept o f r i g h t s finds  legal  whose c o n s e q u e n c e s a r e r e c o g n i z e d  system, t h e law i s c o n c e r n e d w i t h t h e r i g h t s  affect  no  a few c o n s e q u e n c e s a s b e i n g m a t e r i a l t o i t s c o n c e r n s  significance. by  system i n which t h e f a c t  in a  further,  one  juridical  o f humankind.  34  The  t h e e x t e n t t o w h i c h a p e r s o n may a c t t o  those i n t e r e s t s .  Not a l l i n t e r e s t s  a r e p r o t e c t e d by  b u t t h o s e w h i c h do r e c e i v e r e c o g n i t i o n a n d p r o t e c t i o n called rules  rights.  N a t u r a l and m o r a l r i g h t s  o f nature o r moral j u s t i c e .  36  Legal  are conferred rights  are those  rights  r e c o g n i z e d and p r o t e c t e d by t h e l e g a l  right,  whether n a t u r a l  duty,  obligatory right  of this right A right  i stherefore a right-duty  b e t w e e n two o r more p e r s o n s ,  right  Every r i g h t source, rights  the law has s p e c i f i e d  i sderived.  as g i v i n g  generally accepted r e c i p r o c a l  original  The  (a s o u r c e )  there are  and d u t i e s o f p a r e n t  I n o t h e r c a s e s , a movement  passes  f o rthe right  fish  to theright  which  r i g h t s and  f o r a r i g h t t o come  into c r e a t e s an  o f ownership.  If  from t h e f i s h e r m a n , t h e r i g h t  from t h e f i s h e r m a n t o t h e p u r c h a s e r .  a c t of purchasing the f i s h  title  events  F o r example, t h e a c t o f c a t c h i n g f i s h  title  ownership  i s born,  rights  i srequired  someone t h e n b u y s t h o s e of  rise to certain  w h i c h come i n t o b e i n g .  t h e human w i l l  I n some c a s e s ,  a u t o m a t i c a l l y from  F o r example, when a c h i l d  existence.  t h e r e must b e someone  that a person has r e q u i r e s a " t i t l e , " o r  are inborn, or arise  child  An  i n h e r e s a n d t o whom o t h e r s owe a d u t y .  from which t h e r i g h t  duties.  and both t h e r i g h t  i n some p e r s o n o r p e r s o n s .  i s an i m p o s s i b i l i t y ;  whom t h e r i g h t  The  i st h e duty o f others t o r e f r a i n  t h e d u t y must be i n v e s t e d  ownerless  of  respect of that  t o e x c l u d e o t h e r s from t h e u s e o f t h e l a n d .  relationship  and  i na  F o r example, a p e r s o n who owns l a n d h a s t h e  from t r e s p a s s i n g .  in  implies  Every  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  act.  correlative  and  o r l e g a l , has a c o r r e l a t i v e  since the existence of a right  r i g h t by o t h e r s .  system.  o f ownership  37  i sconsidered a derivative (derivative  because  i t does  not  create  right  to  a new  r i g h t , but  someone e l s e ) .  exists  i n a contract  lender  and  juridical  as  S i m i l a r l y , the  or other  borrower. fact  or not,  r i g h t s and  i n order  oral  or  duties.  recording "written  The  c o n s e q u e n t l y , be  document" may  photograph, At  t h i s point,  introduced  on  the  written act  (see  written  species.  The  2).  Figure  species  a student document.  be an  interested in produce method  a l a s t i n g medium. to a letter,  by  This  of  Thus,  a  a  document and includes law  o f documents  classification  i s based  i s comprised  or convention, as  written  second s p e c i e s  38  of  two  either to  evidence of the  form.  can  t h o s e d o c u m e n t s whose  The  f o r admittance unless The  or  take e i t h e r  is  an  university will i t receives  of the  put  act's  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  example o f a r e q u i r e d consider  may  a second c l a s s i f i c a t i o n  i n t o e f f e c t or to serve An  perceived  tape.  form o f t h e first  be  i s u s e d t o mean any on  of  juridically  form, s i n c e t h e y  refer equally  form i s r e q u i r e d  occurrence.  written  a fact  or a cassette  be  an  term " w r i t t e n "  a  3 5  form, t h i s t h e s i s i s o n l y  or capturing  to  the  or combination  act or event i s  those a c t s which take a w r i t t e n documents.  fact  Although t h i s manifestation  a written  debt  f o r i t t o e x i s t , i t must  e x t e r n a l l y m a n i f e s t e d and, perceivable.  to a  i s equivalent  earlier—a  R e g a r d l e s s o f w h e t h e r an relevant  title  existing  t r a n s a c t i o n made b e t w e e n  Thus, a t i t l e  defined  f a c t s which c r e a t e s  m e r e l y t r a n s f e r s an  not  a  classification  FIGURE 2 CLASSIFICATION B A S E D O N WRITTEN F O R M OF D O C U M E N T  DOCUMENTS  WRITTEN FORM REQUIRED  DISPOSITIVE  PROBATIVE  WRITTEN F O R M DISCRETIONARY  SUPPORTING  NARRATIVE  encompasses those documents whose c r e a t i o n i s d i s c r e t i o n a r y . That i s , t h e document i s a r e s u l t o f a c h o i c e t o r e c o r d t h e a c t i n w r i t t e n form r a t h e r than t o m a n i f e s t i t o r a l l y .  For  example, someone may choose t o w r i t e t o a f r i e n d i n s t e a d o f phoning him/her. written  form.  The r e s u l t i n g l e t t e r i s a d i s c r e t i o n a r y  36  Each s p e c i e s may be f u r t h e r s u b d i v i d e d purpose o f t h e w r i t t e n form.  according  t o the  With r e s p e c t t o t h e f i r s t  s p e c i e s , where t h e w r i t t e n form o f an a c t i s r e q u i r e d , t h e document produced may be one o f two t y p e s .  I f t h e a c t i s of  such a k i n d t h a t i t can o n l y come i n t o e x i s t e n c e by means of a document, then t h e document i s d i s p o s i t i v e .  I f the a c t  t a k e s p l a c e o r a l l y o r p h y s i c a l l y , but r e q u i r e s a document t o c o n s t i t u t e evidence o f i t s occurrence, then t h e document i s probative.  In t h e f i r s t case, t h e document i s t h e a c t ; i n  the second case, t h e document r e f e r s t o t h e a c t . An example of a d i s p o s i t i v e document i s a conveyance; t h e t r a n s f e r o f l a n d 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 i n d i c a t e d t h e i r consent by s i g n i n g t h e document.  The  moment o f a c t i o n occurs i n t h e completion o f t h e r e c o r d . example o f a p r o b a t i v e  document i s a marriage r e g i s t e r ; t h e  a c t o f marriage occurs i n a ceremony t h a t has immediate e f f e c t s and i s r e c o g n i z e d  by t h e law, but t h e marriage  r e g i s t e r must be signed t o serve as w r i t t e n evidence t h a t the a c t took p l a c e . and  An  The moment o f a c t i o n o c c u r s p r i o r t o ,  independently o f , t h e document.  40  37  With regard to  the  form i s d i s c r e t i o n a r y , a c t i v i t y , and  second s p e c i e s , the  or  (a)  supporting documents—those constituting  act,  but  also  be  juridically  •  •  •  •  •  a c t i v i t y which i s j u r i d i c a l l y  of  the  type of  Giving  juridical  act;  anyone, nor  is  an  i t does not  and  lecturing  responsibilities. p r o b a t i v e nor evidence of  of  the  relevant  While the  lecture  result  to  the  lecture  professor's  in  a  with  the  teaching  extent that  it  professor's notes are  a c t i v i t y with j u r i d i c a l  neither  provide  significance.  narrative  scientists  comparing t h e i r r e s e a r c h r e s u l t s .  An  documents i s c o r r e s p o n d e n c e between  between the  two  colleagues  i t i s i n no  way  of  example  legal relations  example o f  consultation  An  d i s p o s i t i v e documents, t h e y do  an  evidence  consequences.  of  fulfilling  (b)  38  establish  is juridically  integral part  written  s t u d e n t s does not  i s part  juridical  and  irrelevant.  does i t produce l e g a l  Nevertheless, function  to  types:  in a  document i s a p r o f e s s o r ' s  lectures  an  written  relevant;  •  an  first  i n t o two  result  documents—those constituting •  notes.  divided  a c t i v i t y which does not  which i s i t s e l f  narrative •  an  written  documents p r o d u c e d r e f e r t o  act  evidence of  may  when t h e  is a  irrelevant  act  as  required  of  scientist,  nor  i s i t i n t e n d e d t o p r o d u c e any  two  The juridically either legal  consequences. Returning to a  careful  study of  the  first  species  p r o b a t i v e and  41  in this classification,  dispositive  documents  reveals that these defined earlier:  documents a r e r e c o r d e d they  are  t r a n s a c t i o n s , as  intended t o convey  f o r the purpose of a d m i n i s t e r i n g a person's Furthermore,  i t may  be  noted  information  interests.  t h a t p r o b a t i v e and  dispositive  documents a r e 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 acts.  T h e i r w r i t t e n form i s r e q u i r e d because t h e y  r e f e r t o an rights  and  a c t which i s l e g a l l y d u t i e s , or they put  Since a r i g h t  can  o r more p e r s o n s , considered  only exist  such  type  relation  to a right  "legal  to rights  dispositive  of recorded  or duty.  transaction:  All  called  o f r e c o r d s and  r e c o r d s managers o f t e n u s e  records  a c c u m u l a t e d by religious  the personnel  4 0  lawyer,  same way  are c a l l e d  church  However, t h e s e  records of the  may  be  relationship  the  law  phrase records.  or j u r i s t  that  are  records  records  r e c o r d s may  firm's Finance  or include Department,  r e c o r d s o f t h e Human R e s o u r c e s D e p a r t m e n t ,  Many o f t h e s e  significance.  firm,  i n much t h e  a church  archives.  the accounting  s o on.  and  f r o m a c o u r t , law  legal  others  and  r e c o r d s " t o r e f e r t o the provenance of the  records  be  the  conveyed t o  Thus, p r o b a t i v e  3 9  two  duties.  Archivists "legal  effect.  documents can  r e c o r d s " because o f t h e i r d i r e c t  and  affecting  an a c t i n t o  d i s p o s i t i v e documents a r e a s u b - s e t called  as  either  as a r e l a t i o n s h i p between  p r o b a t i v e and  a special  recognized  embodiment o f i n f o r m a t i o n w h i c h must be in  juridical  r e c o r d s may  h a v e no  direct  legal  T h i s usage o f the term i s o f l i t t l e  42  and  help  in  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 w i t h the nature of r e c o r d s , r e g a r d l e s s of t h e i r provenance.  legal  For the  purposes o f t h i s t h e s i s , t h e r e f o r e , " l e g a l r e c o r d s " w i l l defined  be  as: those r e c o r d s which e i t h e r execute o r are w r i t t e n evidence of a c t s or events which 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 duties.  L e g a l r e c o r d s are d i s t i n g u i s h e d from r e c o r d s i n g e n e r a l i n t h a t they are e x p r e s s l y c r e a t e d f o r the purpose o f a f f e c t i n g l e g a l r i g h t s and d u t i e s .  4 1  In c o n t r a s t t o l e g a l r e c o r d s , s u p p o r t i n g and n a r r a t i v e documents are not intended t o have a d i r e c t c o n n e c t i o n l e g a l r i g h t s and d u t i e s .  with  They are n o n - l e g a l documents.  They convey i n f o r m a t i o n , 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 p a r t i e s i n v o l v e d . Sarah may  For example,  send a l e t t e r t o her f r i e n d a c c e p t i n g her f r i e n d ' s  i n v i t a t i o n to dinner.  By s t a t i n g her acceptance,  p r o m i s i n g her attendance a t the d i n n e r .  Sarah i s  However, no  legal  agreement has been c r e a t e d ; the f r i e n d does not have a l e g a l r i g h t t o demand Sarah's attendance or t o seek compensation i f Sarah should f a i l t o appear a t the d i n n e r .  The  acceptance i s a t r a n s a c t i o n o n l y i n the p h i l o s o p h i c a l sense of b e i n g an a c t which mutually i n f l u e n c e s two  or more p a r t i e s .  43  a f f e c t s or r e c i p r o c a l l y I t i s not a t r a n s a c t i o n i n  the  legal  sense of e s t a b l i s h i n g l e g a l  parties. As  Hence, t h e  letter  mentioned at the  i s a non-legal  documentary c l a s s i f i c a t i o n s .  document and  (see T a b l e I ) . probative  activity For  will  a l w a y s be  other  duties  created  functioning,  relationship to  legal  e i t h e r supporting  document w i l l juridically  i t may  be  related and  information  or records.  definition,  two  the  concern),  be  sets the  t h e y c a n n o t h a v e any  they  On  are  the  not  r i g h t s and  a record  relevant  personal  or  earlier.  Narrative  the  A  a l s o conveys  s u c h as  supporting  be  a manuscript meant t o be  professor's  documents c a n  a  information  correspondence  a g r e e m e n t s b e t w e e n two  i s not  f o r m , s u c h as  and  purpose,  document w i l l  activity  Hence, t h e y must  i f i t constitutes evidence of  activity  framework f o r an  supporting  duties.  direct  o r n a r r a t i v e documents.  administrative  written  purpose of  t o convey  transactions,  is  to achieve r e s u l t s e s s e n t i a l to a person * s  continued  f o r an  case with the  (an a d m i n i s t r a t i v e  recorded  there  of d i f f e r e n t  example, b e c a u s e d i s p o s i t i v e  hand, s i n c e m a n u s c r i p t s , by  intended  be  Such i s t h e  that generated  d o c u m e n t s must be  a b o u t r i g h t s and  chapter,  species  p r e s e n t e d h e r e , where t h e  the  the  document.  beginning of t h i s  sometimes a c o r r e l a t i o n between t h e  classifications  r e l a t i o n s between  that  parties.  i f i t a r i s e s from communicated  l e c t u r e notes  n e v e r be  b o r n as  in its cited  records,  since 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 activity.  44  A a  TABLE I CORRELATION BETWEEN TWO CLASSIFICATIONS OF DOCUMENTS  RECORDS MANUSCRIPTS  DISPOSITIVE  PROBATIVE  X  X  SUPPORTING  NARRATIVE  X X  X  This  c h a p t e r has  d o c u m e n t s and reciprocal  the  one.  and  facts that  appear i n documents i s a  p r o t e c t i n g t h e i r memory.  type of  f a c t determines the  i t s r o l e i n an  manifested  act.  in written  For  f o r m and  records.  records  document t h a t may i n law.  be  The  a f f e c t e d by  relates to  a c t s which  that w i l l are law,  next chapter w i l l  what c o n s t i t u t e s l e g a l v a l u e  not  46  be the  only  them  other document  are and  called  o r t h a t may  legal  type  of  h a v e some  e x a m i n e more c l o s e l y  i n general  documents.  the  which a f f e c t r i g h t s  record  However, l e g a l  On  nature of the  instance,  d u t i e s produce a type of  effect  r e l a t i o n s h i p between  Documents embody f a c t s , t r a n s m i t t i n g  t h r o u g h t i m e and hand, t h e  shown t h a t t h e  and  how  that  concept  CHAPTER COMPONENTS OF  Legal value  vaguely  LEGAL VALUE  i s often l i s t e d  management l i t e r a t u r e a s one document may  TWO  have.  in archival  defined, offering  little  legal value.  t h e terra i s u s u a l l y o n l y  guidance  s e e k i n g t o determine whether o r not documents has  to the  defines  l e g a l v a l u e as  Terminology  business  and/or  w h i l e t h e Maedke, Robek, and  2  i n records that provide  transaction[s]."  3  that they  offer  no  business,  evidence,  legal value.  The  legal proof  problem with  these  or p r o o f — k e y  This chapter w i l l  last  developed As  chapter by  a result  and  elements t o  explore these  a l s o upon t h e  the E n g l i s h l e g a l of t h i s  facts  r u l e s of  system over  examination,  "value business  definitions  explanation of the concepts  d r a w i n g upon t h e d i s c u s s i o n o f j u r i d i c a l the  of  of  is  legal  understanding concepts, developed  in  evidence the c e n t u r i e s .  the chapter w i l l  t h e m a i n components o f l e g a l v a l u e .  as  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 a s inherent  of  "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  of current or future l e g a l  thereof,"  body  F o r example, t h e I n t e r n a t i o n a l  of Archives' Dictionary of A r c h i v a l  evidence  archivist  a particular  Council  the conduct  records  of the v a r i o u s values t h a t a  Unfortunately,  1  and  Intrinsic to  identify this  discussion  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  independently  of context,  circumstances; over time;  o r whether i t i s determined  entity.  whether l e g a l  by  whether l e g a l v a l u e c a n be a c q u i r e d o r l o s t  and w h e t h e r p o t e n t i a l  identifiable  exists  legal value  i s an  F i n a l l y , t h i s chapter w i l l  4  consider  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 ,  w h e t h e r i t i s p o s s i b l e f o r n o n - l e g a l documents  and  t o have  legal  value. As d i s c u s s e d i n t h e p r e v i o u s c h a p t e r , affect legal  rights  significance  took p l a c e . resulting  documents  juridical direct  acts are expressed (dispositive  a l s o have l e g a l  case,  juridical  i n w r i t t e n form, t h e  or probative  significance.  records)  T h e y embody a  Thus, t h e y have l e g a l v a l u e .  t h e l e g a l v a l u e o f t h e r e c o r d d e r i v e s from nature  the d i r e c t  of the fact  relationship  Non-legal relationship  i t represents, supported  between t h e f a c t  documents  do n o t h a v e t h i s  with j u r i d i c a l facts.  under t h e requirement  a j u r i d i c a l fact.  Rather,  sentimental purposes.  cultural,  48  by  produced  of,  are produced  for  h i s t o r i c a l , or  N e v e r t h e l e s s , t h e y may  l i n k with a j u r i d i c a l fact.  the  direct  They a r e n o t  they  In  and t h e r e c o r d .  of, or with the intention  various administrative, f i s c a l ,  indirect  they  a c t and a r e r e c o g n i z e d b y t h e l a w a s p r o v i d i n g  access to that act.  embodying  j u r i d i c a l a c t s and h a v e  w i t h i n the j u r i d i c a l system i n which  I f such  necessarily  this  and d u t i e s a r e c a l l e d  a c t i v i t i e s that  have an  F o r example,  an  author  whose book i s being p u b l i s h e d w i l l correspond w i t h t h e p u b l i s h e r about a v a r i e t y c l a s s i f i e d as s u p p o r t i n g  o f matters.  The l e t t e r s are  documents c r e a t e d f o r  a d m i n i s t r a t i v e purposes.  They do not themselves produce a  j u r i d i c a l a c t ; they do not a l t e r any l e g a l r e l a t i o n s the author and p u b l i s h e r . related  between  However, w h i l e not d i r e c t l y  t o a j u r i d i c a l a c t , the l e t t e r s a r e p a r t o f an  a c t i v i t y t h a t leads t o a c o n t r a c t and t o p u b l i c a t i o n . the f i n a l c o n t r a c t w i t h the p u b l i s h e r — a r e c o r d — w e r e a c c i d e n t a l l y destroyed,  dispositive  the l e t t e r s c o u l d  as evidence o f the c o n t r a c t terms t h a t were b e i n g between t h e author and p u b l i s h e r . l e g a l value at that point. l e g a l value  serve  negotiated  The l e t t e r s would g a i n  Thus, the f i r s t component o f  i s a relationship,  between a document  If  whether d i r e c t o r i n d i r e c t ,  and a j u r i d i c a l f a c t o r f a c t s .  Circumstances can p l a y a major r o l e i n d e t e r m i n i n g whether a document has a l e g a l l y s i g n i f i c a n t juridical  fact.  l i n k with a  In the example mentioned above, t h e l e t t e r s  g a i n l e g a l v a l u e because no other documents s u r v i v e . c o n t r a c t were a v a i l a b l e ,  i t would p r o v i d e p r o o f  I f the  t h a t an  agreement between the author and p u b l i s h e r had been reached, and  t h e l e t t e r s would not be needed.  Circumstances may  also  change the nature o f a f a c t from one which i s j u r i d i c a l l y irrelevant  t o one which i s j u r i d i c a l l y r e l e v a n t .  Frederick Pollock provides situation  Jurist Sir  an e x c e l l e n t example o f t h i s  i n h i s F i r s t Book o f J u r i s p r u d e n c e 49  f o r Students of  t h e Common Law. falling has  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 t h e  o f an a p p l e  no l e g a l  from  import.  a man's own t r e e o n h i s own g r o u n d  No o n e ' s r i g h t s a r e a f f e c t e d  i n any  way, a n d t h e l a w d o e s n o t c a r e w h e t h e r t h e owner p i c k s up the apple o r not, the apple  falls  o r whether he e a t s i t o r not.  from  a branch  projecting  However, i f  a metre beyond t h e  owner's p r o p e r t y b o u n d a r y a n d l a n d s o n a n e i g h b o u r ' s many q u e s t i o n s o f l e g a l  import  arise.  b e l o n g t o t h e owner o f t h e t r e e ? from h i s n e i g h b o u r ' s permission?  Does t h e a p p l e  l a n d , o r must h e a s k t h e n e i g h b o u r ' s  owe a n y c o m p e n s a t i o n  owner o f t h e t r e e ?  still  I s he f r e e t o r e t r i e v e i t  Does i t b e l o n g t o t h e n e i g h b o u r ?  the neighbour  land,  I f s o , does  t o t h e former  owner, t h e  I f a t r e s p a s s e r comes a n d t a k e s t h e  a p p l e , whom h a s h e / s h e w r o n g e d ?  5  I n t h e a b o v e example, a s m a l l c h a n g e i n c i r c u m s t a n c e s transformed legal  an i r r e l e v a n t  importance  ownership it  himself with  it,  may b e s e t t l e d w i t h o u t  e v e r was a n i s s u e ) .  legal value.  potential  o r b e c a u s e n e i t h e r man  t o make a n i s s u e o f t h e e v e n t  embody a j u r i d i c a l l y  one  i n t o one w i t h  ( p o t e n t i a l b e c a u s e t h e a p p l e may r o t b e f o r e  e i t h e r man c o n c e r n s may w i s h  event  e i t h e r man r e a l i z i n g  Similarly,  irrelevant  and t h e q u e s t i o n o f  a document may  fact  originally  a n d t h e r e f o r e h a v e no  I f a law changes, though, and t h e f a c t  which a f f e c t s  somebody's r i g h t s ,  l e g a l v a l u e b e c a u s e i t i s now l i n k e d  becomes  t h e n t h e document to a juridical  C h a n g i n g c i r c u m s t a n c e s may a l s o a f f e c t 50  that  legal  gains  fact.  records i n a  l i k e manner; a l t h o u g h t h e y a l r e a d y h a v e l e g a l v a l u e , t h e y may  gain additional value for legal  those  f o r which The  first  some c o n t e x t . juridical Without  relevance. in  l a w s , may  facts. one  t h e y were o r i g i n a l l y  The  First,  juridical  facts  recognizes their  c o n t e x t , t h e y would Second,  historical  not have  juridical such as  individual  in a different  the j u r i d i c a l  a  consequences.  conditions,  c i r c u m s t a n c e s o f an  upon  are such only w i t h i n  create or destroy the j u r i d i c a l  apple f a l l i n g  affect  created.  component o f l e g a l v a l u e i s d e p e n d e n t  system t h a t  this  purposes other than  changes  quality  of  event, such  place than usual,  relevance of a fact.  as  may  also  In each case, the  l e g a l v a l u e o f t h e d o c u m e n t s t h a t embody t h o s e f a c t s  will  be  affected. Time c a n a l s o be a f a c t o r component o f l e g a l v a l u e .  that  affects  this  first  F o r example, t h e owner o f a  s t e r e o s y s t e m may  be  h i s / h e r ownership  and t h e d a t e o f p u r c h a s e w i t h t h e  manufacturer  the fact  i n o r d e r t o be c o v e r e d by t h e  f i v e - y e a r warranty copy  required to register  form has  e v i d e n c e o f t h e owner's r i g h t replaced  i f something  expires,  though,  t h e f o r m no  The  fixed  or  Once t h e f i v e y e a r  l o n g e r has t h a t  ended.  The  expired warranty,  51  period  particular  l e g a l v a l u e s i n c e t h e w a r r a n t y b e t w e e n t h e owner and m a n u f a c t u r e r has  owner's  l e g a l v a l u e as i t p r o v i d e s  t o have p a r t s  g o e s wrong.  of  manufacturer's  on t h e p a r t s o f t h e s y s t e m .  of the r e g i s t r a t i o n  new  the  however,  may  have l e g a l v a l u e proof  of the  could  a l s o be  the  fact  another  under a w i l l  juridical  of the date  has  o f money may  for a beneficiary until  of twenty-one.  On  b e n e f i c i a r y has  the  fact.  money h o w e v e r h e / s h e p l e a s e s .  which  be  The  document. held i n trust  he/she reaches  his/her twenty-first birthday, immediate r i g h t  It  expiry.  changed t h e v a l u e o f t h e  example, a sum  i t is  of purchase,  need even a f t e r t h e w a r r a n t y ' s  i s t h a t time As  F o r example,  of expiry, another  used as p r o o f  owner may  point  f o r other purposes.  to possess  the  the  and  spend  the w i l l  establishing  ceases  have l o n g - t e r m over  t o have l e g a l v a l u e  the b e n e f i c i a r y ' s i n t e r e s t  Thus, l e g a l v a l u e  i s not  owner  f o r the purpose i n the t r u s t  always s t a t i c .  legal value, while  money.  Some d o c u m e n t s  o t h e r s may  of  may  gain or lose i t  time. In a sense,  s i n c e one  a l l documents h a v e p o t e n t i a l  c a n n o t p r e d i c t what t i m e  to create legal value Realistically, and  the  A f t e r r e c e i v i n g t h e money  f r o m t h e t r u s t e e , t h e b e n e f i c i a r y becomes i t s a b s o l u t e and  age  potential  h a v e any  legal value  said  or legal  legal value  value may  i s r e q u i r e d i f the appraisal.  concept Hence,  value i s to legal  t o h a v e a c t u a l l e g a l v a l u e when t h e y juridical  fact.  (whether t h e y  r e c o r d s whose v a l u e h a s  52  do  document.  though, a narrower approach t o l e g a l  l i n k e d t o an e x i s t i n g current  or circumstances  in a particular  usefulness for archival  r e c o r d s c a n be  legal  Documents  are non-legal expired)  may  be  are  without documents, considered  t o have p o t e n t i a l indirectly likely legal  to  legal value  related to  exists  are not a v a i l a b l e , that w i l l The f a c t  that  potential  of  the  are  fact.  legal value  may be known t h a t  o r t h e d o c u m e n t s may r e l a t e  documents may g a i n l e g a l  value  the  relate  t o the use  In g e n e r a l ,  b y w h i c h an e v e n t  is  One f a c t  existence of that  tendency,  some  .  is  Other  components legal  Legally,  it  the  is  established  i n any d e g r e e fact  probable. as  to  or  "any m a t t e r o f  fact,  either  one s i d e  the very f a c t  o r on t h e  53  other."  the  to produce i n  . t h a t which demonstrates,  the t r u t h of  evidence  the  existence or nonexistence  or ascertains  means  B l a c k ' s Law  6  or design of which i s the  render  means  the  relevant or circumstantial  evidence  .  juridical  o f documents as  demonstrated.  other  mind a p e r s u a s i o n o f  on t h e  in  e v i d e n c e may be d e f i n e d a s  tends  Dictionary defines  fact;  value.  i n i s s u e may be e i t h e r  a n o t h e r when i t  matter of  issue  documents  legal  effect,  an  value.  o n l y one component o f  disproved.  to  records  by a government c o m m i s s i o n .  is  by w h i c h a f a c t  the  other  a document and a  value  are  Potential  of  T h e r e l a t i o n s h i p between  legal  they  foreseeable  time and p l a c e does not g i v e legal  evidence.  of  the  s o o n be i n v e s t i g a t e d  unforeseen  fact  it  and i f  of that  o n l y when t h e r e  F o r example,  are d i r e c t l y or  fact,  evidence  c i r c u m s t a n c e s t h a t may a f f e c t document.  they  a juridical  be r e q u i r e d a s  value  if  makes  or point 7  of  in  Evidence i s  the some clear, issue, thus  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 two  facts:  the proposition  t o be e s t a b l i s h e d  probandum") a n d t h e e v i d e n t i a r y From t h e e v i d e n t i a r y the  proposition  of t h e dispute, proposition contract case the  fact  may b e i n f e r r e d . any s p e c i f i c  ( t h e "factum  (the "factum  fact, the existence  o r non-existence of  D e p e n d i n g upon t h e n a t u r e  fact.  F o r example, a  8  o f s a l e may b e e i t h e r t h e f a c t a t i s s u e  (an e v i d e n t i a r y  probans").  f a c t may be e i t h e r a  o r an e v i d e n t i a r y  (the proposition), sale  r e l a t i o n s h i p between  in a  court  o r a f a c t which p r o v i d e s evidence o f fact) within  the context o f another  issue. In t h e law o f evidence, t o b e p r o v e n when t h e t r i e r without a jury)  an a l l e g a t i o n o f f a c t i s s a i d of fact  i s convinced of i t s t r u t h .  may b e b a s e d on a s i n g l e e v i d e n t i a r y accumulation o f such f a c t s . not  as evidence.  This  That  sitting  conviction  f a c t o r on an  A single evidentiary  need t o prove a p r o p o s i t i o n  relevant  (jury o r judge  i n o r d e r t o be  f a c t does  considered  i s , the inferences  t h a t may be  drawn f r o m t h e e v i d e n t i a r y  f a c t n e e d n o t be c o n c l u s i v e , b u t  merely worth c o n s i d e r a t i o n  i n t h e i n v e s t i g a t i o n o f some  proposition.  I f many e v i d e n t i a r y  produce t h e degree o f c o n v i c t i o n the  facts i s relevant  facts are required to c a l l e d proof,  and has p r o b a t i v e  E v i d e n c e may t a k e many f o r m s .  value.  then each o f 9  M o s t commonly,  evidence  may b e p r e s e n t e d t h r o u g h t h e t e s t i m o n y o f w i t n e s s e s , documents, o r r e a l e v i d e n c e .  More s p e c i f i c a l l y ,  54  documentary  evidence  i s d e f i n e d as e v i d e n c e  "derived  from  s u p p l i e d by w r i t i n g s o r  c o n v e n t i o n a l symbols  (such as l e t t e r s )  w h i c h i d e a s a r e 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 .  by This  1 1 1 0  c a t e g o r y o f e v i d e n c e t h e r e f o r e i n c l u d e s a l l documents defined In  i n the previous the English  of  evidence.  evidence,  chapter.  legal  documentary e v i d e n c e  system,  the procedures  by  f o r examining  jury  700  and  examining accused  to t r i a l  some t e s t Success  1200  by  t o prove  facts,  b u t by  law  by w i t n e s s e s .  f a c t s a t i s s u e and  was  c e r t a i n t r a n s a c t i o n s had appointed witnesses.  based  The rise  the purposes.  between  A.D.  by  s u b j e c t i n g the In these then  the accuser  Another  1 1  the  to the  f a c t s not  f a c t s a t i s s u e and  o r w a t e r , o r met  trial  of  common i n E n g l a n d  of the d e c l a r a t i o n .  t h i s t i m e was  testimony  the  and  h e l p t o show t h e i r  o r d e a l o r by b a t t l e .  declared the  of f i r e  attributed  i n t h e o r d e a l o r t h e b a t t l e was  the t r u t h  the  will  of the  evidence,  A brief history  o f t e n sought  evidence  the accused  by  r e c e i v e d as e v i d e n c e .  i s usually  o l d forms o f t r i a l A.D.  be  i n England.  evolution of these rules The  are governed  and  T h e s e r u l e s p r e s c r i b e t h e manner o f p r e s e n t i n g  development of these r u l e s trial  a l l forms o f e v i d e n c e ,  in particular,  c l a s s e s o f t h i n g s t h a t cannot  of  as  trials,  underwent  i n combat.  considered to  prove  form  at  T h i s form  of t r i a l  f o c u s e d more  on t h e r e q u i r e m e n t  on  that  to take place before p r e v i o u s l y  In the case of c o n t r o v e r s y , the  of these witnesses,  sworn w i t h a l l due  55  form  oral before  the court, decided the i s s u e .  1 2  n e e d e d , t h o u g h , was  of oath  There  was  c o u l d be  no  the  form  q u e s t i o n o f who  presented:  i t was  The  only rule of f o r the  evidence  witnesses.  could present evidence  accepted that  o r what  o n l y t h o s e who  been p r e s e n t a t t h e t r a n s a c t i o n c o u l d g i v e t e s t i m o n y t h a t t h e y would speak t h e t r u t h  about  what t h e y  had  and  had  witnessed. In form  t h e e l e v e n t h c e n t u r y , t h e Normans i n t r o d u c e d a  of t r i a l  the judge had  i n t o England:  the i n q u i s i t i o n .  p e r s o n a l knowledge o f t h e f a c t s  t h e p e o p l e who  had  inquisition,  i n q u e s t i o n and  Gradually, t r i a l been c a l l e d  i n q u i s i t i o n became t h e j u r o r s  from  by  in a trial.  t h e s e p e o p l e were r e l i e d  seek i n f o r m a t i o n from  other witnesses. i t was  As  information  o n l y knew t h a t w h i c h was point, There  centuries,  f o r E n g l i s h j u r i e s had  of witnesses,  and  i t was  publicly  q u e s t i o n s a r o s e about was  a general b e l i e f  impartial  trial,  the j u r y  i n the first-  become t h e  By  source  the  of  sworn  assumed t h a t stated  possible  facts.  the c h i e f  to  developed  not always  the  i n court.  what t h e j u r y  that,  f o r an  society  have a j u r y w i t h p e r s o n a l knowledge o f t h e seventeenth  and  t h e r e f o r e d i d n o t need  became more complex, however,  s i x t e e n t h and  and  As  who  asked  upon t o have  f a c t s and  testimony  form,  j u r y developed  t h e community  hand knowledge o f t h e  to  In t h i s  summoned a number o f members o f t h e community  q u e s t i o n s o f them.  and  new  should  jury At  this  hear.  i n the i n t e r e s t s of a  s h o u l d be p r o t e c t e d f r o m  fair false  testimony,  hearsay,  and p r e j u d i c i a l  evidence.  Rules o f  e v i d e n c e were t h e r e f o r e d e v i s e d t o b a r e v i d e n c e untrustworthy,  irrelevant,  waste o f t h e c o u r t ' s time. practices  judges,  confusing, p r e j u d i c i a l , The r u l e s a l s o  f o r a t t e s t i n g witnesses,  documentary o r i g i n a l s .  oaths,  These r u l e s ,  early twentieth centuries, legislation  a n d some  developed  (i.e.,  b u t each  they  I n t h e n i n e t e e n t h and  the English  i n England  b a s i s o f t h e laws o f e v i d e n c e  Parliament  enacted o f these  has s i n c e formed t h e  i n most E n g l i s h - s p e a k i n g  jurisdiction,  i n c l u d i n g England  c o n t i n u a l l y m o d i f i e s t h e l a w t o meet c h a n g i n g needs.  by t h e  embodying v a r i o u s f o r m s a n d a l t e r a t i o n s  The law o f e v i d e n c e  countries,  or a  established  became t h e common l a w r u l e s o f e v i d e n c e  were n o t e s t a b l i s h e d b y s t a t u t e ) .  rules.  t h a t was  itself,  social  1 3  Documents were w i d e l y a c c e p t e d evidence  o n l y from  Historically, was t h a t  about  i n common l a w a s  the mid-nineteenth  century.  t h e major o b j e c t i o n t o documentary  evidence  documents c o u l d be f o r g e d o r i n a c c u r a t e , and c o u l d  n o t be s u b j e c t e d t o c r o s s - e x a m i n a t i o n .  There  h a d t o b e some  o t h e r means o f a s s u r i n g t h e c o u r t t h a t t h e d o c u m e n t s i n q u e s t i o n were a c c u r a t e a n d r e l i a b l e , their  trustworthiness.  For this  documents t o be a c c e p t e d records. to  The o f f i c i a l  be an i n d i c a t i o n  some way o f p r o v i n g  reason,  the earliest  i n e v i d e n c e were s e a l e d p u b l i c  n a t u r e o f t h e r e c o r d was c o n s i d e r e d  of i t s r e l i a b i l i t y ,  57  and t h e s e a l  served  as a r e c o g n i z e d form procedures  of authentication.  As  business  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  business records p r o v i s i o n s i n t h e i r Evidence enabled  Acts that  the courts to accept c e r t a i n kinds of records  proof of business t r a n s a c t i o n s , provided t h a t the met  specific  criteria  of a d m i s s i b i l i t y .  d o c u m e n t s o f v a r i o u s k i n d s were u s e d testimony  and  then,  i n many c a s e s ,  Today, t h e r u l e s o f e v i d e n c e document t h a t a p a r t y may behalf.  rules  designed  The of  t o supplement  oral  the a d m i s s i b i l i t y  of  any  of evidence  are  t o p r e s e n t on h i s / h e r  of a d m i s s i b i l i t y  t o ensure  p e r t i n e n t and  law,  and  the judge  f o r any  that the court w i l l  useful  responsibility  f o r determining  o t h e r judgment about t h e  a l l the a d m i s s i b i l i t y  value of the evidence  called  of  law,  "weight."  weight  both  offered  tests.  in establishing  and  of the t r i a l  a c t s i n two  admissibility  different and  58  is a  matter  He  as or  she  evidence.  i s a question of fact  the judge  t h a t which  At t h i s point,  Unlike admissibility,  the j u r y during the course  determine  judge.  o n l y c o n s i d e r s whether a matter  makes no  is  only hear  admissibility  i s d e c i d e d by t h e t r i a l  passes  The  form  t o the case under c o n s i d e r a t i o n .  evidence  alone,  Gradually,  1 4  The  is  records  t h e y came t o s u p p l a n t i t .  govern  wish  as  a proposition  which i s a  i s determined (in a t r i a l  capacities  weight).  1 5  to  by  matter by judge  The  first  relevancy.  criterion  relevant,  issue i n the case.  then i t i s admissible,  of evidence e x i s t  evidence, best  interested  i n the contents  of i t s existence.  i n a document c a n be  requires that the original  and t h e p a r t y  (such  original  may b e u n a v a i l a b l e  the  T h e r u l e i s b a s e d on t h e  of detail  a s a copy) w i l l  record  I f the original  some f o r m o f s e c o n d a r y u s u a l l y be a c c e p t e d .  due t o i t s f o r m  or destroyed.  may n o t h a v e b e e n l o s t  consent of e i t h e r party; circumstances surrounding t o the best  The  document, o r a  there  In t h i s  The  ( f o r example, a n  o r a document w r i t t e n on a w a l l )  i t was l o s t  original  exceptions  document i s t h e  o f f e r i n g t h e document c a n  for i t s unavailability,  that  rules are:  o f a document, r a t h e r t h a n i n i t s  evidence  fact  For  and h e a r s a y .  be p r o d u c e d whenever p o s s i b l e .  unavailable,  electronic  rules  1 6  s o u r c e o f what t h e document c o n t a i n s .  rule therefore  account  of evidence.  i n a copy, and t h a t t h e o r i g i n a l  most r e l i a b l e  is  t o whatever  e v i d e n c e r u l e a p p l i e s when t h e c o u r t i s  assumption t h a t t h e f i n e n e s s  duplicate,  logically  I f the matter i s  t h e t h r e e main e x c l u s i o n a r y  authentication,  form o r t h e f a c t  distorted  subject  f o r p a r t i c u l a r kinds  documentary evidence,  The  i s that of  Any m a t t e r o f f e r e d i n e v i d e n c e must b e  relevant to a material  best  foradmissibility  latter  or destroyed  or to the case,  with the  c a n n o t be any s u s p i c i o u s  the loss or destruction.  Express  e v i d e n c e r u l e a r e 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 t h e q u a l i t y o f modern  59  copying  processes,  the best evidence  was h i s t o r i c a l l y . it  However,  rule  i s not as important  i t s main purpose  i s i n t e n d e d t o s e c u r e t h e most r e l i a b l e  remains  as i t valid:  information  a v a i l a b l e as t o t h e contents o f documents.  17  The r u l e o f a u t h e n t i c a t i o n i s t h e s e c o n d e x c l u s i o n a r y rule.  I t r e q u i r e s t h a t , w h e n e v e r t h e c o n t e n t s o f a document  are offered must  as evidence,  t h e p a r t y o f f e r i n g t h e document  i n t r o d u c e some e v i d e n c e  demonstrate  that  i t i s g e n u i n e "and i s what  18  be.  o u t s i d e t h e document  itself to  i t purports t o  »  Methods o f 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 t h e t y p e  o f document.  Judicial  documents a n d many g o v e r n m e n t r e c o r d s  a r e a u t h e n t i c a t e d by s t a t u t e . a u t h e n t i c a t e d by a q u a l i f i e d creation,  Other officer  from  which i s o r d i n a r i l y The t h i r d  t h a t t h e r e c o r d i s one  k e p t by t h e o f f i c e  exclusionary rule  or the institution.  i s the hearsay  has been d e f i n e d as "a statement  to prove  the truth  otherwise than offered." statement  the office of  b y t h e c u s t o d i a n o f t h e r e c o r d s , o r b y some o t h e r  q u a l i f i e d w i t n e s s who c a n t e s t i f y  Hearsay  r e c o r d s may b e  1 9  o f t h e matter  i n testimony  The elements  offered  rule. i n evidence  a s s e r t e d , b u t made  a t the proceeding  o f hearsay  are:  w h i c h was n o t made u n d e r o a t h ;  i n which i t i s  first, second,  be t e s t e d b y c r o s s - e x a m i n a t i o n ; a n d t h i r d ,  a i t cannot  i t i s o f f e r e d as  e v i d e n c e t o e s t a b l i s h t h e t r u t h o f what i s c o n t a i n e d i n i t . T h u s , a l l documents t h a t truth  of their  are offered  contents are hearsay  as evidence  ofthe  and a r e o n l y a d m i s s i b l e  as e v i d e n c e rule. to and  i fthey f a l l  In the English  the hearsay  rule  w i t h i n an e x c e p t i o n t o t h e h e a r s a y  legal  system,  a r e based  most o f t h e e x c e p t i o n s  on two p r i n c i p l e s :  t h e 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  trustworthiness. the f a c t that  The f i r s t  principle,  necessity,  guarantees o f  necessity,  refers to  o f t e n a document i s t h e o n l y c o n v e n i e n t way t o  put t h e information i n question before the c o u r t . second  principle  allows the court t o accept the  c i r c u m s t a n c e s o f a document's c r e a t i o n substitute  f o rthe traditional  examination . The  The  a s an  adequate  safeguard of cross-  2 0  v a r i o u s exceptions t o the hearsay  documentary e v i d e n c e a r e beyond t h e scope  rule f o r of this  thesis;  however, t h e g e n e r a l c i r c u m s t a n c e s o f c r e a t i o n w h i c h a r e a c c e p t e d a s an i n d i c a t i o n be  considered.  be  c r e a t e d a t , o r near,  of the r e l i a b i l i t y  The r e q u i r e m e n t s  o f records can  s t a t e t h a t t h e r e c o r d s must  t h e time o f t h e event,  h a v i n g p e r s o n a l knowledge o f t h e m a t t e r  b y someone  b e i n g r e c o r d e d , and  who i s u n d e r a d u t y t o make t h e e n t r y o r t h e r e c o r d i n t h e regular course of business. These requirements First, ensures  2 1  ensure  reliability  a r e c o r d made c o n t e m p o r a n e o u s l y a fairly  accurate r e c o l l e c t i o n  i n several  ways.  with t h e event of details  since the  human memory h a s n o t h a d t i m e t o b e a f f e c t e d b y o t h e r events,  interpretations of the original  forgetfulness.  event, o r  Second, p e r s o n a l knowledge r e q u i r e s t h e  61  r e c o r d - c r e a t o r t o have a c t u a l l y p a r t i c i p a t e d i n , o r observed, t h e event.  In some cases,  procedure f o r someone with p e r s o n a l  t h e r e may be a knowledge o f an event t o  r e l a t e t h a t i n f o r m a t i o n t o someone e l s e who i s r e s p o n s i b l e for  creating the written record  hearsay").  In e i t h e r case,  (this i s called  "second-hand  t h e event speaks through an  eyewitness, someone who was present when t h e event occurred.  22  T h i r d , i t has been argued t h a t a duty t o make a r e c o r d i m p l i e s a duty t o make an a c c u r a t e  record.  In a d d i t i o n , an  i n a c c u r a t e r e c o r d means t h a t t h e r e c o r d - c r e a t o r  failed i n  some degree t o f u l f i l h i s / h e r duty and t h e r e f o r e he/she r i s k s censure from h i s / h e r employer.  Usually, a record i s  regarded as being made under a duty when t h e nature o f an o f f i c e or a function " f a i r l y requires o r renders a p p r o p r i a t e " t h e making o f a r e c o r d .  The concept o f duty i s  not l i m i t e d t o t h e narrow meaning o f s t a t u t o r y o r p u b l i c duty, b u t i n c l u d e s a c t s r e q u i r e d by a person's p r o f e s s i o n a l duty.  Preliminary or personal  notes made i n t h e course o f  p e r f o r m i n g a duty, though, a r e n o t a d m i s s i b l e because t h e i r c r e a t o r i s not accountable t o anyone f o r t h e i r accuracy.  On  the o t h e r hand, documents t h a t a r e n e c e s s a r i l y c r e a t e d i n the f u l f i l m e n t o f a duty t h a t produces a d i f f e r e n t may be a d m i s s i b l e .  F o r example, i n order  record  f o r a heart  s p e c i a l i s t t o f u l f i l h i s / h e r duty t o r e p o r t on a p a t i e n t ' s c o n d i t i o n t o t h e r e f e r r i n g p h y s i c i a n , t h e s p e c i a l i s t must  62  take electro-cardiograph These p i c t u r e s are specialist's reliable. The regular casual  e s s e n t i a l to the  d u t y and  therefore  or  isolated  f o r the  inaccuracies  event.  a record  are  Furthermore, to  record.  and  function,  errors  or  prepared to r e l y  those  then the  records.  Non-records  rely  on  courts  therefore  The  their  t e s t i m o n y o f a w i t n e s s who  the  not  opinion signed  accuracy  standards  of  their  employees  (the  should  a l s o be  able  of  to  a result  document be signed  the  saw  of a  regular  document.  63  authenticated  by  document,  execution  to the  are  f o r manuscripts  original  the  t e s t i m o n y as  the  authenticated  circumstances of c r e a t i o n  t e s t i m o n y o f w i t n e s s e s who  p e r s o n who  the  and  the  rules of a d m i s s i b i l i t y  r e q u i r e t h a t the  document, o r by  those  government  m a n u s c r i p t s ) c a n n o t be  i n t h i s manner s i n c e t h e y a r e  controlled.  on  by  to  2 4  (i.e.,  b u s i n e s s a c t i v i t y and  i t i n order  noticed  a  and  is  i f the  the  i s not  record  In short,  in effect  made i n record  requires  a l m o s t c e r t a i n t o be  record-creators),  the  be  s i n c e the  a c c u r a c y t h a t t h e y h a v e i m p o s e d on  not  the  and  i t i s created  organization  business world are records,  Rather,  organization  d e a l i n g with the  on  accurate  course of b u s i n e s s — e n s u r e s that the  required  rely  performance of  must be  fourth requirement—that  function properly.  their  information.  2 3  maintained because the  the  pictures to gain  of  the by  the  handwriting  T h e s e methods f o c u s  of on  witnesses  to the individual  on t h e c i r c u m s t a n c e s  document a s an e v e n t  r a t h e r than  o f t h e 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 o r p r o p e r l y r e c o r d e d i n a office  a r e p r e s u m e d t o be a u t h e n t i c b e c a u s e t h e c o u r t s  accept the r e l i a b i l i t y notary public reliability  o f t h e w i t n e s s t o t h e document ( t h e  or public o f f i c i a l )  o f t h e document.  A u t h e n t i c a t i o n of both someone t o t e s t i f y identify  25  r e c o r d s and m a n u s c r i p t s  t h e h a n d w r i t i n g on t h e document.  there w i l l  testimony.  years  recognized that  be no w i t n e s s e s  Consequently,  d o c u m e n t s " was thirty  r a t h e r than the  (depending  left  However, t h e after a lapse of  to provide  documents o l d e r t h a n t w e n t y o r  upon t h e j u r i s d i c t i o n )  t o be a u t h e n t i c , p r o v i d e d t h a t t h e y come f r o m  age  requirement,  26  a  natural  and t h e i r p l a c e o f c u s t o d y must be one and r e a s o n a b l e t o f i n d  such  F o r 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 transfer  a r e presumed  The documents must b e shown t o meet t h e  where i t w o u l d be n a t u r a l documents.  such  the category of "ancient  established:  place of custody.  requires  as t o t h e document's e x e c u t i o n o r t o  c o u r t s have t r a d i t i o n a l l y time,  public  s c h e d u l e s , and a c c u r a t e r e c o r d s o f  a l l serve t o j u s t i f y  place of custody  t h e a r c h i v e s as a  natural  f o r t h e documents i n i t s c a r e .  I n summary, t h e r u l e s o f a d m i s s i b i l i t y w h i c h a p p l y t o documents a r e : and  hearsay.  relevancy, best evidence, a u t h e n t i c a t i o n ,  While  relevancy ensures  64  t h a t documents  that  are admitted  to court are pertinent to the matters  the r u l e s of best evidence, all  concerned  guarantee to  the  with the r e l i a b i l i t y  of r e l i a b i l i t y  form  a u t h e n t i c a t i o n , and  circumstances  of i t s creation,  i t s age,  Reliability  t h e r e f o r e be  evidence While  required tests  document may  accounting  criticism  detract  determine  reliability  Or,  i s poor  from  may  evidence.  may  may  choose t o l a r g e l y  the c r i t i c i s m  raised  be  a l l the  find  that  the  t h e r e f o r e n o t w o r t h much  of the trustworthiness of a  i t s weight.  F o r example, a evidence  l e d g e r i s what i t p u r p o r t s t o be.  a u t h e n t i c and  have e v i d e n c e t h a t i s unreliable. admitted  The  judge  of an  However,  the  some p a r t o f ledger i s  t o c o u r t , but the  jury  d i s r e g a r d i t s c o n t e n t s on t h e b a s i s o f by t h e o p p o n e n t .  document w h i c h i s a d m i t t e d complete  documentary  f o r a reasonable jury to accept that  the recordkeeping process still  of  of that  that there i s s u f f i c i e n t  opponent i n t h e t r i a l  may  value.  t h e j u r y may  and  in  not d i s c u s s e d  d e c i d e t h a t a document p a s s e s  of the evidence  consideration.  may  the a d m i s s i b i l i t y  for admissibility,  as  i t s custody,  for admissibility  i s s e p a r a t e from t h e weight  t h e j u d g e may  quality  and  c o n s i d e r e d a component o f l e g a l  As m e n t i o n e d e a r l i e r ,  The  the  requirements  as a r e q u i r e m e n t  are  requirements  (best evidence),  a d d i t i o n t o o t h e r , more s p e c i f i c here.  through  issue,  hearsay  o f t h e document.  i s sought  o f t h e document  at  In another  t o c o u r t may  memory o f an e v e n t .  I t may 65  example,  not c o n t a i n a  omit  details  that  the  a  j u r y c o n s i d e r s important therefore it  i t will  t o have s i g n i f i c a n t  In  of the facts  requirements,  t h a t govern  court, the t r i e r  l e g a l v a l u e , t h e document  as evidence  Unlike admissibility o f evidence  of fact  i t reports.  t h e r e a r e no l a w s o r  t h e determination o f weight.  considers the particular  document on i t s own a n d i n t h e c o n t e x t o f t h e o t h e r in  t h e case,  a d d s some common s e n s e ,  document's worth as e v i d e n c e  and t h e n  general  Nevertheless,  c o u r t case o r  i t i s p o s s i b l e t o make some  j u d g m e n t s a b o u t a d o c u m e n t ' s w o r t h a s a n embodiment  of  facts.  of  a document's e v i d e n t i a l  intrinsic  In particular,  archivists quality  can evaluate t h a t p a r t  that derives  from  documentary elements and i s n o t a f f e c t e d by  circumstances.  F o r example, t h e r e may b e a s p e c t s o f t h e  r e l a t i o n s h i p between t h e document-creator nature  case.  i s therefore d i f f i c u l t  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  investigation.  evidence  decides the  i n that individual  Weight a s an element o f l e g a l v a l u e for  Thus,  2 7  t h a t a document meet a l l a d m i s s i b i l i t y  must a l s o b e e f f e c t i v e  rules  a t i s s u e and  n o t b e o f much h e l p t o t h e j u r y .  i s not s u f f i c i e n t  requirements;  t o t h e matter  o f t h e document's c r e a t i o n ,  and t h e f a c t s , t h e  o r t h e completeness o f  t h e d o c u m e n t ' s f o r m s t h a t do n o t a f f e c t  i t s admissibility,  b u t 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 b y e n h a n c i n g r e p r e s e n t a t i o n o f an e v e n t . narrow sense  Consequently,  w e i g h t — i n the  o f a document's o b j e c t i v e e v i d e n t i a l  can be c o n s i d e r e d t h e t h i r d  component o f l e g a l  66  its  quality—  value.  It  has been seen  that, like  l e g a l v a l u e , t h e second  as evidence  archivist.  i n one c a s e , b u t r e j e c t e d  cannot  be c o n t r o l l e d  elements o f a d m i s s i b i l i t y  reliability,  manuscript,  potential of  legal  legal  Rather,  legal  value  any d o c u m e n t — w h e t h e r  or non-legal—can i f i tpossesses  i n the light  record  have a c t u a l o r the three  chapter.  components  By d e f i n i t i o n ,  legal  value as long  Apart  from  this  documents must be a p p r a i s e d f o r l e g a l o f t h e t h r e e components d e f i n e d  a relationship (2)  juridical  facts,  the rules  of admissibility  The f i r s t  forms.  here.  t h e t h r e e components o f l e g a l v a l u e f o r  d o c u m e n t s a r e (1)  t h e weight  of  o f documentary  f a c t t h e y embody e x i s t s .  however,  those  particular  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  To r e v i e w ,  (3)  can only appraise  guarantees  identified i n this  as t h e j u r i d i c a l  value  These  o r p r e d i c t e d by t h e  i s not exclusive t o a  legal value  situation,  i n another,  and t h e c o m p l e t e n e s s o f t h e document's  documentary s p e c i e s .  by  and w e i g h t t h a t a r e independent  the i n t r i n s i c  Legal value  or  o f each case.  Hence, t h e a r c h i v i s t  circumstances:  are affected  I n d e e d , t h e same document may be  d e p e n d i n g upon t h e s p e c i f i c s circumstances  component o f  a n d t h i r d components  changes i n c i r c u m s t a n c e s . admitted  the f i r s t  the a b i l i t y  o f t h e documents t o p a s s  f o r use as l e g a l  o f t h e documents  component  between t h e documents and  (their evidential  i s always necessary  have l e g a l v a l u e o r p o t e n t i a l  e v i d e n c e , and  f o r a document t o  legal value—the 67  quality).  document  must  h a v e some r e l a t i o n  to a juridical  t h e r e f o r e have l e g a l v a l u e . must h a v e b o t h  the f i r s t  fact.  Non-legal  Legal  documents,  and s e c o n d c o m p o n e n t s .  n o n - l e g a l documents do n o t d i r e c t l y a f f e c t duties of others, t h e i r evidence  of j u r i d i c a l  the a d m i s s i b i l i t y court, w i l l will  only legal  facts.  significance  i twill  v a l u e t h a t a document  certain-inadequacies,  i t s legal value  then  When a p p r a i s i n g documents  for that value. missing,  then  the legal value  t h r e e components.  the  legal  preserved  I f there are  t o t h e same j u r i d i c a l and a r e s c h e d u l e d t h e weaker  u n d e r c o n s i d e r a t i o n n e e d n o t be p r e s e r v e d  values).  I f the  have s t r o n g  i s weakened.  t o be r e t a i n e d , t h e n  legal value  i s weak.  I f one o r more o f t h e components i s  have s t r o n g e r l e g a l v a l u e ,  their  legal  i s not worth  o r p o t e n t i a l ) and must b e  o t h e r documents t h a t r e l a t e  or are l i k e l y  third  f o r legal value, the  look f o r these  (whether e x i s t i n g  The  i t contains because of  d o c u m e n t s h a v e a l l t h r e e components, t h e y value  to  and t h e r e f o r e  I f t h e document o f what  should  t o meet  t o determine the degree of  has.  and  i s as  fails  system.  much a t t e n t i o n a s e v i d e n c e  archivist  Because  n o t be a d m i t t e d  n o t be c o n s i d e r e d a s e v i d e n c e ,  n o t h a v e any v a l u e t o t h e l e g a l  however,  the rights  I f a document  requirements,  component—weight—helps  records  ( a l t h o u g h t h e y may  facts,  for retention documents  on t h e b a s i s o f  be p r e s e r v e d  f o r other  T h e s e t h r e e components o f l e g a l v a l u e a r i s e  formation process  o f documents, t h e i r 68  inherent  from  characteristics,  and some e x t e r n a l  be e v a l u a t e d by t h e a r c h i v i s t . discuss the factors these  factors,  The n e x t  a l l o f which can  chapter  will  and c h a r a c t e r i s t i c s w h i c h c o n t r i b u t e  components.  69  to  CHAPTER THREE FACTORS CONTRIBUTING TO  L e g a l v a l u e may  LEGAL VALUE  d e r i v e from c h a r a c t e r i s t i c s  t o a document a s t h e embodiment o f a f a c t , f r o m f a c t o r s e x t e r n a l t o t h e document and process. fact  The  t h a t may  document. value  p l a c e of custody, play a role  as e v i d e n c e .  r e c o r d s , e i t h e r by  r e t e n t i o n a r e more d i r e c t l y of a r c h i v i s t s ,  aware o f what i m p a c t  of the  r e c o r d s and,  Some o f t h e will  i s an  a  the concern  archivists  requiring  of  nevertheless  legal  external factors affecting in this  chapter.  the  legal  Their legal  documentary  inherent guarantees  b e s t be  e v a l u a t e d by  documents b e i n g  of r e l i a b i l i t y .  legislation.  and  This chapter w i l l  70  elements  These elements  analyzing the genesis  appraised.  value  A g r e a t many  any  and  nature  value.  d o c u m e n t s , however, a r e n o t g o v e r n e d by v a l u e d e r i v e s from i n t e r n a l  status  records  t h e s e p r o v i s i o n s h a v e on  reviewed  their  for creation  should  on t h e i r  legal  and  establishing their  in particular,  important  t h e r e f o r e be  external  imposed  W h i l e many o f t h e r e q u i r e m e n t s  managers t h a n be  f o r example,  i n the a u t h e n t i c a t i o n of  c r e a t i o n a n d / o r r e t e n t i o n , o r by  arise  i t s formation  of statutory p r o v i s i o n s or r u l e s  regulations that affect  and  o r i t may  M o s t commonly, t h o u g h , e x t e r n a l l y  i s a result  intrinsic  forms o f outline  can the  what  the a r c h i v i s t should  look f o r , and  e x p l a i n how  elements c o n t r i b u t e t o documentary l e g a l The  existence  of s t a t u t e s and  value.  r e g u l a t i o n s t h a t govern  the c r e a t i o n , forms, maintenance, and i m p l i e s t h a t the l e g a l system has  various  r e t e n t i o n of  records  determined t h a t a  p a r t i c u l a r type o f r e l a t i o n s h i p or t r a n s a c t i o n 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 t o warrant the f o r m a l i t y o f 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  t r a n s a c t i o n i s a j u r i d i c a l f a c t , and the r e c o r d s  t h a t embody  t h a t f a c t are l e g a l r e c o r d s .  regulations  do not a f f e c t s u p p o r t i n g c r e a t i o n and use individual. legal  and  Thus, s t a t u t e s and  n a r r a t i v e documents, whose  are a t the d i s c r e t i o n of the  private  Rather, they are d i r e c t e d e x c l u s i v e l y toward  records. In some cases,  s t a t u t e s and  r e g u l a t i o n s apply  generally  t o a l l b u s i n e s s e s o r t o a k i n d of r e l a t i o n s h i p o r t r a n s a c t i o n . Examples of t h i s type o f requirement are i n the Canada Business C o r p o r a t i o n s Tax  Act  (CBCA), the Income  A c t , the Canada Pension Plan Act, and  Insurance A c t .  1  These a c t s c o n t a i n  incorporated  the Unemployment  records-creation  p r o v i s i o n s t h a t a f f e c t broad c a t e g o r i e s o f such as c o r p o r a t i o n s  found  record-creators,  under the CBCA, persons  c a r r y i n g on b u s i n e s s i n Canada, or employers o f people engaged i n "pensionable" or " i n s u r a b l e " employment. other cases,  r e g u l a t i o n s apply  s p e c i f i c a l l y to  i n d u s t r i e s , such as banks or p u b l i c u t i l i t i e s , 71  In  regulated or t o  specific  records  the  latter  and  3)  type i s the  i n the  under t h a t spirits  of p a r t i c u l a r businesses.  Excise  the  Act,  of these requirements create  organization records  able  legal  c r e a t i n g the  records  them a s  does not  management p r o g r a m w h i c h h a s  relevant  statutes  identify  t h e s e l a w s and  applicability specific  and  to the  records  regulations,  identified,  a r c h i v i s t must p r e s e r v e t h e  The  retention  period.  c r e a t i o n of  legal  regulations status  r a i s e s the  of the  expires.  A  records  Once t h e  records.  event, the records record  by  event  lose that continues  required  law  for  has  the  longer  a juridical  record's  72  and the  retention  period  i n d i c a t e s the  c e a s e s t o be  t o have l e g a l v a l u e the  records  o f what h a p p e n s t o  component o f t h e i r  d e p e n d s l a r g e l y on  the  have been  i s i n t e r e s t e d i n the  i s no  and  statutes  specified retention period  in  the  records  records  when t h e i r  law  their  2  question  of time t h a t the  should  Once t h i s p r o c e s s  and  specified  relevant  the  archivist  scope,  been completed, the  the  the  existing  located  particular organization, affected.  If  h a v e an  then the  All  the  such.  already  determine t h e i r  which are  the  from d i s t i l l e r s . and  2  licensed  pertaining to  records,  to recognize  of  (sections  which r e q u i r e pharmacists  pharmacists receive  a r c h i v i s t must be  example  Pharmacists Regulations  a c t t o keep s p e c i f i e d r e c o r d s  that  An  length  events that  appear  interested in fact,  and  legal value. f o r other  the  its Whether  purposes  internal characteristics.  a  Archivists appraise and  should  records  should  b e aware o f t h i s with l e g a l l y  evaluate  beyond t h e l e g a l l y elements t h a t  contribute  may h a v e o t h e r , be  values.  The r e c o r d s  with  statutes  during  which an o r g a n i z a t i o n  prescribe  status records  not  that  during  do t h e r e c o r d s  warrant t h e i r  retention  period  fall legal  which a government  Statutes  o f l i m i t a t i o n s do What i s t h e l e g a l  i n t o t h e s e two a r e a s ? records  since they  f a c t s i n e i t h e r case, but t h e i r required.  a time  occurs  o r an i n d i v i d u a l c a n sue o r be  retention period.  are unquestionably  legally  degree:  a records  b u t do n o t  A s i m i l a r problem  o r a time p e r i o d  o f the records  to j u r i d i c a l  thereby  a r i s e when s t a t u t e s a n d  retention period.  agency can i n v e s t i g a t e o r a u d i t . not  i s their  expires.  o f l i m i t a t i o n s , which p r e s c r i b e  s u e d on a m a t t e r ,  i t may  when t h e l e g a l  require the retention of records  state a specific  o r they  hand,  appraisal,  the records  D i f f i c u l t i e s with l e g i s l a t i o n regulations  have  These f a c t o r s c a n u s u a l l y be  t h e need t o r e a p p r a i s e  retention period  may  of the records  determined a t t h e time o f t h e o r i g i n a l avoiding  periods,  preservation  On t h e o t h e r  substantial value  imposed l e g a l v a l u e .  retention  f o rpossible  period.  they  t o p o t e n t i a l legal value,  non-legal  that the only  required  the records required  s i t u a t i o n when  The q u e s t i o n  73  pertain  retention i s  t h e n becomes one o f  have s u f f i c i e n t f o rthat  The  value?  legal value t o  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 involve a risk-benefit  assessment.  associated with  r e t e n t i o n or d i s p o s a l of the  either  That  i s , the  will  risks records  must be w e i g h e d a g a i n s t t h e c o s t s o f m a i n t a i n i n g t h e o r the advantage of having if  r e c o r d s are not  federal may  be  them, r e s p e c t i v e l y .  a v a i l a b l e when t h e y  p e n a l t i e s , and  rights,  or  i t may  n o t be  court.  On  t h e o t h e r hand, i t may  organization to provide  long-term  are u n l i k e l y  t o be  little  f o r the o r g a n i z a t i o n .  value  archivist  expensive  needed t o s u p p o r t  needs t o c o n s u l t w i t h  what t h e c h a n c e s o f l i t i g a t i o n have t h e burden o f p r o o f .  3  The  associated with  support their  consider  useful to  survey  legal  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  risks  law  suits  records r e t e n t i o n or d e s t r u c t i o n .  or administrative proceedings  situation  to  or  or  R e c o r d s whose d e s t r u c t i o n w o u l d p u t risk  t h a t have  t o d e t e r m i n e a t what p o i n t i n a  Records t h a t are r e l e v a n t t o pending judicial  that  which p a r t y would  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 o f t h e problems a r i s e .  an  r e c o r d s manager  I t c o u l d a l s o be  t h e company's r e c e n t h i s t o r y  and  counsel  a r e and  for  in  for records  a case  legal  of  i t s claims  storage  a  the o r g a n i z a t i o n  other loss  able t o support be  example,  a r e r e q u i r e d by  agency o r a r e needed i n l i t i g a t i o n , subject to fines,  For  records  i n terms o f f i n e s ,  Conversely,  74  foreseeable  must be company  preserved. in a  high-  p e n a l t i e s , or a b i l i t y  t h e company's c l a i m s s h o u l d  legal value.  the  or  4  a l s o be  records with  preserved low-risk  to  for  destruction, do  b u t moderate t o h i g h - c o s t  n o t have s u f f i c i e n t  preservation Ultimately,  beyond t h e i r p e r i o d each o r g a n i z a t i o n  for handling statutes the  indefinite  this  or unspecified  strategy  establish period  strong  o f time, u n s p e c i f i e d  should  o f t h e whole  i n a record  factors with  involved  have t h e  clearly  fora definite  retention periods  and s t a t u t e s as  legal  T h e y do n o t i n d i c a t e t h e d e g r e e o f l e g a l  value  that those records involves  be  organization.  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 records  records.  and  The b u s i n e s s managers o r  r e t e n t i o n requirements  legal value  strategy  retention periods  since the decisions  t o a f f e c t the welfare  Thus, w h i l e s p e c i f i c  the costs of  must d e v e l o p i t s own  s e n i o r management o f t h e o r g a n i z a t i o n  potential  and  to justify  probably  o f operational use.  of limitations periods.  i n developing  of  legal value  maintenance,  have.  consideration and s h o u l d  Determining t h e degree o f value  o f a number o f c o m p l e x  include  external  consultation with legal  counsel  management.  I n a d d i t i o n t o r e q u i r i n g t h e c r e a t i o n and r e t e n t i o n o f certain  records,  of records  l e g i s l a t i o n may a l s o a f f e c t t h e l e g a l  by d e f i n i n g t h e i r  mentioned i n t h e previous authenticate exceptions  status  chapter,  t o the best  As  statutory provisions  c e r t a i n classes of records evidence r u l e .  of statutory p r o v i s i o n provides records'  as e v i d e n c e .  or provide In e f f e c t ,  an e x t e r n a l  may  express this  type  guarantee o f the  a d m i s s i b i l i t y ( t h e s e c o n d component o f l e g a l  75  value  value).  Laws may a l s o e x c l u d e  admissible  evidence,  thereby  component o f l e g a l v a l u e . bestows o r d e n i e s  5  c e r t a i n documents  from  d e p r i v i n g them o f t h e s e c o n d Regardless  o f whether t h e law  t h e s e c o n d component o f v a l u e , t h e  consequence i s t h a t t h e s t a t u s o f t h e r e c o r d i s determined by  a factor  outside the i n t r i n s i c  characteristics  of the  record.  Once a g a i n ,  relevant  l e g i s l a t i o n when a p p r a i s i n g g o v e r n m e n t o r b u s i n e s s  records  t h e a r c h i v i s t must b e aware o f a l l  i n order t o accurately i d e n t i f y  l e g a l v a l u e t h a t t h e r e c o r d s have. retention affect  requirements,  t h e components o f  Unlike  specific  though, s t a t u t o r y p r o v i s i o n s t h a t  t h e s e c o n d component o f l e g a l v a l u e do n o t o b l i g e t h e  archivist  t o preserve  I n some c a s e s , external  factors  appraised. certain  a particular  s e t of records.  t h e a r c h i v i s t must b e aware o f how  impact  records other than  F o r example, t h e a d m i s s i b i l i t y  those  being  requirement  r e c o r d s come f r o m a " n a t u r a l p l a c e o f c u s t o d y "  f o r some k n o w l e d g e o f t h e c u s t o d i a l  history  that calls  of the records.  I f t h e r e a r e r e c o r d s a v a i l a b l e t h a t document t h e t r a n s f e r o f a p a r t i c u l a r body o f r e c o r d s those  r e c o r d s s h o u l d be p r e s e r v e d  of the o r i g i n a l  body o f r e c o r d s .  records,  such  be v i t a l  to establishing  for,  f r o m one o f f i c e  as deeds o f g i f t  t o support  factor  such  another,  the legal  Furthermore,  value  archivists'  and a c c e s s i o n r e g i s t e r s , c a n  ownership o f , and r e s p o n s i b i l i t y  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  external  to  institution.  as p l a c e o f custody  76  T h u s , an  may r e q u i r e t h e  preservation has  of supplementary information,  a responsibility  order  to avoid  legal value  the  an  identify  aware o f s u c h r e q u i r e m e n t s  f a c t o r s can  legal value.  play  Legal  legal  and  statutes of  records  organization's  affect  the  whose v a l u e  The  the  and  requirements Unspecified  determined  legal  issues related to  provisions  can  a l s o be  degree of  which  a legal  value.  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 b e e n l o c a t e d and  considered  Knowledge o f e x t e r n a l  archivist  in identifying  factors  legal value  i n i d e n t i f y i n g ways t o s u p p o r t  that  legal  during will in value  necessary. This  archival on  the  the  important r o l e i n  retention  Statutory  of records  l e g i s l a t i o n has  direct  records if  has  a p p r a i s a l process.  help  an  i s best  f a c t o r i n e v a l u a t i n g the  archivist  relevant  business.  admissibility  significant  in  limitations periods  through a r i s k - b e n e f i t assessment of the  impair  obligation for record preservation.  retention periods  archivist  documents.  external  a p p r a i s a l of  create  the  actions or decisions that could  of the  Overall,  t o be  and  aspect  of legal value  i s o f t e n mentioned  appraisal literature.  For  example,  in  i n h i s manual  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 p a r a g r a p h  statutory provisions that Document. a r c h i v i s t s s t r e s s the periods.  Carol  affect  records.  C o u t u r e and  importance of being American a r c h i v i s t  aware o f  of  a  Jean-Yves Rousseau legal  Francis Blouin  77  In L i f e  about  retention  discusses  records-creation  and r e t e n t i o n r e g u l a t i o n s  appraising  business records,  electronic  records  consideration. archivists of t h e i r  only  6  lists  legal  requirements as an a p p r a i s a l  toi t .  t h e importance o f e x t e r n a l  a small  proportion  responsibility  genesis  a r c h i v i s t s are  A r c h i v i s t s must h a v e o t h e r i f they are t o f u l f i l  to society.  Fortunately,  characteristics that  reliability  f a c t o r s , they a f f e c t  o f t h e documents t h a t  upon t o a p p r a i s e .  internal  that  a r e c o n 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  r e s p o n s i b i l i t i e s with respect  intrinsic  on  ACCIS r e p o r t on  I t w o u l d seem f r o m t h e s e e x a m p l e s  of determining l e g a l value  in  and t h e r e c e n t  Despite  called  in hisarticle  sources of r e l i a b i l i t y  to their  I d e n t i f y i n g these  requires  a study o f the  and forms o f t h e d o c u m e n t s — a d i p l o m a t i c  conjunction  their  d o c u m e n t s h a v e many  can contribute  and p o t e n t i a l l e g a l v a l u e .  means  w i t h a knowledge o f t h e l e g a l  analysis—  criteria for  admissibility. Studying the genesis, can  o r formation  r e v e a l much a b o u t t h e r e l i a b i l i t y  recorded  transactions,  body o f w r i t t e n formal  steps  or unwritten  are created  records  rules that  As  by a p r o c e d u r e — a  constitute the  Procedures e s t a b l i s h a r o u t i n e  performance o f a task,  of  of the records.  t o be u n d e r t a k e n i n c a r r y i n g o u t an  or transaction.  decisions  records  process,  operation f o r the  t h e r e b y removing t h e need f o r  t o be made a b o u t t h e s t e p s  involved,  sequence i n which t h e y a r e t o be p e r f o r m e d . 78  or the  F o r example,  many o r g a n i z a t i o n s e s t a b l i s h p r o c e d u r e s t o g o v e r n t h e c r e a t i o n and forms o f t h e i r identify  the information  different the  types  records.  These  procedures  t h a t t h e o r g a n i z a t i o n needs f o r  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  appearance and arrangement o f t h e r e c o r d e d  effect,  standard  data.  p r o c e d u r e s a r e a method f o r c o n t r o l l i n g  b o t h t h e c o n s t r u c t i o n o f a r e c o r d a n d t h e one who it.  When t h e r e  choices  the  i n the record.  i s no n e e d f o r t h e w r i t e r t o The w r i t e r i s f r e e t o o b s e r v e  event and t h e n l e t i t speak through t h e forms o f t h e  record.  Likewise,  familiar, itself,  without  discussed clearly  when t h e f o r m s o f t h e r e c o r d a r e  the record-user  was r e c o r d e d  trying  can l e t t h e event speak f o r  t o i n t e r p r e t t h e manner i n w h i c h i t  o r otherwise  participating  through a record,  original  event.  The  i n the record.  i n C h a p t e r One, when a n e v e n t i s a l l o w e d the record  isa  embodiment o f i t a n d c a n b e u s e d w i t h o u t  formation  process  compilation,  of taxes,  8  of records  compile t h e record.  This process  validation,  and d e l i v e r y .  record,  t o speak  reference  to the  7  t e n d s t o b e t h e same. iussio,  As  reliable  created  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 corporate  the  constructs  i s no s c o p e f o r t h e r e c o r d - w r i t e r t o make  or decisions, there  participate  In  9  usually includes the  registration,  The i u s s i o  nature  calculation  i s the order  The memory o f t h i s  given t o  o r d e r may a p p e a r i n  a s c a n b e s e e n i n many c o l o n i a l  proclamations  that  contain  iussio  i s r e g u l a r l y o m i t t e d when t h e r e c o r d  subscribed implies  by t h e a u t h o r o f t h e a c t i o n ,  In other  cases,  the order  that  functions.  However t h e i u s s i o  since the  different  types of records  may  is  since they w i l l  probably  This  The r e c o r d  may  fall  outside  process  step  u s e d , t h e v a l i d a t i o n may  D e p e n d i n g on t h e  confirm  the  document; o r i t may  solemnity  required  before  the record  or i t  and f o r m s o f  on t h e document.  c e r t a i n t y p e s o f documents  n e e d t o be r e g i s t e r e d , o r e n t e r e d a register or registry).  the accuracy  o f an a c t o r w i l l ;  guarantee the r e g u l a r i t y of the formation  I n some o r g a n i z a t i o n s ,  the act of  them on some  may  confer  o f any  i s the  involves  t h e n be v a l i d a t e d .  o f t h e document a s t h e embodiment  by t h e  creation.  i n the formation  of the record.  Records  a s t h o s e whose c r e a t i o n  t h e n e c e s s a r y d a t a and r e c o r d i n g  system being  i t i s useful  or authorized  n o t be a s r e l i a b l e  The n e x t s t e p  gathering  and i t s  an o r g a n i z a t i o n .  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  compilation  i n the  i s expressed,  within  organization required,  record  t o know t h e s o u r c e o f a u t h o r i t y f o r  whose c r e a t i o n i s n o t r e q u i r e d  as  signature  t o issue a type of  establish a particular office  the a r c h i v i s t  medium.  The  i s personally  be e x p r e s s e d g e n e r i c a l l y a n d p e r m a n e n t l y  regulations  for  Command."  t h a t t h e a u t h o r commanded t h e c r e a t i o n o f t h e  record. may  t h e p h r a s e "By H i s E x c e l l e n c y ' s  in a list  or record  may (known  Sometimes, a t a x o r f e e may will  80  be i s s u e d  be  t o the addressee  (the r e c i p i e n t the  o f t h e a c t i o n o r t h e document).  government w i l l  appropriate The  not issue a d r i v e r ' s l i c e n s e u n t i l the  f e e has been  final  step  paid.  i n the process  record t o the addressee. not  effective.  That i s , they  essential  records  information  Indeed, by  information;  The t y p e  d e l i v e r y i s an  of record  of d e l i v e r y i s necessary.  t o the addressee, while  a p l a c e where t h e y  will  others  will  Some  records  must be f i l e d i n  be a c c e s s i b l e t o t h o s e  who n e e d t h e  i n the record.  In cases  where t h e f i n a l  a u t h o r i t y ' s own d i r e c t  other  creator.  part of the record.  must be s e n t  the  cannot produce t h e  a r e conveyed  d e t e r m i n e what t y p e  i s the delivery of the  Records t h a t a r e not d e l i v e r e d a r e  consequences d e s i r e d by t h e i r definition,  F o r example,  document i s n o t t h e r e s u l t o f  initiative,  physical or juridical  but i s s o l i c i t e d  persons, the i u s s i o w i l l  by  be  p r e c e d e d b y a p r o c e d u r e t h a t may p r o d u c e a v a r i e t y o f interlocutory  documents.  This procedure w i l l  i n t r o d u c t o r y phase, which i s t h e s o l i c i t a t i o n This s o l i c i t a t i o n proposal  may be a p e t i t i o n ,  f o r a new h o u s i n g  of request.  It will  i n c l u d e an f o r action.  a c l a i m f o r damage, a  d e v e l o p m e n t , o r some o t h e r  be f o l l o w e d b y a n i n q u i r y p h a s e t h a t i s  c o n s t i t u t e d by t h e c o l l e c t i o n  of information  request.  are then gathered  Opinions  c o n s u l t a t i v e phase. the  information,  type  and a d v i c e  related to the during the  In t h e d e l i b e r a t i v e phase t h a t  opinions,  and recommendations a r e  81  follows,  c o n s i d e r e d and taken.  a d e c i s i o n i s made a b o u t t h e a c t i o n t o  Sometimes, t h e d e l i b e r a t i v e p h a s e i s f o l l o w e d by  c o n t r o l l i n g phase, the proper Once t h e  i n w h i c h some p e r s o n  procedures  have been c a r r i e d  appropriate approvals  p u b l i c a t i o n phase b e g i n s . of the  final  The  and  are  have been g i v e n ,  the  out  T h i s phase i n v o l v e s t h e  document, a s d e s c r i b e d  a b o v e s t e p s c a n be  seen i n a procedure  procedure  i n v o l v e s a number o f r e c o r d s , s u c h  drought hardship  assistance to Prairie  rejection  c o n s u l t a t i o n ) , an  of the request  (deliberation),  as  This  1 0  an  a calculation  market p r i c e s t o a s s e s s  ( i n q u i r y and  execution  for  farmers.  for assistance (solicitation),  p e r i o d s and  correct.  above.  financial  application  the  extent  official and  i s a case  file  all  of the  the  records are missing,  the  f a c t s t h a t t h e m i s s i n g r e c o r d ( s ) may case,  the e n t i r e event  can  I f any  o n l y guess  formation  corporate nature.  I t i s important  i d e n t i f y which elements of the 82  and  formation  at In  process types  p r i v a t e persons  f o r the  of  itself.  p r o v i d e s a framework f o r t h e a n a l y s i s o f d i f f e r e n t p u b l i c persons  that  have embodied.  cannot speak f o r  r e c o r d s c r e a t e d by  The  evidence  were p e r f o r m e d .  record-user  T h i s c o n c e p t u a l i z a t i o n of the  or  w h i c h must c o n t a i n  o f t h e above documents i n o r d e r t o p r o v i d e  the  of  a n o t i c e of  all  steps of the procedure  of  approval  t h i s d e c i s i o n sent to the a p p l i c a n t ( p u b l i c a t i o n ) . record of t h i s procedure  a  o r body c h e c k s t h a t  providing  this  be  archivist  process  of  of a  to  apply  to  a  specific  t y p e o f r e c o r d s , and whether t h e p r o c e s s i s  governed  by f o r m a l r u l e s .  archivist  This information can help the  assess the r e l i a b i l i t y  t h a t do n o t a r i s e inherently guarantee  from  t h a n t h o s e t h a t do.  executed.  i s no  i s r e l e v a n t t o a type of record, nor i s that necessary procedures  will  On t h e o t h e r hand, when r e c o r d s a r i s e  e s t a b l i s h e d procedures, reliability records.  the archivist  of the procedures,  Procedures  c o n t r o l they  needed t o a c c o m p l i s h accountability  f o r t h e degree  of the of  for their  and c a p t u r i n g t h e elements  an a c t ; and f o r t h e t y p e s o f  and s e c u r i t y t h e y 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. whether t h e procedures records.  from  and t h e r e l i a b i l i t y  c a n be a s s e s s e d  i n identifying  be  can evaluate both the  impose o v e r r e c o r d s c r e a t i o n ;  effectiveness  T h i s assessment w i l l  are l i k e l y  t o produce  indicate  reliable  I f s o , g e n e r a l i z a t i o n s c a n be made f o r t h e t y p e o f  record that  i s governed  by t h e p r o c e d u r e s  "records of procedure").  individual  Then,  r e c o r d s c a n be a s s e s s e d  t o the procedure.  examine an i n d i v i d u a l been f o l l o w e d . appraise  There  t h a t t h e r e c o r d - c r e a t o r knows what t y p e o f  t h e r e any g u a r a n t e e  relation  Records  a standard formation process are  less reliable  formation process  called  o f t h e documents.  That  (these records are  i f necessary,  fortheir  reliability in  i s , the a r c h i v i s t can  r e c o r d t o see i f t h e procedures had  U s u a l l y , however, t h e a r c h i v i s t  individual  o  w i l l not  records, but types o f records. 83  Due records  t o t h e e l e m e n t s o f c o n t r o l imposed by a p r o c e d u r e , o f procedure u s u a l l y f a l l  documents e x c e p t i o n  t o the hearsay r u l e ,  the  presumed a c c u r a c y  the  actual r e l i a b i l i t y  created  procedures should  i n the ordinary  records  k e p t by a computer. computers  o f any form,  instead of clerks,  though.  system  records  organization. operating  As l o n g as r e c o r d s  procedure,  dependability,  they  Procedures made o r  uses  i n the routine o f business  a r e used and r e l i e d 1 2  records  then t h e computers a r e  a n a l o g o u s manner t o a c l e r k ' s d u t y t o c r e a t e those  These  1 1  including records  I f a recordkeeping  programmed t o make r e c o r d s  be p e r f o r m e d t o  i s c o n t r o l l e d and which  need n o t 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 , t o records  records  c a n u s e them t o i d e n t i f y t h e  whose c r e a t i o n p r o c e s s  apply  were  I f such manuals and  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 .  can  course o f  b e documented i n an o r g a n i z a t i o n ' s  the archivist  such  Ideally,  management m a n u a l , a n d r e g u l a r a u d i t s s h o u l d  audits exist,  that  that the records  f o r use i n l i t i g a t i o n .  ensure t h a t procedures a r e followed.  than  entrant.  f o r r e c o r d c r e a t i o n imply  and decrease t h e p o s s i b i l i t y  especially  system. r a t h e r  of the individual  a r e r e g u l a r l y prepared  business,  w h i c h i s b a s e d on  of a recordkeeping  E s t a b l i s h e d procedures records  within the business  o u t o f normal  have an i n h e r e n t  r e g a r d l e s s o f medium.  84  r e c o r d s ) , and  upon b y t h e arise  ( i n an  quality of  In  some c a s e s ,  derived  from the  the  reliability  reliability  than from t h a t of the  o f a document may  of the  record-creator  recordkeeping  system.  though, p r o c e d u r e s have a r o l e t o p l a y . common ways t o  foster reliability  by  the  restricting  "privilege"  record used  created  for other  different will  considered  by  The  and  other  (2)  tasks  i n t h i s manner and  p r o f e s s i o n a l s has  a long h i s t o r y .  was  records.  1 4  by  siqnUm t o them. s c r i b e s was  The  be  Information  In a n c i e n t  Because the  about records  a reliable  Rome,  number o f  such for  the  r e g u l a r l y checked.  It  the  a p p l i e s t o d a y when  85  an  standards  s c r i b e would produce  same p r i n c i p l e  the  name and  i m p o s e d , and  n o t a r i e s c o u l d be  to  identified  limited,, uniform  o f documents c o u l d be  assumed t h a t  records  i s to  record-writing  appending t h e i r  of the  be  record-writers.  documents t h e y c r e a t e d  credentials  a  a  in identifying  n o t a r i e s , who  production  a  e i t h e r method  i d e n t i f i e s who  d o c u m e n t s were w r i t t e n by  professional  making  enumerates t h e  guide a r c h i v i s t s  (1)  ( f o r example,  t h a t use  a professional record-creator.  reliable  are  requirements could  Organizations  1 3  p r a c t i c e of r e s t r i c t i n g  individual  by  two  to  p u r p o s e s s u c h as m a k i n g a r e p o r t t o  t h e s e p r o c e d u r e s can created  with  have a p r o c e d u r e t h a t  created  example,  of r e c o r d s - c r e a t i o n  t o meet b u r e a u c r a t i c  audience),  probably  t o be  concurrent  here,  i n record-creators  p r o f e s s i o n a l s or semi-professionals, number o f t a s k s  rather  Even  For  be  reliable  administrators kinds  choose t o r e s t r i c t  of records  t o p e r s o n s who  the  can  c r e a t i o n of c e r t a i n  be  expected to  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 or commitments.  permitted  Similarly,  businesses  accounting  functions to a separate  o f t e n a s s i g n bookkeeping  of evidence considers  record-creators accurate their will  be  "qualification of the  and  created  by  t h e i r t y p e o r by  he/she can  by  the  signature  and  the  the  so t h a t t h e  of users.  increases  will  by  be  and  reliable  f o r c o n t r o l l i n g the dependability  the  official  to  a  can  those  only  records then  them.  records  bureaucratic  s i z e of the the  title  s t a t u s as  i s meant t o s e r v e  the  a  reliability  of t h e i r  p r o f e s s i o n a l and  same r e c o r d  Since  by  of signature,  the w r i t e r cannot t a i l o r  p a r t i c u l a r group.  society for  followed  identify  qualification  I n t h i s way,  be  knows w h i c h r e c o r d s can  The  professionals  indicating his/her  archivist  record-writer's  coincide,  created  p r o f e s s i o n a l s , and  Another strategy  make t h e  department  t o be  a t t r i b u t e a degree of r e l i a b i l i t y  record-writers  and  accountable to  records  thereby  I f the  be  variety  public officials  of s i g n a t u r e " which s t a t e s the  subscriber,  professional.  records.  because they have a p u b l i c duty t o  Usually,  signed,  accounting  and  duties of a secretary.  i n t h e i r work; t h e y a r e  actions.  doctors  t o make e n t r i e s i n m e d i c a l  r a t h e r t h a n a d d i n g them t o t h e law  public  I n h o s p i t a l s , f o r example, o n l y  nurses are  be  of i s to tasks  a  audience  record  to  any  r e c o r d must meet a l l n e e d s ,  86  the  writer the  i s more l i k e l y  record,  his/her  own  uses the  to l e t the  r a t h e r t h a n t r y i n g t o use interests.  For  1 5  same r e p o r t t o  the  f o r the  physician's  correct file.  files.  A  fact  n e e d s , and  c a n n o t be  group.  trustworthiness  information i s an  are  inform  duty to  in  The  likely  t o be  reliable  and  archivist  help  by  archivist the  best  in identifying  evidence rule.  v e r s i o n of the it  as  being  It  i s not  the  reason(s).  first  v e r s i o n which expresses the It  i s u s u a l l y signed  the  p a r t i e s serve  their will(s). with  the  original  accepted  by  any  v e r s i o n upon w h i c h t h e y a g r e e d t o  n e c e s s a r i l y the  by  diplomatic  1 6  t h a t the  c o n c e p t o f an definition,  87  also aid required  is  the  parties  to  operate. but  is  the  agreement o f t h e p a r t i e s .  a l l parties.  to confirm  This  version created,  final  benefits  d o c u m e n t s , as  L e g a l l y , the  document t h a t was  of  i n d i c a t e which  f o r what  original  the  an  Knowledge o f r e c o r d s - c r e a t i o n p r o c e d u r e s can the  the  users  guarantee  records-creation procedures of  t o meet  the  available to  inherent  the  produce  accurate  group of  o r g a n i z a t i o n because such p r o c e d u r e s can records  express  standards f o r  h i d d e n f r o m one  i n t h i s procedure.  from knowing the  duty to the  to  through  specialist  c o m p l e t e and  bureaucratic  Thus, t h e r e  record  r e c o r d must be  must be  without a l s o a f f e c t i n g the other  both the  f i n d i n g s and  The  f o r m t o meet t h e  the  example, a h e a r t  fulfil  r e f e r r i n g p h y s i c i a n o f any a record  event speak c l e a r l y  The  signatures  record  original  of  corresponds fits  which i d e n t i f i e s  closely three  to  n e c e s s a r y e l e m e n t s f o r an o r i g i n a l : completeness,  and e n f o r c e a b i l i t y .  document t o be  primitiveness, The o r i g i n a l  issued i n a particular  form, which  c o m p l e t e and a b l e t o p r o d u c e t h e consequences document's a u t h o r . the  document—is  signature is  1 7  A draft  of a l e t t e r — a  n o t an o r i g i n a l  and t h e r e f o r e c a n n o t  not enforceable.  and t h e r e f o r e may  because  first  i s also  d e s i r e d by  the  working form o f  i t lacks a  p r o d u c e any c o n s e q u e n c e s ; i t  On t h e o t h e r  v e r s i o n o f t h e l e t t e r may  i s the  hand, a c o p y o f t h e  c o n t a i n a copy o f t h e  be v i e w e d a s c o m p l e t e a n d  final  signature  enforceable.  However, t h e c o p y l a c k s t h e 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 n o t have a l l t h r e e  elements, i t i s not  an  original. T h e r e a r e c a s e s where two document may are  exist.  o r more o r i g i n a l s  I n c o n t r a c t s and t r e a t i e s where  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  With photographs, both the negative be p r o d u c e d f r o m t h e n e g a t i v e The n e g a t i v e  i s the f i r s t  p h o t o g r a p h e r ' s need scene o r event. is  o f t h e same  may  i t s own  and t h e f i r s t  be c o n s i d e r e d  t o be c r e a t e d ,  f o r an a c c u r a t e  different  I f t h e two  documents,  b o t h an o r i g i n a l  print  to  a n d may  meet t h e  r e p r e s e n t a t i o n o f some  I f t h e i n t e n t o f t h e photographer, though,  t h i s purpose; the p r i n t  enforceable.  original.  originals.  t o have p i c t u r e s t o d i s p l a y , t h e n t h e n e g a t i v e  satisfy  there  cannot  i s the version that i s  forms a r e c o n s i d e r e d  t o be  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  negative  and an o r i g i n a l 88  print,  each  being  the  first  complete the  t o be  issued  i n that  i n that  form.  to  be  Which form i s e n f o r c e a b l e depends  photographer's purposes.  advanced  f o r m , and t h e f i r s t  A s i m i l a r argument c a n  f o r machine-readable records.  I f an  be  electronic  message i s meant t o be a c c e s s e d by c o m p u t e r ,  o r i f i t can  s e n t by e l e c t r o n i c m a i l ,  record i s  complete  and e n f o r c e a b l e .  d i r e c t e d t o someone who then a p r i n t - o u t Thus,  then the e l e c t r o n i c  does not have a c c e s s t o a  both the e l e c t r o n i c  record  computer, version.  and t h e p r i n t - o u t may  Identifying  originals  be  involves  a n a l y s i s o f t h e f o r m s and p u r p o s e s o f t h e document, and vary  from case t o case.  p r o c e d u r e s may  Established  a c t e d upon, t h e r e b y i d e n t i f y i n g t h e D r a f t s o f documents f a l l  i s the record to  "original".  set  transaction; which  flesh  or a c t i v i t i e s  calculations.  i n general,  carried  out to  each formal step of  A p r o c e d u r e i s a method o f c o n d u c t i n g a a process c o n s i s t s of the c r e a t i v e o u t t h e s k e l e t o n o f t h e method.  p r o c e s s a r e p r e p a r a t o r y and to  1 8  from a p r o c e d u r e as b e i n g a  o n e s e l f t o work and t o go on t o w a r d s  a procedure.  be  into the category of  "documents o f p r o c e s s " , a s do r o u g h n o t e s and A process i s distinguished  may  records-creation  i n d i c a t e which v e r s i o n  s e r i e s of motions,  be  I f , however, t h e message i s  o f t h e message i s t h e e n f o r c e a b l e  considered originals.  on  incomplete.  s e t the stage f o r the performance  Documents o f are necessary  of a formal procedural  s t e p , b u t a r e n o t t h e m s e l v e s meant t o be 89  They  activities  communicated.  19  Hence, d o c u m e n t s o f p r o c e s s (records), any  and  their  standards.  atypical and  and  reliability  the  individual;  controlled of  i n general, tends  t h a t procedures  provide.  c a n n o t be  formation  l o o k beyond t h e  i n f o r m a t i o n about both documents.  The  evaluate t h e i r concept  reliability  completeness.  and  (2)  document e m b o d i e s .  and  a l s o assess  the  valuable the weight  of  f o r m s o f a document  The  address  (1)  to provide access  according to the type  dates  and  archivists  Completeness i s a d i p l o m a t i c  i n c l u d e a l l the elements necessary  r e q u i r e an  an  b e s t approach t o a s s e s s i n g forms i s t o  t h a t r e f e r s t o whether the  enforceable,  the  process.  Forms c a n p r o v i d e the  be  regularity  g e n e r a l i z e d from  formation process  forms o f t h e documents.  to  Therefore,  Whether a p p r a i s i n g r e c o r d s o r m a n u s c r i p t s , should  by  these  i t l a c k s the elements of  of manuscripts  analysis of t h e i r  i s not  formation process  of a l l non-records  accountability  recorded transactions  formation process  In f a c t ,  d o c u m e n t s , and  are not  t o make t h e t o the event  elements r e q u i r e d w i l l  o f document.  i n o r d e r t o be  that  the  vary  F o r example, sent;  document  receipts  letters require  t o show when t h e t r a n s f e r o f o w n e r s h i p became  effective.  Sometimes, t h e p r e c i s e f o r m o f 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 bureaucratic standards  ensure t h a t l e g a l  o r a d m i n i s t r a t i v e n e e d s a r e met.  the  what i s i m p o r t a n t  f o r m s may  be,  not t h a t i n d i v i d u a l  90  Whatever  about completeness i s  documents h a v e a l l t h e p r o p e r  to  details,  but r a t h e r t h e f a c t t h a t t h e y s h o u l d have such That for  i s , the archivist completeness,  complete  s h o u l d a p p r a i s e a t y p e o f document  n o t i n d i v i d u a l documents.  When a document forms governed  i s o f a type t h a t has w e l l - d e f i n e d  by e s t a b l i s h e d p r o c e d u r e s ,  o r an i n c o m p l e t e  the user.  form w i l l  then e i t h e r a  provide information t o  I f t h e forms have been r e s p e c t e d , t h e n t h e u s e r  c a n a c c e p t t h e document a s a n a d e q u a t e  embodiment  e v e n t a n d c a n u s e t h e document t o know a b o u t t h e forms a r e n o t complete, failed  details.  the event.  then t h e document-creator  t o adequately m i r r o r t h e event.  does p r o v i d e i n f o r m a t i o n about  20  unreliable.  t h e document-creator.  The  •  An i n c o m p l e t e document may a l s o  f a c t may c a u s e  documents, depending  constitute  t h a t was n o t p r o p e r l y e x e c u t e d , a n d  the f i n a l  a c t t o be c a n c e l l e d .  i n c o m p l e t e documents may h a v e a s much v a l u e a s  Thus,  complete  on what t h e u s e r w a n t s t o know.  When t h e f o r m s o f a document a r e n o t g o v e r n e d established  procedures,  reliability  o f t h a t t y p e o f document.  i ti s difficult  by w e l l -  t o determine t h e Each  document may b e  from t h e o t h e r s o f i t s t y p e , s u b j e c t t o t h e  individuality archivist  but i t  •  evidence o f a procedure  different  has  know t h a t a p a r t i c u l a r d o c u m e n t - c r e a t o r i s  •  this  If  In t h i s instance,  t h e document d o e s n o t p r o v i d e a c c e s s t o t h e e v e n t ,  user w i l l  o f an  o f t h e document-creators.  nor the user w i l l  would c o n s t i t u t e  a complete  Neither the  know f o r c e r t a i n what document.  details  Consequently,  i t may  be  difficult  if  so, whether those  not  t o a s c e r t a i n whether d e t a i l s details  r e v e a l e d by t h e event,  is unreliable.  a r e m i s s i n g and,  a r e m i s s i n g because they  o r because t h e document-creator  I n o t h e r words, t h e u s e r c a n n o t b e s u r e  w h e t h e r 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, t h e documentation procedures, reflected less  i n t h e document.  reliable  were  than  o r t h e event  S u c h documents a r e t h e r e f o r e  documents c r e a t e d a c c o r d i n g t o a  procedure. Once a g a i n , the  the archivist  r e l e v a n t document-creation  business  procedures.  forms o f those  weight o f a type  r e c o r d s should be.  and  To a p p r a i s e t h e  of record, the a r c h i v i s t  convey t h e i n t e n t  enforceable,  o f t h e author,  t o provide access  t o indicate the r e l i a b i l i t y  should  sufficient  include:  (chronological The  entitling  entitling  t o t h e events  of  information  i n 'the  of the individual  records,  records.  and weight t o a  and/or s u p e r s c r i p t i o n ; date  and/or t o p i c a l ) ;  address;  and s i g n a t u r e s .  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 e l e m e n t g i v e s t h e name a n d a d d r e s s juridical  evaluate  t o make t h e r e c o r d s  Common e l e m e n t s t h a t l e n d r e l i a b i l i t y record  that  o f r e c o r d s a r e t o be p r o d u c e d , a n d what  whether t h e p r e s c r i b e d forms c a p t u r e to  Government a n d  r e c o r d s a r e o f t e n governed by procedures  i d e n t i f y what t y p e s the  i s w e l l a d v i s e d t o examine  person  of the physical or  issuing the record, or the corporate  which t h e 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  body  identifies both.  t h e a u t h o r o f t h e document, o r t h e a c t i o n , o r  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 t h e s o u r c e  of authority f o rthe record, the  action.  This  r e c o r d and t e l l s information, The  a context  t h e u s e r who may b e c o n t a c t e d  f o r further  i f necessary.  i s always t r u e  i n dispositive  i n mind t h a t o b s e r v e r s  r e v e a l e d t o them when t h e y  important  because i t serves  are present  i n time and space,  to localize  Mention o f t h e date supports  d a t e c a n be  t h e event and t o  r e c o r d - w r i t e r was p r e s e n t  the  r e c o r d may i n d i c a t e w h e t h e r i t was c r e a t e d  the  time o f t h e event  truthfulness  the  a t the event.  (an a d m i s s i b i l i t y  A l l records  will  The d a t e o f  2 1  essential  and  about t h e  of the action or  h a v e an a d d r e s s e e ,  such as d i s p o s i t i v e  since  However, t h e  a d d r e s s e e may n o t a l w a y s be s t a t e d e x p l i c i t l y . of records,  a t , o r near,  arose  a c t i o n s must a l w a y s b e d i r e c t e d t o someone.  types  that  in i t .  address i d e n t i f i e s the r e c i p i e n t  record.  claim  requirement),  controversy  of the f a c t s contained  and t h e  the implicit  the  w h e t h e r i t was c r e a t e d b e f o r e  of the  c a n o n l y know what i s  e s t a b l i s h t h e r e l a t i o n s h i p between t h e o b s e r v e r  The  was  records).  t h e mention o f t h e c h r o n o l o g i c a l and t o p i c a l  event.  f o r the  I t may a l s o i n d i c a t e t h e t i m e a n d p l a c e  (this  Keeping  information provides  d a t e i n d i c a t e s when a n d where t h e r e c o r d  compiled. action  and t h e p e r s o n r e s p o n s i b l e f o r  records,  I n some i t is  t h a t t h e a d d r e s s e e be s t a t e d e x p l i c i t l y  i n order  f o r t h e r e c o r d t o be d e l i v e r e d enforceable).  In probative  (and  records,  t h e r e f o r e be on t h e o t h e r  hand, t h e  a d d r e s s i s o f t e n a b s e n t , p a r t i c u l a r l y when t h e p e r s o n t o whom t h e r e c o r d is  directed.  i s i s s u e d i s n o t t h e o n e t o whom t h e r e c o r d  F o r example, d r i v e r ' s l i c e n s e s a n d b i r t h a n d  marriage c e r t i f i c a t e s  are issued t o the driver, o r t o the  persons born o r married.  These persons a r e t h e r e c i p i e n t s  of t h e a c t i o n o f c e r t i f i c a t i o n . record, be  though,  i s whoever h a s t o r e a d  a policeman r e q u i r i n g proof  or a p u b l i c o f f i c i a l marriage i n order archivist  The a d d r e s s e e o f t h e  must t h e r e f o r e  a pension  identify  know w h e t h e r t h e a d d r e s s s h o u l d The  presence o f a signature  of a record's validating  T h i s p e r s o n may  o f one's p e r m i s s i o n  r e q u i r i n g proof  t o grant  i t .  t o drive,  of citizenship or or other  t h e type  benefit.  The  o f document t o  be e x p l i c i t l y  s t a t e d o r not.  i s another important  part  c o m p l e t e n e s s a s i t i s u s u a l l y a means o f  the record.  I f the signature  i sthat of the  a u t h o r o f t h e a c t i o n , o r o f t h e p a r t i e s t o t h e document, then  i t declares that t h e record 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 t h e a u t h o r o r t h e p a r t i e s . I t  v a l i d a t e s t h e r e c o r d as an a c c u r a t e event.  I f the signature  secretary, controlling  a registrar,  i sthat o f a records  record.  officer,  o r someone r e s p o n s i b l e  the creation of the record,  guarantee o f t h e r e g u l a r i t y the  representation of the  for  then i t i s a  o f the formation  I t indicates that a l l the steps  94  a  and forms o f of the  appropriate complete.  p r o c e d u r e were f o l l o w e d , In both of these  record takes  responsibility  completeness.  2 2  fully  I n law,  operative  parties—one  a valid  proper  above meets t h i s  These s i g n a t u r e s  The  types  legal  is  the  which i s  intent of  strength or  two  signs  i s one  the  2 3  who  record  for i t s  record  formalities. the  that the  one  f o r i t and  legal  v a l i d a t i o n p e r f o r m e d by discussed  the  i n accordance with  which has  executed with  cases,  and  the  f o r c e and function  of  has  been  of  signatures  definition  therefore contribute to a  of  validity.  record's  reliability. R e c o r d s may the  a l s o contain the  enactment o r t o the  p u b l i c persons, these the that  signatures  subscription.  a c t i o n s do  not  In records  c r e a t e d by  p r i v a t e persons,  They a r e verify  be  confirm  involved,  then t h e i r  validation  o r an  of the  record  though, o r an  only the  witnesses.  the  authentication.  i f t h e i r purpose i s t o  are  an  signatures  a u t h e n t i c a t i o n , they  i d e n t i f i a b l e p e r s o n has  to  If  the  s u b s c r i p t i o n s of the p a r t i e s  signatures  Whether t h e  by  i s such  a c t i o n or event a c t u a l l y took p l a c e .  witnesses  subscriptions.  solemnity  v a l i d a t e d by  either a validation  a validation  t h a t the  n e e d t o be  to  created  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  their  s i g n a t u r e s may  In records  signatures merely give  r e c o r d because the  of witnesses  authentication of constitute a indicate that  declared that the  95  the  record  is  an accurate  and  has accepted  responsibility  f o r a l l or part of the  record. T h i s d i s c u s s i o n has demonstrated t h a t t h e forms o f a record  c a n enhance a r e c o r d ' s r e l i a b i l i t y .  Some o f t h e  e l e m e n t s may c o n t r i b u t e t o t h e r e c o r d ' s a d m i s s i b i l i t y , b u t many a r e n o t r e q u i r e d b y t h e l a w . concept  o f c o m p l e t e n e s s a r e most u s e f u l  r e c o r d ' s weight. be  Elements o f form  f o r assessing the  I f t h e forms a r e comprehensive,  a good r e f l e c t i o n  o f the events  they  they  represent.  forms a r e g o v e r n e d by a w e l l - e s t a b l i s h e d p r o c e d u r e , record  o f t h a t type w i l l  the record-user. quality  circumstances of  o f any p a r t i c u l a r  case.  mentioned e a r l i e r ,  governed by p r o c e d u r e s . cannot  Notwithstanding the  These a r e t h e a s p e c t s  legal  manuscripts  As a r e s u l t ,  be a n a l y z e d this  t h e n any  evidential  c a n a p p r a i s e , and t h e y  relevant part of a record's overall  process  I fthe  t o t h e r e c o r d and do n o t d e p e n d o n t h e  weight t h a t the a r c h i v i s t  As  will  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  These a s p e c t s o f t h e r e c o r d ' s  are intrinsic  and t h e  are a  value.  are not usually their  formation  f o r indications of r e l i a b i l i t y .  irregularity  of the formation  process,  f o r m s o f p r i v a t e documents t e n d t o b e a s t y p i c a l a s  those  o f government and b u s i n e s s r e c o r d s .  e a s i e s t t o follow conventions  Society finds i t  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 b u r e a u c r a c y ,  people  accustomed t o t h e forms o f b u s i n e s s r e c o r d s . consciously  o r u n c o n s c i o u s l y done, p e o p l e  h a v e become Whether  have adopted  those  f o r m s when p u r s u i n g archivist  their  own  affairs.  appraises manuscripts  l o o k f o r many o f t h e  T h u s , when  the  f o r l e g a l v a l u e , he/she  can  same e l e m e n t s o f f o r m d i s c u s s e d i n t h i s  section. To on  review,  e x t e r n a l and  admissibility internal  and  weight are l a r g e l y  guarantees  While e x t e r n a l guarantees  usually arise  provisions,  internal  process  f o r m s o f t h e document.  and  formation process world  dependability  result  unwritten) which the about  l i n k between t h e  outside  analysis of i t s  shown t h a t r e c o r d s  from e s t a b l i s h e d r u l e s  and  does so c o m p l e t e l y  procedures  produce trustworthy formation process  may  be  evaluated  Elements of  time  S i n c e a document's  t h e document, an  c h a p t e r has  the  and  formation  document. of  (whether w r i t t e n o r environment  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  itself,  original,  from s t a t u t o r y  d e r i v e from t h e  whose p u r p o s e i s t o c r e a t e an  Trustworthy to  reliability.  r e v e a l s much a b o u t t h e v a l u e o f t h e  F o r example, t h i s procedure  guarantees  represents the  ( t h e f a c t ) and  o f document  and  in  reveals  precisely. systems are  likely  In a d d i t i o n t o a s s e s s i n g  o f a document, many e l e m e n t s o f contribution to  o r copy; i d e n t i f y  p l a c e o f an  action; The  the author,  or v a l i d a t e  or  more o f t h e s e  t h e more u s e f u l i t i s a s e v i d e n c e  97  form  reliability.  i n d i c a t e t h e document•s s t a t u s as  t h e a c t i o n o r t h e document. document h a s ,  and  recordkeeping  records.  for their  f o r m may  draft,  and  based  an  addressee, authenticate components a of  the  fact(s) and  i t embodies.  third  A p p r a i s i n g documents f o r t h e  components o f l e g a l  k n o w l e d g e o f s t a t u t o r y and of  documentary  value therefore requires  regulatory  b u r e a u c r a t i c s t a n d a r d s and  second  requirements,  procedures,  forms.  98  and  analys  a study  of  CHAPTER FOUR APPRAISING LEGAL VALUE I N DOCUMENTS  Equipped with of  legal value,  an u n d e r s t a n d i n g  some c r i t e r i a ,  legal value. for  mechanically; particular  i ti s possible to  and a methodology, f o r a p p r a i s i n g  As i n any a r e a o f a p p r a i s a l ,  identifying  components  a n d o f many o f t h e e x t e r n a l a n d i n t e r n a l  factors contributing t o legal value, suggest  of the three  though,  criteria  l e g a l v a l u e c a n n e v e r be a p p l i e d  a p p r a i s a l must b e done i n t h e c o n t e x t  situation,  and i n c o n j u n c t i o n w i t h  To a c e r t a i n  extent,  of a  a h e a l t h y dose  of  common s e n s e .  legal value  e x i s t s as  an  i n d e p e n d e n t component o f a document, b u t a l a r g e d e g r e e  of  a n y d o c u m e n t ' s l e g a l v a l u e d e p e n d s on  circumstances.  Whether a document w i l l  e v e r be r e q u i r e d as e v i d e n c e i n  c o u r t d e p e n d s on a c a s e  arising  f o r w h i c h t h e document h a s  relevant  information.  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  of  a judge,  of  admissibility,  previous  but  on t h e d e c i s i o n  who c o n s i d e r s t h e f a c t s o f t h e c a s e , the exceptions  decisions i n previous  Furthermore, evidence  And, w h e t h e r a r e l e v a n t document i s  once admitted,  t o those  cases  the rules  r u l e s , and  (precedent).  t h e w e i g h t o f t h e document a s  d e p e n d s n o t o n l y on t h e q u a l i t y  a l s o on t h e f a c t s o f t h e case  99  o f t h e document,  a n d on t h e o t h e r  evidence  before the jury.  The a r c h i v i s t  a p p r a i s i n g a body o f  d o c u m e n t s f o r l e g a l v a l u e h a s no way o f k n o w i n g what documents w i l l  b e r e q u i r e d when, o r what f a c t o r s  influence a specific Nevertheless, basic  judge and j u r y  i n a specific  f o r the process  documents o f l e g a l  of selecting  must p l a y a r o l e  significance.  modern s o c i e t y p r o d u c e s ; t o common s e n s e ,  their  legal  First,  and  preserve  its  citizens,  that protect the rights  and i t s h e i r s .  These sources  h a v e , some r o l e  modifying,  to identify  of a  society,  a r e documents  i n creating,  maintaining,  S e c o n d , documents w i t h  functioning actual  t o a p p r a i s e documents f o r l e g a l  or extinguishing legal  and d u t i e s .  particular  In  o f why d o c u m e n t s must b e p r e s e r v e d  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 h a t have, o r w i l l  rights  have t o be d e s t r o y e d .  value.  sources  transferring,  I ti s  a p p r a i s a l d e c i s i o n s s h o u l d be  T h e r e a r e two r e a s o n s value.  sense  a l l t h e documents t h a t  some w i l l  b a s e d on a n u n d e r s t a n d i n g for  common  i n t h e d e c i s i o n s t h a t a r e made.  not possible to preserve  addition  general  and p r e s e r v i n g  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 ,  simply  case.  t h i s t h e s i s h a s p r o p o s e d t h a t t h e r e a r e some  elements o f l e g a l v a l u e which can p r o v i d e  guidance  may  juridical  s y s t e m and. r e f l e c t  o f t h a t system.  legal value,  l e g a l value are products  of a  t h e v a l u e s and  Even i f t h e y  no l o n g e r  have  t h e documents show how t h e j u r i d i c a l  100  s y s t e m g o v e r n e d and p e o p l e and r o l e of  influenced the  institutions within  law  i n s o c i e t y and  permeated the  society.  pursuits system  s y s t e m has of the  While  document f a l l this  a great  s o c i e t y , an  i t can  be  to  c r e a t i o n and  identify To  the  use.  legal  activities  they are  l i n k e d t o the  society  aspects of  significance  f o l l o w the  advice  f a c t s by  analyzing  contemporaries attached  t o them."  prevents the  archivist  d o c u m e n t s by  bringing his/her  process.  I t f r e e s the  research  documents, o r  from b e i n g  case of appraising  than f i f t y  nature be  of  of able  juridical  the 1  value  This  method  value  of  appraisal  f u t u r e demands f o r current  historical  who  which  from becoming i n v o l v e d  swayed by  documents  in  the  research  y e a r s o l d ) , t h i s method p r e v e n t s t h e  101  value  societal  i n t e r e s t s to the  c a l c u l a t i n g probable or p o s s i b l e  in  o f Hans Booms,  from d i s t o r t i n g the  archivist  the  documents.  a r c h i v i s t s measure "the  of past  in  included  legal  and  juridical  A r c h i v i s t s must t h e r e f o r e  i t i s useful to  recommended t h a t  In the  the  because the  law  society's  argued t h a t these uses of value,"  c  society's  f o r m a d o c u m e n t a r y memory o f a s o c i e t y ' s  system,  their  of the  understanding of the  legal value  of  t o which  understanding of the  t h e s e documents i s d i r e c t l y their  part  i n f l u e n c e on  under "research  d i s c u s s i o n of  reactions  extent  Furthermore, s i n c e a  i s e s s e n t i a l t o an  general.  and  system; they r e v e a l the  i n d i c a t e the  They a r e  documentary h e r i t a g e . juridical  the  actions  (those  trends. more  archivist  from a p p l y i n g helps  t o ensure that.the  archivist the  current value  standards  documentary h e r i t a g e  r e f l e c t s the values  documents.  Thus,  t o t h e documents.  formed by t h e  of the society that  created  i f t h e s o c i e t y i n w h i c h t h e documents  were c r e a t e d  saw no l e g a l u s e f o r some o f i t s d o c u m e n t s ,  that  should  outlook  Following  be r e s p e c t e d  this principle,  documents t h a t b e s t  reflect  almost always l e g a l  records.  by t h e a r c h i v i s t .  archivists will  Legal  records  express purpose o f e s t a b l i s h i n g l e g a l  two  o r more e n t i t i e s .  nature the  Their existence  of a particular  juridical  r i g h t s and d u t i e s r e c o g n i z e d  value  relevance On t h e i r reveal can.  value  records  coincides with  indicate  reasons;  this  are usually so they  their  cannot  records  created have an element i n nonheritage  records.  aspect  of appraising  the appraisal of research, or  102  they  circumstances.  Thus, a s o c i e t y ' s documentary  mentioned e a r l i e r ,  legal  potential legal  system as l e g a l  include the society's legal  upon  i n which  a n d a u t h o r i t y t h a t may b e m i s s i n g  documents.  As  clearly  by t h e system  t o e s t a b l i s h e d procedures,  of r e l i a b i l i t y  should  legal  Their  p o t e n t i a l legal value  a s much a b o u t a j u r i d i c a l  according  legal  system.  s y s t e m d e p e n d s on  own, d o c u m e n t s w i t h  Furthermore,  are created f o r  f o r a v a r i e t y of non-legal  to the j u r i d i c a l  system a r e  r e l a t i o n s between  I n c o n t r a s t , documents w i t h  are created  that the  depends e n t i r e l y  i s t h e r e f o r e unambiguous, a n d t h e y  were c r e a t e d .  find  a society's juridical  the  the values  It  legal  secondary, v a l u e s .  The  archivist i s acting  as a  cultural  mediator, d e t e r m i n i n g which types of r e c o r d s c o n t r i b u t e  to  an u n d e r s t a n d i n g of the  not  society  and  i t s culture.  It is  n e c e s s a r y t o p r e s e r v e a l l of a s o c i e t y ' s l e g a l r e c o r d s i n o r d e r t o form an adequate documentary h e r i t a g e . r e c o r d s may  have no  s i g n i f i c a n t v a l u e beyond t h e i r r o l e i n a  legal transaction.  For  example, the  t h a t i n a c t i v e p a r k i n g t i c k e t s do archival  Some l e g a l  not  a r c h i v i s t may  decide  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 .  In  other  cases, a c e r t a i n type of l e g a l r e c o r d may  have some r e s e a r c h  v a l u e , but  that i t i s  possible,  e x i s t i n such g r e a t q u a n t i t i e s or u s e f u l ,  this situation,"the  t o p r e s e r v e a l l of the a r c h i v i s t may  r e c o r d s ; t h a t i s , he  or she  r e p r e s e n t a t i v e p a r t of the  may  not  records.  choose t o sample  In  the  preserve only a  whole.  The  archivist's  objective  i s t o p r e s e r v e evidence of the  s o c i e t y ' s l e g a l system,  to preserve a l l i n a c t i v e  records.  legal  2  Understanding a s o c i e t y ' s j u r i d i c a l system identifying  i t s l e g a l r e c o r d s comprise o n l y one  a p p r a i s i n g documents f o r l e g a l v a l u e . a s p e c t s of a p p r a i s i n g l e g a l v a l u e are archivist's  To  part  of  more d i f f i c u l t  associated with  f u l f i l this responsibility,  knowledgeable about the  system i n which they operate. how  The  and  the  r e s p o n s i b i l i t y t o i d e n t i f y sources t h a t p r o t e c t  society's rights. must be  not  v a l u e s of the  archivists  juridical  They must a l s o be  aware of  t h e s e v a l u e s shape t h e i r s o c i e t y ' s c u r r e n t and 103  potential  l e g a l needs.  T h i s knowledge and awareness must be brought  t o every a p p r a i s a l , r e g a r d l e s s o f the age o r o r i g i n o f the documents b e i n g  appraised.  The o b l i g a t i o n t o respond needs has  to society's current legal  i m p l i c a t i o n s f o r the a p p r a i s a l o f h i s t o r i c a l  documents.  S i n c e documents can a c q u i r e l e g a l v a l u e  time o r i n d i f f e r e n t circumstances,  over  documents t h a t had  l i t t l e o r no l e g a l v a l u e t o t h e i r contemporary s o c i e t y may have g r e a t 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  society.  For example, o l d g e o l o g i c a l measurements o f s o i l l a y e r s 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 v a l u e on t h e i r  own.  However, i f the a r c h i v i s t ' s s o c i e t y i s concerned  with  e r o s i o n caused by l o g g i n g and p o l l u t i o n , people may  turn to  these e a r l y documents t o demonstrate what the v a l l e y ' s c o n d i t i o n s were b e f o r e i n d u s t r y entered the a r e a . c i t i z e n s may  The  be a b l e t o use t h i s i n f o r m a t i o n t o r e q u i r e  c e r t a i n types o f i n d u s t r y t o take a c t i o n s t h a t w i l l f u r t h e r damage t o the environment.  In t h i s example, the  g e o l o g i c a l documents p l a y an important c i t i z e n s t o p r o t e c t t h e i r r i g h t s and preserved  prevent  role i n helping  i n t e r e s t s and should  be  f o r t h a t reason.  A p p r a i s i n g h i s t o r i c a l documents f o r l e g a l v a l u e i s t h e r e f o r e a two-step p r o c e s s .  In the f i r s t s t e p , the  documents are a p p r a i s e d f o r what they r e v e a l about the j u r i d i c a l system i n which they were c r e a t e d . a c t s as a c u l t u r a l mediator,  The  forming the s o c i e t y ' s 104  archivist  documentary h e r i t a g e .  I n t h e second s t e p , t h e documents a r e  appraised  fortheir  society.  The a r c h i v i s t  of  legal value t o the a r c h i v i s t ' s  society's rights.  constitutes  i n the context  i t i s similar  of their  t o the procedures  records d e s t r u c t i o n i n t h e case litigation  is  o f prime importance, Despite  little  documents.  and  records  t o suspend  such  3  archivists  In other of  society  procedures.  have r e c e i v e d v e r y  and e v a l u a t e  such  as t h e d u r a t i o n o f l e g a l v a l u e , t h e  for identifying  l e g a l v a l u e have r a r e l y  or  importance o f p r e s e r v i n g  current legal values t o h i s t o r i c a l  the c r i t e r i a  normal  o f f o r e s e e a b l e , pending,  i n how t o i d e n t i f y  Issues  need t o a p p l y  in a  and c a n o v e r r i d e u s u a l  legal value,  guidance  environment.  to protect the rights  the undeniable  documents w i t h  of appraising  o r government i n v e s t i g a t i o n .  words, t h e r e s p o n s i b i l i t y  guardian  situation  original  management programme t h a t a r e d e s i g n e d  actual  role:  I n some r e s p e c t s , t h i s  an e x c e p t i o n t o t h e p r i n c i p l e  records only Indeed,  has a v e r y d i f f e r e n t  present  and q u a l i f y i n g  been addressed  documents, potential  i n archival  literature. Historically, preserving  records.  institutions  political  During  the high Middle  o f western society  p r o d u c e d and k e p t and  l e g a l v a l u e was t h e m a i n r e a s o n f o r  records mainly  privilege.  Ages, t h e major  ( t h e Church and t h e S t a t e ) as evidence  Identifying  of legal  title  legal value i n  d o c u m e n t s was n o t a p r o b l e m b e c a u s e t h e o n l y d o c u m e n t s t h a t  105  were c r e a t e d were l e g a l documents.  Archives  i n mediaeval  s o c i e t y were not storehouses o f i n f o r m a t i o n on p a s t a d m i n i s t r a t i v e t r a n s a c t i o n s ; r a t h e r , they were a r s e n a l s o f law.  That i s , a r c h i v e s were " e s s e n t i a l l y t r e a s u r i e s o f  l e g a l documents which, because they seemed t o support maintain  and  t h e s t r u c t u r e o f s o c i e t y , r e t a i n e d t h e i r primary  l e g a l v a l u e r e g a r d l e s s o f t h e i r age o r use."  4  And t h e i r  primary use was f o r c o n t r o l and management o f t h e S t a t e . As a d m i n i s t r a t i v e b u r e a u c r a c i e s  grew and became more  complex, they began t o produce o t h e r types o f documents i n significant quantities.  Records-keepers and a d m i n i s t r a t o r s  d e a l t w i t h t h e i n c r e a s i n g volume o f documents through a p p r a i s a l , u s u a l l y a p p l y i n g 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 t o choose t h e documents t o be kept and those t o be destroyed.  P o l i t i c a l and a d m i n i s t r a t i v e purposes began t o  5  be c o n s i d e r e d  i n t h e a p p r a i s a l process,  but no coherent body  o f a p p r a i s a l theory was developed a t t h i s time. The modern h i s t o r y o f a r c h i v e s begins w i t h t h e French Revolution. confronted  A p p r a i s a l was t h e foremost problem t h a t t h e a r c h i v i s t s a t t h e new A r c h i v e s  s i n c e most o f t h e r e c o r d s  Nationales  from t h e Ancien Regime had l o s t  t h e i r s i g n i f i c a n c e f o r a d m i n i s t r a t i v e purposes. a p p r a i s a l board was appointed, documents were i d e n t i f i e d . be p r e s e r v e d ,  and i n c l u d e d  An  and f o u r c a t e g o r i e s o f  The f i r s t two c a t e g o r i e s were t o (1) " u s e f u l papers"  (Papiers  u t i l e s ) , which were documents r e l a t e d t o t h e a d m i n i s t r a t i o n 106  of property papers"  c o n f i s c a t e d by the S t a t e ; and  (Chartes  s c i e n c e s e t aux titles"  (2)  "historical  e t Monuments appartenant a l ' h i s t o i r e , arts).  The  l a s t two  ( T i t r e s feodaux), and  categories,  " u s e l e s s papers"  i n u t i l e s ) , were t o be d e s t r o y e d .  One  6  o f the  consequences o f t h i s a p p r a i s a l p r o c e s s was  important  the emerging i d e a  became instruments of c u l t u r e and no l o n g e r a r s e n a l s of law,  research.  Archives  i n f l u e n c e d the  were These  future  archives.  In England, l e g a l documents had  t r a d i t i o n a l l y been  "public records"—documents a c c e s s i b l e to  the  p u b l i c as "the people's e v i d e n c e s " — a n d were the focus the P u b l i c Records O f f i c e ' s a c t i v i t i e s . then, when a S e l e c t Parliamentary 1836  for  Documents  but a r s e n a l s o f c u l t u r e .  ideas spread throughout Europe and  considered  acquired  t h a t were d i s t i n c t from the v a l u e s  which the documents were o r i g i n a l l y c r e a t e d .  development o f  "feudal (Papiers  t h a t , a f t e r a c e r t a i n p e r i o d of time, documents " h i s t o r i c a l " values  aux  7  I t was  of  a surprise,  Committee e s t a b l i s h e d i n  t o i n v e s t i g a t e the work of a s e r i e s o f Record  Commissions appointed s i n c e 1800  c r i t i c i z e d the  Commissions  f o r c o n f i n i n g t h e i r work t o "those o f f i c e s where t h e r e c o l l e c t i o n s of records  of a n c i e n t date, v a l u a b l e  h i s t o r i c a l , antiquarian, genealogical, r a t h e r than f o r l e g a l purposes." Commissions had  8  and  for  topographical,  S i n c e the Record  been appointed t o review the n a t u r e o f  p u b l i c documents i n the country and 107  are  t o s e l e c t the most  valuable  for publication,  this  criticism  i n d i c a t e s t h a t l e g a l v a l u e had documentary v a l u e . d e v e l o p m e n t and  The  1836  of t h e i r  work  d e c l i n e d i n i m p o r t a n c e as  S e l e c t Committee l a m e n t e d  p r o p o s e d t h a t d o c u m e n t s be  assigned  a  this  value  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 t h e p u b l i c as a whole, for  the narrower h i s t o r i c a l  interests of a  few.  U n f o r t u n a t e l y , t h e Committee d i d n o t p r o v i d e any a b o u t how  "records valuable f o r l e g a l  In North activity.  The  first  a r c h i v e s were f o u n d e d t o value,  and  I n 1930,  became one  of the  acquisition  first  t o speak out  against the  administered  interests of historians.  n e e d e d t o be  purposes.  She  explore the the  legal  kept  f o r important  nature  components o f l e g a l I n 1946,  Information Records•  dominant  legal  to  serve and  records  t h e need  failed  to  to define  value. Philip  Bauer addressed  appraisal i n a National Archives  Circular,  Norton  administrative  o f documents, she  American a r c h i v i s t  issue of archival  f o r many  argued t h a t a r c h i v e s ,  However, w h i l e N o r t o n i d e n t i f i e d  9  focus  primarily  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 that  preserve  American a r c h i v i s t Margaret Cross  v i e w t h a t a r c h i v e s s h o u l d be the  archival  this historical  remained t h e main m o t i v e o f a r c h i v a l  to  purposes."  America, h i s t o r i a n s dominated e a r l y  documents o f h i s t o r i c a l  years.  guidance  t o j u d g e t h e u s e f u l n e s s o f d o c u m e n t s , o r how  identify  not  The  Appraisal of Current  the  Staff  and  Recent  B a u e r i n c l u d e d some comments a b o u t l e g a l  value,  108  proposing  first,  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 o r  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 c o u r s e , maintain the  a p p r o p r i a t e r e c o r d s and  interests primarily  secondly,  a f f e c t e d by  not  of the  in relation  that  c o u l d be  years  later,  conclusions Records. The  be  d e f e n d e d by i n 1956,  limitless their  rights  collateral  S c h e l l e n b e r g endorsed  in his bulletin,  problem with  The  and  the them  and  interests  use."  Ten  1 0  Bauer's  A p p r a i s a l o f Modern P u b l i c  to current public records.  No  do  i s ignored,  as  cease  to exist.  the a r c h i v i s t ' s broader complex q u e s t i o n s  109  but  they a  the c r e a t i n g overlook  to society.  to appraising legal value  o n l y unanswered a t t h i s time,  concept  i s s u e o f what  S c h e l l e n b e r g seem t o  responsibilities  related  The  recommending  r e c o r d s b a s e d on  B a u e r and  value  or i n t e r e s t s  F u r t h e r m o r e , by  r e t e n t i o n p e r i o d f o r such agency's i n t e r e s t s ,  i s the  are  the  legal  produced outside of r e g u l a t o r y agencies. legal value  they  instructions  documents, n o r  v a l u e t h e r e c o r d s h a v e when t h e r i g h t s  not  within  Bauer's recommendations i s t h a t  for appraising historical  of p o t e n t i a l  affect  the  agency c r e a t i n g o r a c c u m u l a t i n g  r e c o m m e n d a t i o n s r e c o g n i z e t h a t documents w i t h may  and  t o c o n s i d e r them  interests that f a l l  to a l l the  as  1 1  only relate given  long  for fixing  r e c o r d s w o u l d be  i n r e l a t i o n to those  jurisdiction  them a s  them s u b s i s t , "  t h a t "a f a i r w o r k i n g p r i n c i p l e  r e t e n t i o n p e r i o d o f such only  preserve  to  a l s o unasked.  The remained  No q u e s t i o n s and  o r a n s w e r s were  f o r t h c o m i n g i n t h e 1960s  1970s, d e c a d e s t h a t w i t n e s s e d a v e r i t a b l e d e a r t h  appraisal  concepts i n the North American a r c h i v a l  community.  12  The o n l y  major d i s c u s s i o n o f a p p r a i s a l  p e r i o d was M a y n a r d B r i c h f o r d ' s Appraisal  and A c c e s s i o n i n g ,  of American A r c h i v i s t s  1  Archives  appraisal,  b a s i c m a n u a l s on a r c h i v a l  he o f f e r e d l i t t l e  archival values pointed the  evaluation  value  and t o methods  out that  was  preserved  benefits."  or  legal  may as  1 3  legal  i f their  legal value. providing  "explain  administrative  to recognize  or  activities  civil  and  judicial  ownership o r l e g a l  be  required  or events rules, or  obligations.  B r i c h f o r d g o e s no f u r t h e r  He d o e s n o t i n d i c a t e how  that serve 1 , 1 4  have than  a r c h i v i s t s are  t h e s e d o c u m e n t s ; he d o e s n o t d i s t i n g u i s h  b e t w e e n p o t e n t i a l and e x t a n t  legal value;  he d o e s n o t  t h e c h a r a c t e r i s t i c s t h a t documents s h o u l d 110  by  opinions  o f t h e t y p e s o f documents t h a t may  Unfortunately,  the l i s t .  factor i n  r e t e n t i o n was  action, explain procedural  i s a good l i s t  discuss  a major  to  He  He recommended t h a t d o c u m e n t s  or i f they  evidence of property  This  new w i t h r e s p e c t  were an i m p o r t a n t  i n t e r p r e t a t i o n s , document  involve  theory.  " t h e i r use t o prove t h e l e g a l  f o r legal value  statutory provisions  Society  about  of i n d i v i d u a l s to c i t i z e n s h i p , property,  employment  in this  o f i d e n t i f y i n g them.  o f documents, and t h a t  of archives  rights  legal values  many i d e a s  t h a t was  new  and M a n u s c r i p t s :  p r o d u c e d a s one o f t h e  Although Brichford p u l l e d together  of  have i n  o r d e r t o be appraisal  a c c e p t e d as  of  l e g a l evidence.  legal value  Once a g a i n ,  i s dealt with quickly  the  and  inadequately. Interest f o c u s had  in appraisal  s h i f t e d from e v a l u a t i o n  discussion  of  R i c h a r d Cox,  Larry The  1 5  that  i n t e r n a l concerns of  The  a single  the  of  society,  1 7  formulated to issue,  shaped longer  c h a l l e n g e s p r e s e n t e d by  modern  not  merely the  on  the  assure the  for historical  claim  full  or  are  other therefore  adequate documentation of  function,  by  piecemeal  Documentation s t r a t e g i e s  activity,  is  no  i s o l a t e d records,  long-term v a l u e . "  ongoing  be:  J o a n Warnow-  institution,  " a r c h i v i s t s must f o c u s t h e i r s i g h t s  plans  continue to  advocates of documentation s t r a t e g y  documentation of  to  major  "traditional collecting activities,  adequately respond to  evaluation  the  r a t i o n a l e behind documentation strategy  the  that  The  Hackman, H e l e n S a m u e l s , and  idea  1 6  1980s, b u t  o f documentary v a l u e s  c o n c e p t were, and  the  records."  i n the  "documentation s t r a t e g y . "  p r o p o n e n t s o f t h i s new  Blewett.  revived  subject,  or  an  geographic  18  area.  In these s t r a t e g i e s ,  seems t o h a v e become t h e rather the  than the  needs of As  strategy  the  logical  historical  goal  of  appraisal  documentation of  i d e n t i f i c a t i o n o f documents t h a t  will  society serve  society.  a r c h i v i s t F r a n k B o l e s comments, ultimately  i s not  helpful  selection: 111  A  documentation  for assessing  quality  of  Documentation s t r a t e g y w i l l h e l p a r c h i v i s t s understand the document u n i v e r s e , and may even suggest u s e f u l m a t e r i a l t h a t c u r r e n t l y 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 t o s e l e c t out of t h a t u n i v e r s e what should be saved, whether i t be an 'adequate documentary h e r i t a g e * o r some other i d e a . 1 9  In o t h e r words, a r c h i v i s t s s t i l l documentary v a l u e s . the v a l u e s  They s t i l l  need t o d e a l w i t h need t o i d e n t i f y and  t h a t make a document worthy o f  preservation.  Indeed, even w i t h i n a documentation s t r a t e g y area, documentation can,  or should,  be  define  not a l l  preserved.  Another c r i t i c i s m of documentation s t r a t e g y comes from Roy  Turnbaugh, S t a t e A r c h i v i s t of Oregon.  point-of-view challenges  the i d e a t h a t the a r c h i v a l p r o f e s s i o n ' s  historians.  He  p u b l i c records  the  o f a government a r c h i v i s t , Turnbaugh  r e s p o n s i b i l i t y i s t o document s o c i e t y and  to  first  serve  argues t h a t "our primary c o n s t i t u e n c i e s  a r c h i v i s t s are our parent governments,  beyond and  above them, t h e i r s o v e r e i g n s ,  citizens.  Our  d i r e c t and  immediate.  all  Speaking from  o b l i g a t i o n s t o these two Less d i r e c t l y ,  our  as  and  fellow  constituencies  are  l e s s immediately come  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 , s c h o l a r s i n g e n e r a l ,  genealogists,  a t t o r n e y s — g r o u p s which l a c k the  possessed by the s t a t e and  i t s citizens."  ask themselves not merely "What do we "Whom do we  care f o r ? "  2 0  imperative  A r c h i v i s t s must  care f o r ? " but  These arguments imply t h a t 112  also  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 meet the p r a c t i c a l needs o f s o c i e t y , not j u s t the s c h o l a r l y demands of one society.  part  of  Documentation s t r a t e g i s t s seem t o have o v e r l o o k e d  t h i s f a c t , l e a v i n g one  t o wonder i f the i n t e r e s t s and  o f s o c i e t y w i l l be n e g l e c t e d  i n t h e i r documentation  needs  plans.  Documentation s t r a t e g i s t s are not the o n l y a r c h i v i s t s who  seem t o have f o r g o t t e n about the l e g a l v a l u e o f  documents, as evidenced i n the o n l y major a r t i c l e t o w r i t t e n about documentary v a l u e s i n the the B l a c k Box: Records."  21  The  Appraisal  1980s,  of U n i v e r s i t y  be  "Exploring  Administrative  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 t o " p u l l a p a r t the elements components o f the  [ a p p r a i s a l ] p r o c e s s , t o e s t a b l i s h more  p r e c i s e d e f i n i t i o n s f o r them, and interaction."  Their goal  that incorporates  and  to analyze t h e i r  i s t o b u i l d an a p p r a i s a l model  " 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  p a r t s of a p p r a i s a l , 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 f a c t o r s which are  unarticulated."  2 2  The  includes three general  model proposed by Boles and categories  the v a l u e o f the i n f o r m a t i o n , the p o l i t i c a l and recommendations.  23  often  procedural  of a p p r a i s a l  Young  decisions:  the c o s t s o f r e t e n t i o n , i m p l i c a t i o n s o f the  Each c a t e g o r y c o n s i s t s o f  and  appraisal  several  components which, i n t u r n , are broken down i n t o elements. D e s p i t e the seeming comprehensiveness o f the model, d e s p i t e the a r c h i v i s t s * s t a t e d g o a l t o i n c o r p o r a t e  113  and " a l l the  significant parts of appraisal,"  legal value  i s not  m e n t i o n e d anywhere i n t h e a r t i c l e . What, t h e n ,  a r e t h e components o f l e g a l v a l u e ,  s h o u l d a r c h i v i s t s know i n o r d e r t o e v a l u a t e l e g a l The  first,  value  and e s s e n t i a l ,  value?  component o f d o c u m e n t a r y  i s the existence of a relationship  document a n d some j u r i d i c a l  fact.  therefore begin the appraisal  a n d what  legal  between t h e  The a r c h i v i s t  should  p r o c e s s by a n a l y z i n g t h e  mandate a n d f u n c t i o n s o f t h e d o c u m e n t - c r e a t o r t o d e t e r m i n e whether any o f t h e s e f u n c t i o n s maintenance, m o d i f i c a t i o n , rights will  and d u t i e s .  arise  requiring  juridical all  transfer,  from s t a t u t o r y  provisions  records retention,  and r e s p o n s i b i l i t i e s and  others w i l l  regulations result  arise  from t h e v a l u e s o f t h e  relevant  functions,  f a c t s have been i d e n t i f i e d , t h e next s t e p series  ascertain  o r documents t h a t  what k i n d  (probative), direct  t o them a n d t o between t h e  facts.  or are required  act into  juridical  114  effect  as p r o o f o f a j u r i d i c a l a c t  then they are l e g a l records.  link to existing  and  i s t o examine t h e  exists  t h e documents p u t a j u r i d i c a l  (dispositive),  Once  activities,  are related  of relationship  documents and t h e j u r i d i c a l If  from t h e  i n which t h e a r c h i v i s t i s working.  of the j u r i d i c a l l y  record  of legal  s y s t e m i n w h i c h t h e d o c u m e n t s were  Yet others w i l l system  the creation,  or extinction  Some l e g a l r i g h t s  values of the j u r i d i c a l produced.  involved  facts,  They have a and t h e r e f o r e  have  actual  legal value.  lasting until expires,  or  a transaction  act of  incorporation  value  e x i s t s as  Examples o f  long  legal  establishing property,  as  P o l i c e and  the  records the  marital  temporary,  or a time  f o r a company  company c o n t i n u e s  include birth,  status,  and  are  records  (the  legal legal  exist).  marriage,  and  existence,  r i g h t s s u c h as  rights  social  benefits.  Insurance  policies,  t r a d e m a r k s , and  p a t e n t s d e m o n s t r a t e an  organization's  t o p h y s i c a l and  intellectual  while  i t s personnel are  plan,  and  records—they  records  the  i t s obligations  are  records  Often,  2 4  identified  that w i l l  as  enable  operations,  r i g h t s , and  of c r i s i s .  Legal  juridical  obligations during  records  are valuable  a f f e c t the  persons,  the status,  or a f t e r a  because they  r i g h t s and  duties  a primary concern of  S u p p o r t i n g documents, w h i c h i n c l u d e  period  embody  of  physical  society.  documents  p r o c e s s and  documents r e l a t e d t o o n g o i n g  activities,  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  115  an  vital  t o c o n t i n u e o r t o resume i t s l e g a l  facts that d i r e c t l y  rights  documented i n i t s p a y r o l l , p e n s i o n  legal are  organization  and  property,  Workers' Compensation r e c o r d s .  organization's  to  document a p e r s o n ' s o b l i g a t i o n t o  make a t o n e m e n t f o r d e l i n q u e n c y .  to  death  essential in  p r i v i l e g e o f c i t i z e n s h i p , and  court  period  the  to  f a c t s of a person's  important c o l l a t e r a l  the  only  more l o n g - l a s t i n g , s u c h as  which d e f i n e and  be  i s completed  be  o f an  identity,  may  i t may  value  records,  This value  of  juridical facts.  T h e s e d o c u m e n t s do n o t d i r e c t l y and  their  legal value  Documents o f p r o c e s s , fact,  establish  legal  form.  juridical  A draft of a contract  n e c e s s a r y t o make t h e document a b l e t o  rights;  i t i s therefore  not a legal  record.  e v i d e n c e o f an i n t e n t t o c r e a t e  r e l a t i o n s b e t w e e n two p e r s o n s a n d may be c o n s i d e r e d  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 ,  v e r s i o n o f t h e c o n t r a c t does n o t e x i s t , v e r s i o n may be r e q u i r e d legal the  circumstances.  f o r example, may r e l a t e t o a  However, i t d o e s c o n t a i n legal  the r i g h t s of others,  u s u a l l y d e p e n d s on  b u t n o t i n an e n f o r c e a b l e  lacks the signatures  affect  relations.  to  enforceable  then the d r a f t  as evidence o f t h e i n t e n t t o c r e a t e  The d r a f t v e r s i o n g a i n s  l a w becomes c o n c e r n e d w i t h  legal value  when  t h e f a c t s t o which i t bears  witness. Documents r e l a t e d t o j u r i d i c a l l y  relevant  h a v e a s i m i l a r s t a t u s t o documents o f p r o c e s s . embody a j u r i d i c a l  act, but they a r e produced  of c a r r y i n g out a l e g a l required the  T h e y do n o t i n the course  F o r example, a p r o f e s s o r i s  t o i m p a r t knowledge and t o e d u c a t e s t u d e n t s .  professor  accomplishing the  duty.  activities  chooses t o w r i t e  l e c t u r e n o t e s a s a means o f  t h i s duty, t h e notes c o n s t i t u t e evidence o f  professor'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 .  T h o s e n o t e s may b e n e e d e d  w r o n g f u l d i s m i s s a l c a s e t o show t h a t t h e p r o f e s s o r d i d indeed  If  carry out his/her  duty.  116  in a  The  key t o i d e n t i f y i n g p o t e n t i a l  legal value i st o  c o n s i d e r a l l t h e 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  fact  are they  exist;  likely  t o remain  that w i l l  i n reasonably secure custody;  i n secure custody?  foreseeable?  Is litigation  I f i t d o e s n o t seem l i k e l y  potential contract  legal value. i s readily  documents  t h e documents  t h e n t h e y h a v e o n l y weak  F o r example,  i fthe original  a v a i l a b l e and i n good c o n d i t i o n ,  the d r a f t v e r s i o n has l i t t l e has  that  t e n u r e and i s near  the l e c t u r e notes w i l l h i s / h e r performance.  legal value.  retirement, then  documents i s t h e r e f o r e based w h i c h t h e documents w i l l  then  I f the professor  i t i s unlikely  be r e q u i r e d a s l e g a l Potential  factor  between  involving these  e v e r be r e q u i r e d as e v i d e n c e ,  a r e they  I s there a time  change t h e n a t u r e o f t h e r e l a t i o n s h i p  document a n d f a c t ?  could  to the j u r i d i c a l  that  evidence of  legal value of supporting  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  be needed as e v i d e n c e .  2 5  N a r r a t i v e documents, w h i c h c o n s t i t u t e w r i t t e n e v i d e n c e of  juridically  irrelevant  of  d o c u m e n t s t o be c o n s i d e r e d .  d o c u m e n t s may b e a b o u t significance v  activities,  are the last  I n some c a s e s ,  events which w i l l  i n a different  time  narrative juridical  and c o n t e x t , a s has  happened w i t h t h e j o u r n a l s o f e a r l y m i s s i o n a r i e s who o b s e r v e d  gain  category  a n t h r o p o l o g i s t s and  and d e s c r i b e d t r a d i t i o n a l Among o t h e r p u r p o s e s ,  potlatch  ceremonies  on t h e West C o a s t .  ceremonies  served t o e s t a b l i s h property r i g h t s w i t h i n the  117  these  context being the  of the  accepted  native j u r i d i c a l  system, a f a c t t h a t  by  These c o u r t s have examined  some c o u r t s .  j o u r n a l s of the  accepted  a n t h r o p o l o g i s t s and  them a s t h e  ceremonies.  The  a change i n c i r c u m s t a n c e s recognition system) .  of legal  (in this  cases,  eventually  results  C h a p t e r One,  the  because the  does not  f o r any  native because  of  courts'  native  correspondence could  scientists'  juridical  that  a new  result  i n the  legal value  examples depends a g r e a t foreseeable. not  as  in  scientists  r i g h t s nor  development of  a  The  evidence  deal  Unlike  on  of  the  circumstances  supporting a c t s but  relevant a c t i v i t i e s ,  e v e n f u r t h e r removed f r o m a l i n k  118  is i t  n a r r a t i v e documents i n  embody j u r i d i c a l  related to j u r i d i c a l l y  documents a r e  mentioned  i s used i n a c r i m i n a l a c t .  of the  d o c u m e n t s , w h i c h do  that  c o u n t e r f e i t i n g process,  p o t e n t i a l legal value  easily  an  However, i f t h e  crime.  not  As  legal  involvement i n the  each of these  be  activity  act.  affect  purposes.  correspondence could gain  least  and  r e s u l t s p r o d u c e s n a r r a t i v e documents  a r e w o r k i n g on  p r i n t i n g process  irrelevant  in a juridical  activity  required  scientists  are  the  c o r r e s p o n d e n c e b e t w e e n two  comparing r e s e a r c h  that  case,  n a r r a t i v e d o c u m e n t s may  of a j u r i d i c a l l y  The  legal value  procedures w i t h i n the  expression  their  of the  now  2 6  In other  legally  missionaries  only w r i t t e n evidence  j o u r n a l s have g a i n e d  is  are  at  narrative  with  juridical  facts.  able t o anticipate  I n many c a s e s , a legal  the archivist  would n o t be  n e e d 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 s e e i n t o t h e f u t u r e , and i t i s n o t t h e archivist's Therefore, potential  responsibility  to predict  i t i s often d i f f i c u l t  the future.  t o a t t r i b u t e much, i f any,  l e g a l v a l u e t o n a r r a t i v e documents.  On t h e 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 acquire  legal value,  the time  they  t h e documents may h a v e l e g a l v a l u e b y  are appraised,  o r t h e r e may b e c o m p e l l i n g a n d  immediately  foreseeable circumstances  documents.  N a r r a t i v e documents must n o t b e e x c l u d e d  appraisal  of legal value  juridically  irrelevant  Once t h e t y p e  simply  because they  affect the  arise  from  from  activities.  o f document h a s b e e n i d e n t i f i e d ,  existence of actual or potential established,  that w i l l  the archivist  and t h e  l e g a l v a l u e has been  c a n u s e t h e second and t h i r d  components o f l e g a l v a l u e t o d e t e r m i n e t h e d e g r e e o f t h a t value.  These l a s t  weight—are and  l a r g e l y b a s e d on t h e r e l i a b i l i t y ,  enforceability  facts  two c o m p o n e n t s — a d m i s s i b i l i t y  o f t h e documents.  will  determine a  More o f t e n , t h o u g h , t h e a r c h i v i s t  need t o a s s e s s t h e f o r m a t i o n p r o c e s s  d o c u m e n t s t o d e t e r m i n e what t h e y and  completeness,  Sometimes, e x t e r n a l  (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  document's a d m i s s i b i l i t y .  and  and forms o f t h e  contribute to admissibility  weight.  119 6  Assessing the identifying  the  formation process  s t e p s used t o c r e a t e t h e documents.  g o v e r n m e n t r e c o r d s and standard for  business  formation process,  i d i o s y n c r a t i c processes; no  that process  however, a r i s e  real  guarantees  The  Because  r e c o r d s u s u a l l y have a  what i t i n d i c a t e s a b o u t t h e  Manuscripts,  o f documents i n v o l v e s  can  reliability  evaluated  of the  from i n d i v i d u a l  therefore, their  be  r  records.  and  formation  offers  of trustworthiness.  formation process  o f g o v e r n m e n t and  records u s u a l l y includes steps t h a t are  business  formally  incorporated  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  transactions  and  i t i s useful for  the a r c h i v i s t they  to identify  are/were r e g u l a r l y  provide this at  producing  latter  records. such  procedures  followed.  r e v e a l a b o u t who  classes for  Results of audits  i f they  records.  s h o u l d be  how  can  can  look  a l l conform t o  of business,  the  and  i n the  may  also  ordinary  o u t l i n e the elements t h a t c o n s t i t u t e  i s v a l u a b l e t o the a r c h i v i s t an  f o r what  accountable  Records-creation procedures  a complete r e c o r d f o r each type  attribute  examined  record-creators are  enumerate t h e r e c o r d s t h a t a r e produced  law  that  i s responsible for creating different  o f r e c o r d s and  their  course  to v e r i f y  procedure.  Records-creation procedures they  and  information, or the a r c h i v i s t  a sample o f t h e r e c o r d s t o see  standard  Thus,  internal  of record.  because both  This  information  diplomatics  guarantee of r e l i a b i l i t y  120  to  and  r e c o r d s c r e a t e d a t , or near, from  t h e t i m e o f an e v e n t ,  a p e r s o n w i t h knowledge o f t h e e v e n t .  by  or  This person  a l s o be u n d e r a d u t y t o make t h e r e c o r d s i n t h e  must  regular  course of business. A n a l y s i s o f r e c o r d s - c r e a t i o n p r o c e d u r e s has increasingly  i m p o r t a n t as o f f i c e  h a v e moved t o w a r d activities, noted, line,  and  and  i n f o r m a t i o n systems  compartmentalization of  knowledge.  responsibilities,  As a r c h i v i s t Mark H o p k i n s  " f r o m t h e m a i l room a t t h e s t a r t paper  become  of the  moves a c r o s s a s e r i e s o f d e s k s  has  assembly  where anonymous  i n d i v i d u a l s c a r r y out  incremental processing a c t i v i t i e s , "  often without  any v i s i b l e t r a c e o f who  leaving  w i t h t h e document a t what s t a g e . c o m p u t e r s and problem.  electronic  Examination  reliability  and  2 7  The  t e c h n o l o g y has  of procedures,  security,  evaluate the r e l i a b i l i t y A f t e r the a r c h i v i s t o f t h e documents, t h e i r  growing  and  mention  a c t i o n ; mention issued;  of  of the records they has  a validation  their to  produce.  f o r m s c a n be e x a m i n e d .  The  elements  value the  p l a c e where t h e document  of the addressee;  s i g n a t u r e s which  o r an a u t h e n t i c a t i o n and  (of the a c t ,  qualifications  s t a t u s o f t h e document a s a  121  6  this  studied the formation process  o f t h e d a t e and  The  of  i s o f t e n t h e most u s e f u l way  t h e document, o r o t h e r s i g n a t u r e s ) ; signatures.  use  o f t h e a u t h o r o f t h e document o r  identification  are e i t h e r  involved  exacerbated  o f documentary form which a r e r e l e v a n t t o l e g a l include:  was  draft,  of  was  original,  o r c o p y may  These elements are  a l s o be  d e t e r m i n a b l e from i t s forms.  i m p o r t a n t b e c a u s e t h e y s e t a document  a p a r t i c u l a r t i m e and  place,  the  original  document  not). that  (eg.,  an  They a l s o i d e n t i f y the  the  to evaluate  individual  This  the  i n d i c a t e the  the  reliability  t h a t can  appropriate  help  and  the  in  the  relevance  an  Fortunately,  places  archivist  elements are present  of  for  in  quickly  verify  i n a document o r  a  document.  The  e l e m e n t s t h a t must a p p e a r i n a document t o make i t  c o m p l e t e and  enforceable  are  d e t e r m i n e d by  the  document, t h e  any  e s t a b l i s h e d procedures t h a t govern the  forms of the business and  event  makes i t p o s s i b l e  document f o r a p a r t i c u l a r p u r p o s e .  documents, a f a c t  type of  i n the  persons involved  information  of  a draft is  persons involved  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  that the  authority  i s enforceable,  document e m b o d i e s , and  document's c r e a t i o n . a user  and  in  nature of the  document.  or personal)  contracts  For  the  fact(s) captured  example,  letters  signatures ledgers.  i n the are  document; b u t  r e l e v a n t to the  Assessment of the  d o c u m e n t s must t h e r e f o r e be  completeness of  122  basis  to  nor  accounting  completeness  the  sent,  action  neither addresses  done on  document.  t o be  require signatures  f o r m s and  and  (whether  require addresses i n order  ( d i s p o s i t i v e records)  of  i n i t , and  formation  i n d i c a t e t h a t b o t h p a r t i e s have a g r e e d t o t h e contained  purpose  of  of type  of  The p o i n t  t o keep  i n mind about c o m p l e t e n e s s  document g a i n s v a l u e n o t f r o m t h e f a c t but  from t h e f a c t t h a t  i t i s supposed  that  i s that a  i t i s complete,  t o be complete.  When  a t y p e o f document must b e p r e p a r e d a c c o r d i n g t o a n e s t a b l i s h e d p r o c e d u r e and i n a g i v e n  form, t h e u s e r  will  a l w a y s h a v e a r e c o r d o f some f a c t — e i t h e r  a record of the  event  or a record  the An  ( i f the right  forms a r e r e s p e c t e d ) ,  observer/record creator  ( i f t h e forms a r e i n c o m p l e t e ) .  i n c o m p l e t e document may h a v e a s much w e i g h t a s a c o m p l e t e  document, d e p e n d i n g on w h e t h e r the  recording  the  event r e f l e c t e d  or  false  activity,  t h e u s e r wants e v i d e n c e about  the record-creator,  i n t h e document.  t h e document, o r  Similarly,  Thus,  the archivist  need n o t examine e a c h  on t h a t  s h o u l d determine whether creation  procedure.  t o be u s e f u l  e v i d e n c e t h a n u n r e g u l a t e d documents a r e .  The r e s u l t  documents governed by p r o c e d u r e u s u a l l y have  as l e g a l i s that  greater  l e g a l value than those that a r e not so c o n t r o l l e d .  the record  evaluated  When  f o r a t y p e o f document, t h e i n d i v i d u a l  d o c u m e n t s o f t h a t t y p e a r e more l i k e l y  potential  he/she  t h e document i s o f a t y p e whose  i s governed by a w e l l - e s t a b l i s h e d  a form i s r e q u i r e d  basis.  individual  document f o r a c c u r a c y a n d c o m p l e t e n e s s ; r a t h e r ,  If  inaccurate  d o c u m e n t s may h a v e l e g a l v a l u e i f t h e y were u s e d a s  g e n u i n e documents and p r o d u c e d consequences  the  about  i s a case f i l e ,  a t two l e v e l s .  First,  t h e n c o m p l e t e n e s s must be  t h e a r c h i v i s t must  acts required t o accomplish the f i n a l  123  identify  a c t , a n d must  confirm  t h a t documentation o f those acts  procedure. subject  That i s , c r e a t i o n o f t h e case  t o established rules that  must a p p e a r i n t h e f i l e . intermediate for item  level  should  be  s p e c i f y what d o c u m e n t s  a c t , and o f t h e f i n a l  o f each  a c t , must b e  above.  appraised  Since.file  level or  a n a l y s i s i s time-consuming i f t h e a r c h i v i s t i s a l a r g e body o f c a s e f i l e s  sample o f t h e f i l e s  o r d o c u m e n t s , a random  o r documents c a n b e t a k e n a n d e x a m i n e d  form and completeness.  ascertain  file  Second, t h e r e c o r d s  completeness as d i s c u s s e d  faced with  for  i s r e g u l a t e d by  The a r c h i v i s t  should  be a b l e t o  from t h e sample whether c r e a t i o n o f t h e f i l e s o r  d o c u m e n t s was g o v e r n e d b y a p r o c e d u r e .  Generalizations  a b o u t t h e c o n d i t i o n o f t h e w h o l e body o f d o c u m e n t s c a n b e made f r o m t h e a n a l y s i s o f t h e s a m p l e . 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 a r e d i f f i c u l t  to categorize  t o one component o r t h e o t h e r . meet a d m i s s i b i l i t y  as belonging  exclusively  Elements t h a t help  documents  requirements a l s o strengthen t h e  e f f e c t i v e n e s s o f t h e documents a s e v i d e n c e o f t h e a c t i v i t i e s embodied according  i n them.  For instance,  t o procedure,  reliability  that w i l l  admissibility.  The r e c o r d s  designed t o a s s i s t  information  t h e y have an i n h e r e n t  be c o n s i d e r e d  adequate r e p r e s e n t a t i o n are  when r e c o r d s  are created guarantee o f  by any judge  are also likely  determining  t o be an  o f e v e n t s s i n c e p r o c e d u r e s and forms record-creators  about events.  capture  a l l relevant  B e c a u s e t h e two components a r e s o  124  related, will  and because t h e a r c h i v i s t  c a n n o t know what  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  particular archivist of  both  at  hand.  legal  case,  the best course  i s t o assess the o v e r a l l  t h e documentation process  lawyers,  and w e i g h t  i n any  of action f o r the  credibility  and  and t h e t y p e s  and j u r i e s w i t h i n t h e c o n t e x t  quality  o f documents  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 judges,  factors  b e done b y  of particular  cases. In c o n c l u s i o n , t h e d e c i s i o n t o preserve their  legal value  documents f o r  s h o u l d be b a s e d o n 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 .  Active dispositive  and  p r o b a t i v e r e c o r d s h a v e a c t u a l l e g a l v a l u e due t o t h e n a t u r e of  their  l i n k with  juridical  a c t s and, by d e f i n i t i o n ,  a l s o be complete and e n f o r c e a b l e .  Appraising legal  t h e r e f o r e r e q u i r e s knowledge o f t h e r i g h t s r e c o g n i z e d by t h e j u r i d i c a l were c r e a t e d .  their  process  records  and d u t i e s  system i n w h i c h t h e documents  Once t h e a r c h i v i s t h a s i d e n t i f i e d t h e r e c o r d s  t h a t document t h o s e assess  should  overall  rights  and d u t i e s , t h e a r c h i v i s t c a n  reliability  by a n a l y z i n g t h e f o r m a t i o n  and t h e forms o f t h e r e c o r d s .  A n o t h e r i s s u e t o examine i s t h e d u r a t i o n o f t h e l e g a l value.  Since  legal value  i s linked  to rights  t h e 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 legal  relation  the l i f e  t o which t h e r e c o r d s r e l a t e .  are p a r t o f short-term  and d u t i e s ,  c o n t r a c t s , and cease  span o f t h e  Some  records  t o have  v a l u e when t h e t e r m s o f t h e c o n t r a c t a r e s a t i s f i e d .  125  legal Others  have l o n g e r - t e r m v a l u e , company, w h i c h h a s exists.  as t h e c o n s t i t u t i o n  l e g a l v a l u e as  l o n g as t h e  However, s i n c e a l l r i g h t s must be  juridical rarely  such  person  or persons,  and  invested i n a  Some r i g h t s ,  title,  But  f o r a long time.  d e p e n d e n t on' a j u r i d i c a l such. can  The  important  justify  that value  question, then,  approached  lies  in this  chapter.  The  be  r e q u i r e d as  system a r e good c a n d i d a t e s  exist,  such  originally  as  archivists  legal value i f  ways.  First,  important  s h o u l d be  uses.  part of  preserved,  answer t o t h i s  legal  legal value  Documents w h i c h had  legal  are  actual  question  value.  i s a permanent v a l u e ,  legal  evidence  legal value  in a  at  or  any  juridical  for preservation for possible  Although  documents s t i l l  in  outlined  a l w a y s e x i s t s t h a t a c e r t a i n document  b o d y o f d o c u m e n t s may  future  second  of p o t e n t i a l  potential  for the p o s s i b i l i t y  time.  rights  (as a p p r o p r i a t e ) , f o r t h e r e a s o n s  i n the concept  Theoretically,  i n two  l e g a l v a l u e a r e an  a s o c i e t y ' s d o c u m e n t a r y h e r i t a g e and  earlier  i s whether  land  permanent.  d o c u m e n t s t h a t o n c e had  or i n part  as  s y s t e m t h a t r e c o g n i z e s them  T h i s q u e s t i o n c a n be  total  such  even t h e s e  p r e s e r v i n g documents f o r t h e i r i s not  persons  t o ask whether documents  e v e r have permanent l e g a l v a l u e . exist  a  company  since j u r i d i c a l  endure f o r e v e r , i t i s f a i r  do  of  their  l e g a l v a l u e has  ceased  r e t a i n the c h a r a c t e r i s t i c s  g a v e them r e l i a b i l i t y  and  authority.  c h a r a c t e r i s t i c s .will c o n t r i b u t e to the value of  126  These the  to  that  documents a s l e g a l litigation the  registration  o f a marriage ends  ceases  F o r example,  t o have l e g a l  A descendent s e v e r a l  t h o u g h , may n e e d p r o o f  o f the marriage  c l a i m a n 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 marriage proof  r e g i s t r a t i o n would p r o b a b l y  i n this  value  ( e i t h e r by d i v o r c e o r upon t h e d e a t h  one o f t h e p a r t n e r s ) .  later,  s h o u l d t h e y be r e q u i r e d f o r  or investigations i n the future.  when t h e m a r r i a g e of  evidence  situation,  generations i n order t o  lineage.  be a c c e p t e d  The  as adequate  and would g a i n l e g a l v a l u e  f o r the  descendent. With respect t o the d u r a t i o n o f l e g a l value, legal  r e c o r d s must b e p r e s e r v e d  legal value. rights  That  i s , t h e y must b e p r e s e r v e d  o r d u t i e s t o which they  Once t h o s e  rights  r e l a t e remain  o r d u t i e s cease  s h o u l d be a p p r a i s e d appraisal  as l o n g as they  to exist,  fortheir potential  of potential  then,  have a c t u a l  as l o n g as t h e effective.  the records  legal  value.  This  l e g a l value could occur during a  reappraisal  o f t h e 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  during  the  appraisal;  must  be  initial  the archivist  aware t h a t most r e c o r d s do n o t h a v e a c t u a l l e g a l  forever, to  In e i t h e r case,  a n d some t h o u g h t  t h e r e c o r d s when t h e i r  must b e g i v e n t o what w i l l  value happen  actual legal value i s  extinguished. Retention largely  o f documents w i t h p o t e n t i a l  determined  legal value i s  by t h e s t r e n g t h o f t h e s e c o n d and t h i r d  components o f l e g a l v a l u e  (i.e., 127  admissibility  and w e i g h t ) .  S i n c e documents w i t h p o t e n t i a l affect  rights  and d u t i e s , t h e i r  u s e f u l n e s s as evidence  t o be a d m i t t e d  l a c k b a s i c guarantees  hearsay,  then  l e g a l worth depends on t h e i r  i n an i n q u i r y o r t r i a l .  documents a r e n o t l i k e l y they  l e g a l v a l u e do n o t d i r e c t l y  resources  t o court because  of trustworthiness, or contain  t h e i r v a l u e as l e g a l  Because a r c h i v a l  evidence  are scarce, there  i n p r e s e r v i n g documents t h a t h a v e p o t e n t i a l according t o the f i r s t  component,  terms o f t h e remaining  two components.  documents have p o t e n t i a l the necessary  preservation  f o rpotential  value  In contrast, i f  legal  by  avoid being  some r i s k  tempted t o p r e s e r v e legal value.  Selection  must b e w i l l i n g t o  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  i s not possible t o preserve some w i l l  the archivist  t h a t c o u l d have been  future investigation.  c a n do i s t o i d e n t i f y  current legal value  have t h e s t r o n g e s t p o t e n t i a l  value.  a l l documents a n d ,  be d e s t r o y e d  t o an u n f o r e s e e a b l e  documents w i t h  their  uses.  d e c i s i o n s must b e made, a n d t h e a r c h i v i s t  that  point  but a r e inadequate i n  e v e r y t h i n g on t h e b a s i s o f p o t e n t i a l  useful  legal  have s u f f i c i e n t v a l u e t o w a r r a n t  A r c h i v i s t s must  inevitably,  is little  e l e m e n t s 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 they  It  decreases.  l e g a l value t h a t i s supported  weight, then  accept  I fthe  The b e s t  and p r e s e r v e  and t h o s e  those  t h a t seem t o  l e g a l v a l u e , b a s e d on a n  a s s e s s m e n t o f a l l t h r e e components  of legal  value.  128  0  Finally, documents  warrant preservation  l e g a l value, of  once t h e a r c h i v i s t has d e t e r m i n e d t h a t  he/she then has a duty t o p r o t e c t  t h e documents  careless  for their actual  so t h a t  processing,  t h e i r value  preservation,  129  or potential the i n t e g r i t y  i s not impaired  or access  certain  by  provisions.  CONCLUSION c  Legal value an  important  written  appraisal criterion,  legal value  t h e d u r a t i o n and questions  value  in archival but  little  literature  has  a b o u t what c o n s t i t u t e s l e g a l v a l u e , how  recognizes  concept  i s usually listed  i n documents, o r how  strength of that value.  i n mind, t h i s t h e s i s  of legal value  c a n be  determines these  s e t out t o i n v e s t i g a t e the  i n documents and  a p p r a i s e d by  archivists.  t o c o n s i d e r how In t h i s  definition  of l e g a l  guidelines  f o r a p p r a i s a l were s u g g e s t e d .  this  investigation will  important  aspect  Since archival  little  and  a  some  I t i s hoped t h a t  prompt f u r t h e r i n q u i r i e s  into  has  been w r i t t e n about l e g a l v a l u e this  thesis explored  the  The  relationship  study  s t a r t e d by  analyzing the  that  (2) t h e  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  connection  r e c o r d them.  between e v e n t s  I t was  and  seen t h a t t h e r e  r e l a t i o n s h i p b e t w e e n documents and  130  events.  the is a  of  and  document-  t h e r o l e t h a t documents p l a y i n t h e d e v e l o p m e n t o f and  i n the  literatures  r e c o r d s management, j u r i s p r u d e n c e , law,  diplomatics.  this  appraisal.  literature,  sociology,  event  of  proposed,  that  process,  t h r e e components o f l e g a l v a l u e were i d e n t i f i e d , r e c o r d s was  been one  one  With  as  of  (1)  events,  instruments reciprocal  Documents embody  events,  e n a b l i n g them t o s u r v i v e b e y o n d t h e p r e s e n t , a n d  m a k i n g them type  accessible to society.  o f event  influencing  determines  the values  In p a r t i c u l a r , or  irrevelant  document's relevant  On t h e o t h e r h a n d , t h e  the nature  o f t h e document,  i t has f o r s o c i e t y .  whether an event  i s juridically  i s one o f t h e d e t e r m i n i n g  legal value.  events—ones  Documents  factors  related  directly  to juridically  i n which t h e s o c i e t y ' s l e g a l  significance, protecting event.  the rights  events  t h e documents  They a r e legal  that are not related  affected  by t h e  to juridically  do n o t h a v e l e g a l v a l u e on t h e i r i f circumstances  own.  They  change such  a c q u i r e some c o n n e c t i o n w i t h a  that  juridically  event.  The f i r s t  component  of legal value  o f a r e l a t i o n s h i p b e t w e e n a document Once t h i s  i s thus t h e presence  and a j u r i d i c a l  r e l a t i o n s h i p has been i d e n t i f i e d ,  l e g a l v a l u e c a n be c l a s s i f i e d relationship  i s direct  directly  linked  of t h e i r  creation  value.  with  or i n t e r e s t s of those  only gain legal value  relevant  t o an event  system  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  Documents  relevant will  or indirectly,  relevant  of a  h a s a n i n t e r e s t — h a v e some d e g r e e o f l e g a l v a l u e . linked,  thereby  That  to a juridical  Documents  event,  o r by c i r c u m s t a n c e s ,  u s i n g t h e documents  t h e document's  a c c o r d i n g t o whether t h e  or indirect.  i s , the legal  event.  that are  e i t h e r by t h e n a t u r e have a c t u a l  system i s d i r e c t l y  legal  interested i n  t o a s c e r t a i n t h e f a c t s t h a t i t needs.  131  Probably  t h e most i m p o r t a n t  documents i s t h e c l a s s records"—those evidence  in this thesis  as  as  rights  and  duties.  t o t h e e n f o r c e m e n t and  l o n g as t h e event  legal  value  t o which they  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 a r e  interested  i n which the l e g a l  i n t h e documents.  legal value  i n the r i g h t  legal  to  potential  circumstances  have p o t e n t i a l  related  e v e n t may  value.  s y s t e m may  While  any  circumstances,  become i n v o l v e d i n p r e d i c t i n g  are  the  legal value  i n an u n u s u a l  the narrow d e f i n i t i o n and  accept  case.  document c a n archivists can  identify  preserved. and  value  for their  legal  value.  The  cannot they  acquire  A r c h i v i s t s must work w i t h legal value  proposed  i n an u n f o r e s e e a b l e  best that a r c h i v i s t s  situation  c a n do  p r e s e r v e t h o s e documents w i t h a c t u a l society,  and  gain  I t i s i n e v i t a b l e t h a t some  d o c u m e n t s t h a t c o u l d be u s e f u l n o t be  foreseeable  become  f u t u r e , nor  of p o t e n t i a l  some r i s k .  a  However,  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  to  These  protection of  juridical  will  modify,  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 a r e o n l y i n d i r e c t l y  here,  "legal  or are w r i t t e n  A l l documents w i t h a c t u a l  preserved  these  that create, transfer,  or extinguish l e g a l  society's rights.  related  of  records t h a t e i t h e r execute,  records are necessary  s h o u l d be  most u s e f u l  identified  of, a c t s or events  maintain,  and  those with  132  strong  is  legal  potential  To d e t e r m i n e  t h e s t r e n g t h o f a document's  potential  l e g a l v a l u e , t h e a r c h i v i s t must c o n s i d e r t h e s e c o n d third use  components  o f documents a s l e g a l  admissibility, judge  i s based  evidence.  The second  to the  component,  on t h e r u l e s o f e v i d e n c e  that a  u s e s t o d e c i d e w h e t h e r t o r e c e i v e a document a s  evidence  i n a p a r t i c u l a r case.  admissibility particular of  o f l e g a l value, which a r e r e l a t e d  and  While  some a s p e c t s o f  a r e i n f l u e n c e d by t h e c i r c u m s t a n c e s  case,  of the  others are associated with the r e l i a b i l i t y  t h e documents.  This r e l i a b i l i t y  d e r i v e s from t h e  t r u s t w o r t h i n e s s o f t h e documents' f o r m a t i o n p r o c e s s i n h e r e n t documentary The t h i r d  evidence.  the t r i e r  weight  Rather,  circumstances  characteristics.  component  admissibility,  and from  of legal value  i s weight.  Unlike  i s n o t g o v e r n e d by any f o r m a l r u l e s o f  i t d e p e n d s on t h e document, t h e  o f t h e case,  of fact.  and t h e i n f o r m a t i o n a l n e e d s o f  Nevertheless,  some p o r t i o n o f a  document's w e i g h t 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 a s a representation of facts. document  i s composed  enforceability,  and  This evidential  of indications of  quality  reliability,  completeness.  When documents h a v e a l l t h r e e components value,  t h e y have s t r o n g l e g a l v a l u e  potential),  of the  a n d must b e p r e s e r v e d  more o f t h e components  of legal  (whether a c t u a l o r  f o rthat value.  I f one o r  i s m i s s i n g , o r i s weak, t h e n t h e  133  legal value  i s weakened, and  preservation  for i t s legal  Appraising can  only  be  knowledge. the  Rather,  many v a l u e s  evaluated  and  not  those with h i g h l y  legal value  should  be  specialized viewed as  h a v e , and  appraisal process.  For  instance,  methods o f  the  "appraisal requires  the  records  and  other.  The  reading  administrative  r e l a t i o n s h i p s of  a r c h i v i s t may  acquire  histories,  regulations  procedures that  i n the  reports,  procedures,  a l s o needed f o r the  and  archivist  of  to  each by  and  operations,  and  inspecting  flow-charting  records."  functioning, relevant  identify  with  competency  manuals,  creation of  a g e n c y ' s s t r u c t u r e and  records-creation  This  1  of i t s  legislation is  legal  records  and  value. Another element of a p p r a i s a l  documentary h e r i t a g e  p i c t u r e of and  and  a  statutes  governing o f f i c e  published  result  special  reviewing  organizational charts  b u d g e t d o c u m e n t s and  the  this  is SAA  agency o f o r i g i n  legal  the  the  and  study of the  of be  Much o f  history, objectives,  the  one  i t should  f a m i l i a r i t y with the  studying  that  a n a l y s i s needed t o d e t e r m i n e l e g a l v a l u e  appraisal states that  administrative  warrant  a mysterious process  normal c o u r s e o f a p p r a i s a l .  f u n d a m e n t a l t o any m a n u a l on  i s not  t h a t documents may  i n the  information  document may  value.  legal value  p e r f o r m e d by  the  age.  s o c i e t y as The  that  is impartiality.  i s preserved  must p r e s e n t  i t s people experienced  a r c h i v i s t must be  134  That i s ,  aware o f t h e  i t in their culture  and  a day  prevailing values  of the society,  h i m / h e r s e l f t o be g u i d e d  and s h o u l d  allow  by t h e s o c i e t y ' s v a l u e  system.  Once a g a i n ,  this  legal value  since i tassists  what r i g h t s  a n d d u t i e s were r e c o g n i z e d b y t h e s o c i e t y ' s  juridical that  approach i s a p p l i c a b l e t o t h e a p p r a i s a l o f  system.  rights  t h e concept  analysis  o f completeness, Although  i t h a s much t o o f f e r  documents.  2  f o rthe protection of  such  a s elements o f forms  require a diplomatic such  an a n a l y s i s has n o t  been a p a r t o f t h e a p p r a i s a l p r o c e s s  identification,  should  of legal value,  o f documents.  traditionally America,  were i m p o r t a n t  appraisal,  the archivist  i n the  A c q u i r i n g k n o w l e d g e a b o u t d i p l o m a t i c methods requirement f o r  l e g a l v a l u e , b u t a s an o p p o r t u n i t y t o expand t h e  archivist's formation  i n North  arrangement, and d e s c r i p t i o n o f  t h e r e f o r e n o t be seen a s a s p e c i a l  appraising  t h e documents  and d u t i e s .  Some a s p e c t s and  i n determining  I t also helps t o i d e n t i f y  s o c i e t y thought  those  the archivist  understanding  and essence  o f , and a p p r e c i a t i o n f o r , t h e  o f documents.  I n a s o c i e t y g o v e r n e d by law i n a l l i t s a s p e c t s , and absorbed  b y t h e u s e s and v a l u e s o f r e c o r d e d  identifying indirectly  information,  a n d 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 affect  responsibility.  rights  and d u t i e s i s an i m p o r t a n t  social  As "keepers o f t h e r e c o r d , " a r c h i v i s t s  a p r o f e s s i o n a l and e t h i c a l heritage that w i l l  duty  t o preserve  a documentary  help t o protect society, i t s  135  have  institutions, value  i t s c i t i z e n s , and  i s therefore a central  i t s heirs.  part  process.  136  of  any  Appraising  archival  legal  appraisal  NOTES  INTRODUCTION  1. P h i l i p C. Brooks, P u b l i c Records Management, p. 1, quoted i n Purnendu Basu, A r c h i v e s and Records: What Are They? (New D e l h i : N a t i o n a l A r c h i v e s of I n d i a , 1960), 25. 2. K. D. Madan, "Governmental Records 'Explosion'—How t o C o n t a i n I t , " I n d i a n A r c h i v e s 29 (July-Dec. 1980): 7. 3. Great B r i t a i n . P u b l i c Record O f f i c e , P r i n c i p l e s Governing t h e E l i m i n a t i o n o f Ephemeral o r Unimportant Documents i n P u b l i c o r P r i v a t e A r c h i v e s (London, n.d.), 1, quoted i n T. R. S c h e l l e n b e r g , The A p p r a i s a l o f Modern P u b l i c Records. B u l l e t i n o f the N a t i o n a l A r c h i v e s , No. 8 (Wash., D.C.: 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 , 1 9 5 6 ) , 5 . 4. Colloquium g i v e n by Jacques Grimard a t the School o f L i b r a r y , A r c h i v a l , and I n f o r m a t i o n S t u d i e s , U n i v e r s i t y o f B r i t i s h Columbia, 13 March 1990. 5. Hans Booms, " S o c i e t y and t h e Formation o f a Documentary Heritage: I s s u e s i n the A p p r a i s a l o f A r c h i v a l Sources," ed. and t r a n s . Hermina Joldersma and R i c h a r d Klumpenhouwer, A r c h i v a r i a 24 (Summer 1987), 77. 6. Frank B. Evans, Donald F. H a r r i s o n , and Edwin A. Thompson, comps., "A B a s i c G l o s s a r y f o r A r c h i v i s t s , M a n u s c r i p t C u r a t o r s , and Records Managers," American A r c h i v i s t 37 ( J u l y 1974): s.v. " a p p r a i s a l , " 417. 7. Maynard J . B r i c h f o r d , A r c h i v e s and M a n u s c r i p t s : A p p r a i s a l and A c c e s s i o n i n g , B a s i c Manual S e r i e s (Chicago: S o c i e t y o f American A r c h i v i s t s , 1977), 4. 8. P a t r i c i a E. Wallace e t a l . , Records Management: I n t e g r a t e d I n f o r m a t i o n Systems. 2d ed. (New York: John Wiley & Sons, 1987), 87. 9.  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. 6.  10. H i l a r y J e n k i n s o n , A Manual o f A r c h i v e A d m i n i s t r a t i o n , 2d ed. (London: Percy Lund, Humphries & Co. L t d . , 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 T e c h n i q u e s ( C h i c a g o : U n i v e r s i t y o f C h i c a g o P r e s s , 1 9 5 6 ) , 16, 133; 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 R e c o r d s , p. 6. 12. F e l i x H u l l , "The A p p r a i s a l o f D o c u m e n t s — P r o b l e m s and P i t f a l l s , " J o u r n a l o f t h e 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 f a v o u r t o t h e n e e d s o f any t y p e o f document u s e r — i s an important f a c t o r only i n democratic c o u n t r i e s . 14.  Booms, " S o c i e t y and  15.  Ibid.,  Documentary H e r i t a g e , "  101-02.  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 o f 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, t h e s e r e a s o n s a r e o u t s i d e t h e r e a l m o f t h i s thesis. 17. The v i e w t h a t a r c h i v i s t s h a v e a r e s p o n s i b i l i t y t o p r o t e c t t h e n e e d s and i n t e r e s t s o f s o c i e t y was u p h e l d by a d e c i s i o n o f t h e U n i t e d S t a t e s D i s t r i c t C o u r t i n 1979. In the c a s e A m e r i c a n 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 o f 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 s t o p t h e d e s t r u c t i o n o f F e d e r a l B u r e a u o f 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 c h a r g e d t h e 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 t h e FBI, t h e N a t i o n a l A r c h i v e s and R e c o r d s S e r v i c e , t h e 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 m a s s i v e s c a l e u n i q u e , irreplaceable h i s t o r i c a l records of great l e g a l , research, s c h o l a r l y , and o t h e r v a l u e . " The j u d g e i n t h e c a s e r u l e d i n f a v o u r o f t h e p l a i n t i f f s , a s d i d a U.S. D i s t r i c t C o u r t o f A p p e a l s j u d g e , who s t a t e d t h a t : "We do n o t d i s a g r e e w i t h t h e g o v e r n m e n t ' s g e n e r a l p o i n t t h a t t h e FBI may satisfactorily summarize s u c h i n v e s t i g a t i v e d a t a . But t h e summaries n e e d t o a c c o u n t i n some r e a s o n a b l e 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 t h e r i g h t s o f 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 t h e FBI's immediate, o p e r a t i o n a l needs." ( S u s a n D. S t e i n w a l l , " A p p r a i s a l and t h e FBI F i l e s C a s e : F o r Whom Do A r c h i v i s t s R e t a i n R e c o r d s ? " A m e r i c a n A r c h i v i s t 49 ( W i n t e r 1 9 8 6 ) : 52-63.) 18. Canadian A r c h i v e s . R e p o r t t o t h e S o c i a l S c i e n c e s and H u m a n i t i e s R e s e a r c h C o u n c i l o f Canada by t h e C o n s u l t a t i v e G r o u p on C a n a d i a n A r c h i v e s ( O t t a w a : S o c i a l S c i e n c e s and H u m a n i t i e s R e s e a r c h C o u n c i l o f Canada, 1 9 8 0 ) , 6. 19. C o u t u r e , C a r o l , and J e a n - Y v e s R o u s s e a u , The L i f e o f a Document. A G l o b a l A p p r o a c h t o A r c h i v e s and R e c o r d s Management, t r a n s . D a v i d Homel ( M o n t r e a l : V e h i c u l e P r e s s , 1 9 8 7 ) , 140. 138  20. M a r g a r e t C r o s s N o r t o n , "Some L e g a l A s p e c t s A r c h i v e s , " A m e r i c a n A r c h i v i s t 8 ( J a n u a r y 1 9 4 5 ) : 5.  of  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 U n i v e r s i t y , " A m e r i c a n A r c h i v i s t 51 (Summer 1 9 8 8 ) : 248.  in  the  22. R o n a l d D w o r k i n , Law's E m p i r e ( C a m b r i d g e : H a r v a r d U n i v e r s i t y P r e s s , 1986), v i i , quoted i n Eastwood, " N u r t u r i n g Archival Education," 248. 23. Luciana Duranti, "Diplomatics: New U s e s f o r an O l d S c i e n c e , " A r c h i v a r i a 28 (Summer 1 9 8 9 ) : 17. Hereinafter referred to as " D i p l o m a t i c s ( P a r t I ) . " 24. A m e r i c a n a r c h i v i s t C l a r k E l l i o t t , who h a s i n v e s t i g a t e d t h e " f u n c t i o n a l r e l a t i o n s h i p o f documents t o h i s t o r i c a l e v e n t s , " 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 a d e q u a t e g r o u n d i n g i n t h e atomic l e v e l o f the s u b j e c t o f document-event r e l a t i o n s . " ( C l a r k A. E l l i o t t , " C o m m u n i c a t i o n and E v e n t s i n H i s t o r y : Toward a T h e o r y f o r D o c u m e n t i n g t h e P a s t , " A m e r i c a n 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 h a s d e f i n e d a document a s " r e c o r d e d i n f o r m a t i o n r e g a r d l e s s o f medium o r c h a r a c t e r i s t i c s " ( E v a n s e t a l . , " G l o s s a r y , " s . v . "document," 4 2 1 ) . 2. in  Ibid.,  s.v.  "record,"  428.  3. Eugenio Casanova, A r c h i v i s t i c a 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,  (Siena,  1928),  19,  quoted  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 R e c o r d s o f V i s u a l Artists: 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 " ( M a s t e r o f 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), 21. 6. U n i t e d N a t i o n s A d v i s o r y Committee f o r t h e C o - o r d i n a t i o n o f I n f o r m a t i o n S y s t e m s , T e c h n i c a l P a n e l on E l e c t r o n i c R e c o r d Management (TP/REM), E l e c t r o n i c R e c o r d s G u i d e l i n e s : A Manual f o r P o l i c y D e v e l o p m e n t and I m p l e m e n t a t i o n ( F i f t h S e s s i o n o f ACCIS, 18—21 S e p t e m b e r 1 9 8 9 ) , 9. H e r e i n a f t e r r e f e r r e d t o a s ACCIS, E l e c t r o n i c Records G u i d e l i n e s . 7.  Ibid.,  10. 139  8. Science  Luciana Duranti, "Diplomatics: New U s e s f o r an ( P a r t I I ) , " A r c h i v a r i a 29 ( W i n t e r 1 9 8 9 - 9 0 ) , 12.  Old  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 t h e law a s c a p a b l e 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 c a p a b l e , 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 o f p e r s o n s . E x a m p l e s may i n c l u d e " t h e S t a t e , " " t h e B u r e a u o f C r i m i n a l Investigation, t h e P r e s i d e n t o f t h e 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 n o t e t h a t one c a n h a v e c o m m u n i c a t i o n between p h y s i c a l p e r s o n s o r between j u r i d i c a l p e r s o n s , b u t n o t b e t w e e n a p h y s i c a l p e r s o n and a j u r i d i c a l p e r s o n , b e c a u s e , when d e a l i n g w i t h a j u r i d i c a l p e r s o n , t h e p h y s i c a l p e r s o n assumes a j u r i d i c a l r o l e too. 1 1  10. ACCIS, E l e c t r o n i c R e c o r d s G u i d e l i n e s . 10. N o t e t h a t r e c o r d e d i n f o r m a t i o n may n o t meet t h e 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 . It is s t i l l a document. t h o u g h , and may i n d e e d be a s i g n i f i c a n t document. 11. L u c i a n a D u r a n t i , "The O d y s s e y o f R e c o r d s M a n a g e r s . Part I: From t h e Dawn o f C i v i l i z a t i o n t o t h e F a l l o f t h e Roman E m p i r e , " R e c o r d s Management Q u a r t e r l y 23 ( J u l y 1 9 8 9 ) : 3; E r n s t P o s n e r , A r c h i v e s i n t h e A n c i e n t W o r l d (Cambridge, Mass.: H a r v a r d U n i v e r s i t y P r e s s , 1 9 7 2 ) , 94; M. T. C l a n c h y , " ' T e n a c i o u s L e t t e r s ' : A r c h i v e s and Memory i n t h e M i d d l e A g e s , " A r c h i v a r i a 11 (Winter 1 9 8 0 - 8 1 ) : 115; C l a n c h y , From Memory t o W r i t t e n R e c o r d . E n g l a n d . 1066-1307 ( C a m b r i d g e , Mass.: H a r v a r d U n i v e r s i t y P r e s s , 1 9 7 9 ) , 56, 232. 12. D u r a n t i , " O d y s s e y , " 3-5, 8; P o s n e r , A r c h i v e s i n t h e A n c i e n t W o r l d . 23-79; O l i v e r W. Holmes, " H i s t o r y and T h e o r y o f 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. S t e v e n s (Champaign, 111., 1 9 6 5 ) , 5-6; D e n i s e S c h m a n d t - B e s s e r a t , "From A c c o u n t i n g t o W r i t t e n L a n g u a g e : The R o l e o f A b s t r a c t C o u n t i n g i n t h e I n v e n t i o n o f 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 C o m m u n i c a t i o n , e d . B e n n e t t A. R a f o r t h and D o n a l d L. R u b i n (Norwood, N . J . : A b l e x P u b l i s h i n g C o r p o r a t i o n , 1 9 8 8 ) , 119130. 13.  Posner, A r c h i v e s  14.  Duranti,  i n the A n c i e n t World,  "Diplomatics,  3-4.  ( P a r t I I ) , " 10.  15. H e n r y C a m p b e l l B l a c k , 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 t h e Terms and P h r a s e s o f A m e r i c a n 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, 4 t h e d . , r e v . ( S t . P a u l , M i n n . : West P u b l i s h i n g Co., 1 9 6 8 ) , s.v " f a c t " . Hereinafter r e f e r r e d t o a s 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 . " e v e n t " ; F r e d e r i c k P o l l o c k , A F i r s t Book o f J u r i s p r u d e n c e f o r S t u d e n t s o f t h e Common Law, 4 t h e d . (London: M a c m i l l a n a n d 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 o f J u r i s p r u d e n c e , 147; J o h n Salmond, J u r i s p r u d e n c e . 7 t h e d . (London: Sweet a n d M a x w e l l , L t d . , 1924), 381-383, 393. 19. Stanley R a f f e l , Matters of Fact: A S o c i o l o g i c a l I n g u l r v ( L o n d o n : R o u t l e d g e a n d Kegan P a u l , 1979), 51. A similar a r g u m e n t i s f o u n d i n G e o r g e H. K e n d a l , F a c t s ( T o r o n t o : B u t t e r w o r t h a n d Company, 1980), 69, 72. 20.  Raffel,  M a t t e r s o f F a c t . 10, 19.  21.  Ibid.,  41-43.  22.  Ibid.,  55-67,  23.  Ibid.,  79, 84-87.  24.  Ibid.,  102-106; D u r a n t i , " D i p l o m a t i c s ( P a r t  27-28.  I I ) , " 11.  25. A s i m i l a r p a t t e r n o f t h o u g h t and r e c o r d d e v e l o p m e n t i s d e s c r i b e d i n Denise Schmandt-Besserat's study o f the invention of w r i t i n g i n S u m e r i a ("From A c c o u n t i n g t o W r i t t e n L a n g u a g e , " 119130) . 26. C l a n c h y , From Memory t o W r i t t e n R e c o r d . 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 l a n g u a g e o f memory w h i c h t h e y e x p r e s s e d h a d 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,  28.  Ibid.,  From Memory t o W r i t t e n R e c o r d .  21-24.  203.  29. I b i d . , 205-207; C l a n c h y , ' " T e n a c i o u s L e t t e r s , " * 123; Hugh T a y l o r , "'My V e r y A c t and Deed': Some R e f l e c t i o n s on t h e R o l e o f T e x t u a l Records i n t h e 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 1 9 8 8 ) : 459. 30. C l a n c h y , From Memory t o W r i t t e n R e c o r d . 245; C l a n c h y , " ' T e n a c i o u s L e t t e r s , ' " 118. 31.  Taylor,  "'My  32.  For a d e f i n i t i o n  36,  207-208,  V e r y A c t and Deed,'" 459. of j u r i d i c a l  141  persons,  see note  10.  33. Duranti, "Diplomatics (Part I I ) , " 5-7; Thomas E r s k i n e H o l l a n d , The E l e m e n t s o f J u r i s p r u d e n c e , 1 3 t h e d . ( O x f o r d : C l a r e n d o n P r e s s , 1 9 2 4 ) , 360; P a u l V i n o g r a d o f f , Common S e n s e i n Law. 3d e d . , r e v . and e d . H. G. Hanbury (1913: L o n d o n : O x f o r d U n i v e r s i t y P r e s s , 1 9 5 9 ) , 63, 74. 34. A j u r i d i c a l s y s t e m 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 t h e b a s i s of a system of r u l e s . The s y s t e m o f r u l e s i s c a l l e d a l e g a l system." (Duranti, "Diplomatics [Part I I ] , " 5). In other words, a j u r i d i c a l s y s t e m i s c o m p r i s e d o f b o t h a s o c i a l g r o u p and a l e g a l system. 35. George W h i t e c r o s s Paton, A Text-book o f J u r i s p r u d e n c e . 2d e d . ( O x f o r d : C l a r e n d o n P r e s s , 1 9 5 1 ) , 218-219, 241; Salmond, J u r i s p r u d e n c e . 59, 237, 241-242, 357.  in  36.  Duranti,  37.  Ibid.,  "Diplomatics  (Part  II),"  7.  7-8.  38. T h i s d i s t i n c t i o n i s p r o p o s e d and d e v e l o p e d by "Diplomatics (Part I I ) , " 9.  Duranti  39. I n d e e d , t h e 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 act i n w h i c h more t h a n one p e r s o n i s c o n c e r n e d , and by w h i c h t h e l e g a l r e l a t i o n s o f s u c h p e r s o n s between t h e m s e l v e s a r e a l t e r e d . " ( B l a c k ' 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. K a t e s , "The Osgoode Society: P r e s e r v a t i o n o f L e g a l R e c o r d s , " Law S o c i e t y o f U p p e r Canada G a z e t t e 21 (March 1 9 8 7 ) : 58-70; C a t h y J . S h e p a r d , " C o u r t a n d L e g a l R e c o r d s a t t h e A r c h i v e s o f O n t a r i o , " A r c h i v a r i a 24 (Summer 1 9 8 7 ) : 117-120; B a r b a r a E . C o r r i g a n e t a l . , G u i d e t o t h e Management o f L e g a l R e c o r d s ( P r a i r i e V i l l a g e , K a n s a s : A s s o c i a t i o n o f R e c o r d s M a n a g e r s and A d m i n i s t r a t o r s , 1 9 8 7 ) . o  41. I n E d w i n A. Thompson's A G l o s s a r y o f A m e r i c a n H i s t o r i c a l a n d L i t e r a r y M a n u s c r i p t Terms, l e g a l d o c u m e n t s a r e d e f i n e d a s "documents o f o r p e r t a i n i n g t o t h e law, a r i s i n g o u t o f o r by v i r t u e o f t h e law, o r i n c l u d e d i n , b a s e d upon, o r g o v e r n e d by t h e 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 d o c u m e n t s w h i c h i s t h e same, o r c l o s e l y r e l a t e d t o , t h e d e f i n i t i o n of l e g a l records proposed i n t h i s t h e s i s . The m o s t u s e f u l p a r t o f 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 o f l e g a l documents i n t h e 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, a p p e a l , 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, b e q u e s t , b r i e f , b y l a w , c a s e , c a s e 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 papers/records, claim, c o d i c i l , complaint, constitution, contract, corporation records, court-martial order, c o u r t - m a r t i a l record, court order, court records, d e c i s i o n , d e c r e e , 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 , d o c k e t , engrossed b i l l , enroled b i l l , e x h i b i t , guardianship papers, h o m e s t e a d and p r e e m p t i o n 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 , j u d g m e n t , j u d g m e n t book, l a n d s c r i p , l a n d w a r r a n t , 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 o f 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 rogatory, 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, m o r t g a g e bond, m o r t g a g e d e e d , m o r t g a g e l o a n , m o r t g a g e n o t e , 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 , n u n c u p a t i v e w i l l , o p i n i o n , o r d e r , o r d e r o f t h e 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 , p a t e n t , 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, seal, sentence, ship's papers, testimony, t i t l e , t r a n s f e r , t r e a t y , w a r r a n t s , 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 . ( E d w i n A. Thompson, A G l o s s a r y o f A m e r i c a n H i s t o r i c a l and L i t e r a r y M a n u s c r i p t Terms [ W a s h i n g t o n : P r i v a t e l y P r i n t e d , 1 9 6 5 ] , q u o t e d i n C o u t u r e and R o u s s e a u , L i f e o f a Document. 279.)  CHAPTER TWO: and  COMPONENTS OF  1. The o t h e r v a l u e s informational.  2. Archival  LEGAL VALUE  are  administrative, f i s c a l ,  I n t e r n a t i o n a l Council of Archives, T e r m i n o l o g y , s.v. " l e g a l v a l u e . "  evidential,  Dictionary  of  3. W i l m e r 0. Maedke, Mary J . Robek, and G e r a l d F. Brown, I n f o r m a t i o n and R e c o r d s Management. 2d ed. ( E n c i n o , C a l i f o r n i a : G l e n c o e P u b l i s h i n g Co., 1 9 8 1 ) , 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 d o c u m e n t s w h i c h do n o t c u r r e n t l y have e x t a n t 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 . Potential 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 t h e c o n c e p t o f documents a c q u i r i n g l e g a l value over time i n t h a t p o t e n t i a l l e g a l value d e p e n d s on t h e e x i s t e n c e o f 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 w i l l a f f e c t t h e l e g a l s t a t u s o f t h e documents. A l m o s t 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 circumstances, but when t h e c i r c u m s t a n c e s a r e n o t f o r e s e e a b l e o r p r e d i c t a b l e , t h e y do n o 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 . These concepts are developed l a t e r i n the chapter. 5.  Pollock, F i r s t  Book o f J u r i s p r u d e n c e , 143  141-142.  6. R. A. Brown, Documentary E v i d e n c e i n A u s t r a l i a ( A g i n c o u r t , 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 , E v i d e n c e and P r o c e d u r e i n t h e A d m i n i s t r a t i o n o f J u s t i c e (New Y o r k : J o h n W i l e y and S o n s , I n c . , 1975), 6; J o s e p h D. S c h l o s s , E v i d e n c e and I t s L e g a l A s p e c t s (Columbus, O h i o : 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  Dictionary,  s.v.  "evidence."  8. J o h n H e n r y Wigmore, A T r e a t i s e on t h e A n g l o - A m e r i c a n S y s t e m o f E v i d e n c e i n T r i a l s a t Common Law. 3d e d . ( B o s t o n : 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 . " p r o o f " ; Salmond, J u r i s p r u d e n c e . 499; K a t s a r i s , E v i d e n c e and P r o c e d u r e . 7, Wigmore, T r e a t i s e on E v i d e n c e . 1:1, 411. 10.  B l a c k ' s Law  Dictionary,  s.v.  32;  "evidence"; K a t s a r i s ,  207.  11. T h a y e r , P r e l i m i n a r y T r e a t i s e on E v i d e n c e . 16; Wigmore, T r e a t i s e on E v i d e n c e . 1:235; J o h n Salmond, E s s a y s 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: S t e v e n s and H a y n e s , 1891; L i t t l e t o n , C o l o r a d o : F r e d B. Rothman and Co., 1 9 8 7 ) , 18-20. 12.  Thayer,  Preliminary Treatise  13. I b i d . , 50, 1:235-240; K a t s a r i s ,  on E v i d e n c e .  17.  100, 139-140; Wigmore, T r e a t i s e on Evidence and'Procedure 3-4.  Evidence,  f  14. Brown, D o c u m e n t a r y E v i d e n c e i n A u s t r a l i a . 1-2; Donald S. S k u p s k y , " A d m i s s i b i l i t y o f O r i g i n a l R e c o r d s i n E v i d e n c e , " R e c o r d s Management Q u a r t e r l y 20 ( A p r i l 1 9 8 6 ) : 48; T h a y e r , P r e l i m i n a r y T r e a t i s e on E v i d e n c e . 107. 15. K a t s a r i s , E v i d e n c e and P r o c e d u r e . 26; Brown, D o c u m e n t a r y E v i d e n c e i n A u s t r a l i a . 3-4; Wigmore, T r e a t i s e E v i d e n c e 1:296.  on  f  16. K a t s a r i s , E v i d e n c e and P r o c e d u r e , 29-30; S c h l o s s , E v i d e n c e and I t s L e g a l A s p e c t s . 53-54; T h a y e r , P r e l i m i n a r y T r e a t i s e on E v i d e n c e , 265, 269; Wigmore, T r e a t i s e on E v i d e n c e . 1:289-293. 17. K a t s a r i s , E v i d e n c e and P r o c e d u r e . 211-213; A. F. S h e p p a r d , " R e c o r d s and A r c h i v e s i n C o u r t , " A r c h i v a r i a 19 ( W i n t e r 1 9 8 4 - 8 5 ) : 197, 201; J . D o u g l a s E w a r t , D o c u m e n t a r y E v i d e n c e 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 E v i d e n c e A c t . R e v i s e d S t a t u t e s o f C a n a d a 1985, C . C-5, S S . 24, 29, 3 0 ( 3 ) .  144  18. K a t s a r i s , E v i d e n c e a n d P r o c e d u r e . 207; S c h l o s s , E v i d e n c e a n d I t s L e g a l A s p e c t s . 273; S h e p p a r d , " R e c o r d s a n d A r c h i v e s i n C o u r t , " 196. 19. T h i s d e f i n i t i o n appears i n t h e proposed Uniform E v i d e n c e A c t , and i s c i t e d by b o t h Ewart and Sheppard i n t h e i r r e s p e c t i v e works. ( E w a r t , D o c u m e n t a r y E v i d e n c e i n C a n a d a . 14; S h e p p a r d , " R e c o r d s a n d A r c h i v e s i n C o u r t , " 198.) 20. E w a r t , D o c u m e n t a r y E v i d e n c e i n C a n a d a . 12-14; E w a r t , "Documentary E v i d e n c e : T h e A d m i s s i b i l i t y a t Common Law o f R e c o r d s Made P u r s u a n t t o a B u s i n e s s D u t y , " C a n a d i a n B a r R e v i e w 59 (March 1 9 8 1 ) : 53; S h e p p a r d , " R e c o r d s a n d A r c h i v e s i n C o u r t , " 198. 21. E w a r t , "Documentary E v i d e n c e , " 60; S k u p s k y , " O r i g i n a l R e c o r d s i n E v i d e n c e , " 38; S c h l o s s , E v i d e n c e a n d I t s L e g a l A s p e c t s . 298. 22. E w a r t , "Documentary E v i d e n c e , " 54-60; S k u p s k y , " O r i g i n a l R e c o r d s i n E v i d e n c e , " 48; Wigmore, T r e a t i s e o n E v i d e n c e . 5: 369, 373, 376. 23. E w a r t , "Documentary E v i d e n c e , " 63-66; Wigmore, on E v i d e n c e . 5: 369, 513-517.  Treatise  24. E w a r t , "Documentary E v i d e n c e , " 71; S k u p s k y , " O r i g i n a l R e c o r d s i n E v i d e n c e , " 48; Wigmore, T r e a t i s e on E v i d e n c e . 5:369370, 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 t h e general r e q u i r e m e n t t h a t t h e r e c o r d must h a v e b e e n made b e f o r e c o n t r o v e r s y a r o s e about t h e t r u t h f u l n e s s o f t h e f a c t s c o n t a i n e d i n i t . A f t e r t h e d i s p u t e a r o s e , p e o p l e 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 t h e outcome o f the dispute. 25.  S c h l o s s , E v i d e n c e a n d I t s L e g a l A s p e c t s . 275.  26.  Ibid.;  27. Katsaris,  Wigmore, T r e a t i s e on E v i d e n c e . 7:714, 724-725.  Brown, D o c u m e n t a r y E v i d e n c e i n A u s t r a l i a . E v i d e n c e a n d P r o c e d u r e . 26.  3-4;  28. Completeness i s a d i p l o m a t i c c o n c e p t t h a t w i l l be developed i n t h e next chapter. I t r e f e r s t o whether a document's forms a r e 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 to p r o v i d e adequate a c c e s s t o t h e 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 i n c o m p l e t e 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 t h e u s e r .  145  CHAPTER THREE:  FACTORS CONTRIBUTING TO  LEGAL VALUE  1. See, f o r example, Canada B u s i n e s s 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 P e n s i o n P l a n . R.S.C. 1985, c. C-8, s. 25; and Unemployment I n s u r a n c e A c t , R.S.C. 1985, c . U - l , s. 58. 2. J o h n M. F e d d e r s and L a u r y n H. G u t t e n p l a n , "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 , " N o t r e Dame L a w y e r 56 ( O c t o b e r 1 9 8 0 ) : 9; J o h n M. M u r r a y , " L e g a l C o n s i d e r a t i o n s i n R e c o r d s Management," R e c o r d s Management Q u a r t e r l y 12 ( J a n u a r y 1 9 7 8 ) : 25; D o n a l d S. S k u p s k y , "Legal Requirements f o r Records Retention . . . the Three-Year P r e s u m p t i o n , " R e c o r d s Management Q u a r t e r l y 19 ( O c t o b e r 1 9 8 5 ) : 52. M a n u a l s and g u i d e b o o k s a r e a v a i l a b l e w h i c h 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 h a v e 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 references are: R o n a l d M. A n s o n - C a r t w r i g h t , R o b e r t T. H o l l i n g s h e a d , and J . T i m o t h y K e n n i s h , R e c o r d s 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 , 1 9 8 9 ) ; R e c o r d s R e t e n t i o n and D e s t r u c t i o n i n C a n a d a : A Guidebook ( W i l l o w d a l e , 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 R e c o r d s R e t e n t i o n R e q u i r e m e n t s f o r B u s i n e s s e s i n Canada ( T o r o n t o : A s s o c i a t i o n o f R e c o r d s M a n a g e r s and A d m i n i s t r a t o r s I n c . , 1 9 8 6 ) . 3. D o n a l d S. S k u p s k y , " L e g a l C o n s i d e r a t i o n s f o r R e c o r d s M a n a g e m e n t - B u s i n e s s R i s k D e c i s i o n s , " R e c o r d s Management Q u a r t e r l y 23 ( J u l y 1 9 8 9 ) : 56-57; S k u p s k y , " D e t e r m i n i n g L i t i g a t i o n and S t a t u t e s of L i m i t a t i o n Requirements f o r Records R e t e n t i o n P r o g r a m s , " R e c o r d s Management Q u a r t e r l y 20 ( J u l y 1 9 8 6 ) : 42. Some r e c o r d s managers, i n c l u d i n g S k u p s k y , a l s o p o i n t o u t 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 d i s a d v a n t a g e i f t h e y a r e s u b p o e n a e d and u s e d a g a i n s t t h e company by an a d v e r s e p a r t y . On t h i s b a s i s , some r e c o r d s m a n a g e r s recommend t h a t s u c h r e c o r d s be s c h e d u l e d f o r d e s t r u c t i o n o n c e t h e i r most u s e f u l p e r i o d h a s e x p i r e d . Other r e c o r d s m a n a g e r s a r e u n e a s y a b o u t w h e t h e r s u c h a d e c i s i o n may be a subversion 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 t h e l e g i s l a t i o n i s vague. 4. S k u p s k y , " D e t e r m i n i n g 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, 42; F e d d e r s and G u t t e n p l a n , "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; M u r r a y , " L e g a l C o n s i d e r a t i o n s i n R e c o r d s Management," 26. 11  5.  See,  f o r example, Canada E v i d e n c e 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 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 , 7; C o u t u r e and R o u s s e a u , L i f e o f a Document. 140141; F r a n c i s X. B l o u i n , J r . , "An Agenda f o r t h e A p p r a i s a l o f B u s i n e s s Records'," i n A r c h i v a l C h o i c e s : Managing t h e H i s t o r i c a l 146  R e c o r d i n a n Age o f Abundance, e d . Nancy P e a c e ( L e x i n g t o n , Mass.: L e x i n g t o n Books, 1 9 8 4 ) , 68-69; ACCIS, E l e c t r o n i c R e c o r d s 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 ( P a r t I I ) , " 13; K e n d a l , R a f f e l , M a t t e r s o f F a c t . 102-104.  F a c t s . 10;  8. F o r t h e purposes o f t h i s t h e s i s , t h e 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 b y p u b l i c p e r s o n s " a n d "documents c r e a t e d b y p r i v a t e p e r s o n s " w i l l b e a d o p t e d . A document i s c r e a t e d b y a p u b l i c p e r s o n when i t i s i s s u e d b y a p u b l i c j u r i d i c a l p e r s o n (a body h a v i n g j u r i s d i c t i o n i n m a t t e r s o f a p u b l i c n a t u r e , o r t h e o f f i c e r s o f s u c h 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 b y h i s / h e r command o r i n h i s / h e r name, o r a c c o r d i n g t o a p r o c e d u r e imposed by a p u b l i c p e r s o n . Documents c r e a t e d by a p r i v a t e p e r s o n a r e t h o s e c r e a t e d by a p r i v a t e p e r s o n , o r b y h i s / h e r command o r 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 t h e f o r m a t i o n p r o c e s s o f d o c u m e n t s i s drawn f r o m t h e a u t h o r ' s c l a s s n o t e s f o r ARST 601D i p l o m a t i c s ( c l a s s g i v e n by L u c i a n a D u r a n t i a t t h e S c h o o l o f L i b r a r y , A r c h i v a l and I n f o r m a t i o n S t u d i e s , U n i v e r s i t y o f B r i t i s h C o l u m b i a , September-December 1 9 8 9 ) . 10. T h i s example i s drawn f r o m a p r e s e n t a t i o n b y 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 t h e ARST 601 c l a s s a t t h e S c h o o l o f L i b r a r y , A r c h i v a l and I n f o r m a t i o n S t u d i e s , U n i v e r s i t y o f B r i t i s h C o l u m b i a , 17 O c t o b e r 1989. 11. E w a r t , "Documentary E v i d e n c e , " 74-75; S k u p s k y , " A d m i s s i b i l i t y o f O r i g i n a l R e c o r d s i n E v i d e n c e , " 46, 52; ACCIS, E l e c t r o n i c R e c o r d s G u i d e l i n e s . 5/6?? 12. There a r e , 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 records than with t e x t u a l records s i n c e e l e c t r o n i c r e c o r d s c a n b e e a s i l y a c c e s s e d a n d c h a n g e d , l e a v i n g no t r a c e o f t h e change. T h i s r i s k , however, d o e s n o t a l t e r t h e b a s i c f a c t t h a t c o m p u t e r r e c o r d s a r e 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 o f t h e 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 , s t a n d a r d 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.  Raffel,  Matters  o f F a c t . 91.  14.  Clanchy,  15.  Raffel,  16.  Brown, D o c u m e n t a r y E v i d e n c e  17.  Duranti, "Diplomatics  From Memory t o W r i t t e n R e c o r d . Matters  241-242.  o f F a c t . 98-99. i n Australia,  ( P a r t I ) , " 19. 147  18.  18. N o t e , t o o , t h a t p r o c e d u r e s may a l s o e x p l a i n t h e 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 h a s an established routine f o r microfilming c e r t a i n classes of records and d e s t r o y i n g t h e o r i g i n a l p a p e r v e r s i o n s , t h e n t h i s r o u t i n e c a n be u s e d 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 t h e court. F o r f u r t h e r d i s c u s s i o n o f d r a f t s , o r i g i n a l s , and c o p i e s , s e e D u r a n t i , " D i p l o m a t i c s ( P a r t I ) , " 19-21.  s.v.  19.  Duranti,  "Diplomatics  20.  Raffel,  Matters of Fact.  94,  21.  Raffel,  Matters of Fact.  72-74.  22.  I b i d . , 110-111.  23. Salmond, J u r i s p r u d e n c e , "valid".  CHAPTER FOUR: 1.  ( P a r t I I ) , " 13.  367;  102-111.  Black's  APPRAISING LEGAL VALUE IN  Booms, " S o c i e t y and  the  Law  Dictionary,  DOCUMENTS  Documentary H e r i t a g e , "  104.  2. F o r more i n f o r m a t i o n a b o u t when and how t o s a m p l e d o c u m e n t s , s e e F e l i x H u l l , The Use o f S a m p l i n g T e c h n i q u e s i n t h e Retention of Records: A RAMP S t u d y 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 ( O c t o b e r 1 9 5 7 ) : 291-312; F r a n k B o l e s , " S a m p l i n g i n A r c h i v e s , " A m e r i c a n A r c h i v i s t 44 ( S p r i n g 1 9 8 1 ) : 125-130; and D a v i d R. K e p l e y , " S a m p l i n g i n A r c h i v e s : A Review," American A r c h i v i s t 47 (Summer 1 9 8 4 ) : 237-242. 3. See, f o r example, S k u p s k y , " L e g a l I s s u e s i n R e c o r d s R e t e n t i o n and D i s p o s i t i o n P r o g r a m s , " R e c o r d s Management Q u a r t e r l y 18 ( J u l y 1 9 8 4 ) : 74. 4. R i c h a r d Klumpenhouwer, " C o n c e p t s o f V a l u e i n t h e 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 Studies t h e s i s , U n i v e r s i t y of B r i t i s h C o l u m b i a , 1988, 9. 5.  Klumpenhouwer,  6.  Schellenberg,  "Concepts of V a l u e , " 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 R e c o r d s : A r e ? " A m e r i c a n A r c h i v i s t 23 ( 1 9 6 0 ) : 21-23.  148  11.  Who  Knows What T h e y  8. Great B r i t a i n , Parliament, "Report o f the S e l e c t C o m m i t t e e on t h e R e c o r d C o m m i s s i o n , " S e s s i o n a l P a p e r s , v o l . 16, s e c . 1-11 (London: HMSO, 1 8 3 6 ) , i i i , q u o t e d i n Klumpenhouwer, " C o n c e p t s o f V a l u e , " 29. 9. M a r g a r e t C r o s s N o r t o n , i n N o r t o n on A r c h i v e s : The W r i t i n g s o f M a r g a r e t C r o s s N O r t o n on A r c h i v a l and R e c o r d s Management. e d . T h o r n t o n W. M i t c h e l l ( C a r b o n d a l e , 111.: S o u t h e r n I l l i n o i s U n i v e r s i t y P r e s s , 1 9 7 5 ) , 4. 10. P h i l i p G. B a u e r , The A p p r a i s a l o f C u r r e n t a n d R e c e n t R e c o r d s , 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), q u o t e d i n 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 R e c o r d s . 33. 11.  Schellenberg, Appraisal  o f Modern P u b l i c R e c o r d s .  12.  Klumpenhouwer,  13.  Brichford,  Appraisal  and A c c e s s i o n i n g .  7.  14.  Brichford,  Appraisal  and A c c e s s i o n i n g ,  7.  33.  " C o n c e p t s o f V a l u e , " 95.  15. To t r a c e t h e d e v e l o p m e n t o f d o c u m e n t a t i o n s t r a t e g y , see: H e l e n W i l l a Samuels, "Who C o n t r o l s t h e P a s t , " A m e r i c a n A r c h i v i s t 49 ( S p r i n g 1 9 8 6 ) : 109-124; L a r r y J . Hackman a n d J o a n W a r n o w - B l e w e t t , "The D o c u m e n t a t i o n S t r a t e g y P r o c e s s : A M o d e l and A C a s e S t u d y , " A m e r i c a n A r c h i v i s t 50 ( W i n t e r 1 9 8 7 ) : 12-47; P h i l i p N. A l e x a n d e r and H e l e n W. Samuels, "The R o o t s o f 128: A H y p o t h e t i c a l D o c u m e n t a t i o n S t r a t e g y , " A m e r i c a n 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 H e l e n W. S a m u e l s , "The Archivist's First Responsibility: A R e s e a r c h A g e n d a t o Improve t h e 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 R e c o r d s o f E n d u r i n g V a l u e , " A m e r i c a n A r c h i v i s t 51 ( W i n t e r and S p r i n g 1 9 8 8 ) : 28-46; R i c h a r d J . Cox, "A D o c u m e n t a t i o n S t r a t e g y C a s e S t u d y : W e s t e r n New Y o r k , " A m e r i c a n A r c h i v i s t 52 ( S p r i n g 1 9 8 9 ) : 192-200. 16.  A l e x a n d e r and Samuels,  17. Cox a n d Samuels, R e s p o n s i b i l i t y , " 30.  "The R o o t s o f 128,"  "The A r c h i v i s t ' s  519.  First  18. S a m u e l s , "Who C o n t r o l s t h e P a s t , " 115; a n d Hackman and W a r n o w - B l e w e t t , "The D o c u m e n t a t i o n S t r a t e g y P r o c e s s , " 14. 19. F r a n k B o l e s , "Commentary," A m e r i c a n A r c h i v i s t ( W i n t e r and S p r i n g 1 9 8 8 ) : 46.  51  20. N o r t o n , q u o t e d i n Roy C. T u r n b a u g h , " A p p r a i s a l a n d Documentation S t r a t e g i e s , " paper p r e s e n t e d a t t h e annual S p r i n g Conference o f the A s s o c i a t i o n o f B r i t i s h Columbia A r c h i v i s t s , V a n c o u v e r , B.C., 28 A p r i l 1990. 149  21. F r a n k B o l e s , and J u l i a M a r k s Young, " E x p l o r i n g t h e B l a c k Box: The A p p r a i s a l o f U n i v e r s i t y A d m i n i s t r a t i v e R e c o r d s , " A m e r i c a n A r c h i v i s t 48 ( S p r i n g 1 9 8 5 ) : 121-140. 22.  Boles  and Young, " E x p l o r i n g t h e B l a c k  Box,"  137.  23.  Boles  and Young, " E x p l o r i n g t h e 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 R e c o r d s . 31; B a s u , A r c h i v e s and R e c o r d s . 22; C o u t u r e and R o u s s e a u , L i f e o f a Document. 136-137. 25. I t i s i m p o r t a n t 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 t h e many v a l u e s t h a t a document may h a v e . It i s entirely possible that anthropologists' journals, professors' lecture n o t e s , and s c i e n t i s t s ' c o r r e s p o n d e n c e 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 c u m s t a n c e s a r i s e i n w h i c h t h e documents a r e n e e d e d f o r legal evidence. 26. F o r 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 being used i n n a t i v e c l a i m s , s e e James M o r r i s o n , " A r c h i v e s and N a t i v e C l a i m s , " A r c h i v a r i a 9 ( W i n t e r 1 9 7 9 - 8 0 ) : 15-32. 27. Mark H o p k i n s , " R e c o r d s and R e c o r d s K e e p e r s J u d i c i a l l y Considered: C r e d i b i l i t y o r C o n v e n i e n c e ? " A r c h i v a r i a 18 (Summer 1 9 8 4 ) : 157-158.  CONCLUSION  1.  Brichford, Appraisal  2.  Duranti,  "Diplomatics  and A c c e s s i o n i n g .  13.  ( P a r t I ) , " 24, 27 n. 46.  150  BIBLIOGRAPHY  A l e x a n d e r , P h i l i p N., and H e l e n W. S a m u e l s . "The R o o t s 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 1 9 8 7 ) : 518-531. Basu, Purnendu. A r c h i v e s and Delhi: National Archives  Records: What A r e of India, 1960.  They?  New  Black, Henry Campbell. 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 t h e Terms and P h r a s e o f A m e r i c a n 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 M o d e r n. 4 t h ed., r e v . S t . P a u l , M i n n . : West P u b l i s h i n g Co., 1968. Blinkhorn, V i c t o r i a Louise. "The R e c o r d s 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 . " M a s t e r o f Archival Studies thesis, U n i v e r s i t y of B r i t i s h Columbia, 1988. Boles, Frank. "Commentary." American A r c h i v i s t and S p r i n g 1 9 8 8 ) : 43-46.  51  (Winter  "Mix Two P a r t s I n t e r e s t t o One P a r t I n f o r m a t i o n and A p p r a i s e U n t i l Done: U n d e r s t a n d i n g Contemporary Record S e l e c t i o n Processes." A m e r i c a n A r c h i v i s t 50 (Summer 1 9 8 7 ) : 356-368. B o l e s , F r a n k , and J u l i a M a r k s Young. " E x p l o r i n g the Black Box: The A p p r a i s a l o f U n i v e r s i t y A d m i n i s t r a t i v e Records." A m e r i c a n A r c h i v i s t 48 ( S p r i n g 1 9 8 5 ) : 121140. Booms, Hans. " S o c i e t y and t h e F o r m a t i o n o f a D o c u m e n t a r y Heritage: Issues i n the A p p r a i s a l of A r c h i v a l Sources." Ed. and t r a n s . H e r m i n a J o l d e r s m a and R i c h a r d Klumpenhouwer. A r c h i v a r i a 24 (Summer 1 9 8 7 ) : 69-107. B r i c h f o r d , Maynard J . A r c h i v e s and M a n u s c r i p t s : Appraisal and A c c e s s i o n i n g . B a s i c Manual S e r i e s . Chicago: S o c i e t y of American A r c h i v i s t s , 1977. Brown, R. A. Ontario:  Documentary E v i d e n c e i n A u s t r a l i a . C a r s w e l l Company L t d . , 1988.  Canada E v i d e n c e A c t . 5.  Revised  Statutes 151  Agincourt,  o f Canada, 1985,  c.  C-  Canadian A r c h i v e s . R e p o r t t o t h e S o c i a l S c i e n c e s and H u m a n i t i e s R e s e a r c h C o u n c i l o f Canada by t h e C o n s u l t a t i v e Group on C a n a d i a n A r c h i v e s . Ottawa: SSHRCC, 1980. Canadian G e n e r a l Standards Board. M i c r o f i l m a s Documentary Evidence. Ottawa: Canadian G e n e r a l Standards Board, 1988. C l a n c h y , M. T. From Memory t o W r i t t e n R e c o r d . E n g l a n d . 1066-1307. C a m b r i d g e , Mass.: H a r v a r d U n i v e r s i t y P r e s s , 1979. " Tenacious L e t t e r s ' : A r c h i v e s a n d Memory i n t h e M i d d l e Ages." A r c h i v a r i a 11 ( W i n t e r 1 9 8 0 - 8 1 ) : 11525. 1  C o k e r , K a t h y Roe. Procedure." 421.  "Records A p p r a i s a l : P r a c t i c e and A m e r i c a n A r c h i v i s t 48 ( F a l l 1 9 8 5 ) :  417-  C o r r i g a n , B a r b a r a E . e t a l . G u i d e t o t h e Management o f Legal 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 R e c o r d s M a n a g e r s and A d m i n i s t r a t o r s , I n c . , 1987.  of  C o u t u r e , C a r o l , and J e a n - Y v e s R o u s s e a u . The L i f e o f a Document. A G l o b a l A p p r o a c h t o A r c h i v e s a n d R e c o r d s Management. T r a n s l a t e d by D a v i d Homel. M o n t r e a l : V e h i c u l e P r e s s , 1987. Cox,  Richard J . "A D o c u m e n t a t i o n S t r a t e g y C a s e S t u d y : W e s t e r n New Y o r k . " A m e r i c a n A r c h i v i s t 52 ( S p r i n g 1 9 8 9 ) : 192-200.  Cox,  R i c h a r d J . , and H e l e n W. S a m u e l s . "The A r c h i v i s t ' s First Responsibility: A R e s e a r c h A g e n d a t o Improve t h e 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 R e c o r d s o f E n d u r i n g Value." A m e r i c a n A r c h i v i s t 51 ( W i n t e r a n d S p r i n g 1 9 8 8 ) : 28-46.  Duranti, Luciana. "Diplomatics: New U s e s f o r an O l d Science." A r c h i v a r i a 28 (Summer 1 9 8 9 ) : 7-27. (Part  "Diplomatics: New U s e s f o r an O l d S c i e n c e II)." A r c h i v a r i a 29 ( W i n t e r 1 9 8 9 - 9 0 ) : 4-17.  "The O d y s s e y o f R e c o r d s M a n a g e r s . P a r t I : From t h e Dawn o f C i v i l i z a t i o n t o t h e F a l l o f t h e Roman Empire." R e c o r d s Management Q u a r t e r l y 23 ( J u l y 1 9 8 9 ) : 3-11.  152  Eastwood, T e r r y . University." 51.  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