This thesis is an examination of the ideas of the eminent American archivist, T.R. Schellenberg (1903-1970), on the arrangement, description, and appraisal of archives. The formulation of these ideas is set in the context of the National Archives of the United States where Schellenberg was employed for more than twenty-five years. The National Archives was the first archival institution to attempt to deal with the problems created by large volumes of records. Accordingly, Schellenberg1 writings—the most famous of which is the book Modern Archives; Principles and Techniques (1956)—are concerned primarily with finding solutions to these problems, especially with regard to arrangement, description, and appraisal. His skilful blending of archival theory and practice in the presentation of general principles and techniques is emphasized, as well as his important role in the modernization of the archival profession. Through a comparison with the writings of other archivists, it is concluded that Schellenberg1s ideas have a continuing relevance for present day archivists. / Arts, Faculty of / Library, Archival and Information Studies (SLAIS), School of / Graduate

This thesis explores the subjects of professionalism and ethics as they relate to archivists and seeks to assess the appropriateness and effectiveness of the ethical codes adopted by two national archival associations in North America. The archival profession in North America is in its infancy compared to its status in Europe. Having been identified with serving scholarship and other "non-essential" pursuits, archivists have begun to involve themselves in more vital records management tasks involving access to information and privacy issues. As the archival profession strives to achieve greater public recognition and trust to better carry out these and other sensitive tasks, the need for a code of ethics has become more acute. Both the Society of American Archivists and the Association of Canadian Archivists have developed codes in the last few years in an attempt to set standards of conduct in the face of rising responsibilities. However, many of the elements have been borrowed from other codes and with the need to ensure that such codes will be observed by members and enforceable by sanction, it seems timely that some means be established for analyzing their effectiveness. This thesis attempts to establish the tools for analysis of archival codes of ethics. To this end, it examines professionalism and ethics and the relationship between them. It draws upon the literature on emergent professions, establishing some of the characteristics of recognized professions. It also draws upon the literature on professional ethics to determine how one might look at existing codes from an ethical perspective. It examines the nature of archives and archival work to identify ethical principles regarding archival material and its treatment. Ultimately, the elements of these foregoing discussions form the basis for analyzing archival codes of ethics. The thesis generally concludes that ethical codes must be placed in an ethical infrastructure which reinforces the values and principles embodied in a code of ethics. Moreover, a better understanding and consensus about the purpose or goals of the profession needs to be achieved and stated in the codes themselves. Greater attention needs to be paid to formulating basic principles which can be applied in unpredictable situations. Greater use of logical relationships between code components is also needed. Finally, to become truly useful, the North American codes need to be made more comprehensive and to this end, it is suggested that professional archival groups abandon their attempt to provide ethical guidance solely in encapsulated form.

This thesis explores the subjects of professionalism and ethics as they relate to archivists and seeks to assess the appropriateness and effectiveness of the ethical codes adopted by two national archival associations in North America. The archival profession in North America is in its infancy compared to its status in Europe. Having been identified with serving scholarship and other "non-essential" pursuits, archivists have begun to involve themselves in more vital records management tasks involving access to information and privacy issues. As the archival profession strives to achieve greater public recognition and trust to better carry out these and other sensitive tasks, the need for a code of ethics has become more acute. Both the Society of American Archivists and the Association of Canadian Archivists have developed codes in the last few years in an attempt to set standards of conduct in the face of rising responsibilities. However, many of the elements have been borrowed from other codes and with the need to ensure that such codes will be observed by members and enforceable by sanction, it seems timely that some means be established for analyzing their effectiveness. This thesis attempts to establish the tools for analysis of archival codes of ethics. To this end, it examines professionalism and ethics and the relationship between them. It draws upon the literature on emergent professions, establishing some of the characteristics of recognized professions. It also draws upon the literature on professional ethics to determine how one might look at existing codes from an ethical perspective. It examines the nature of archives and archival work to identify ethical principles regarding archival material and its treatment. Ultimately, the elements of these foregoing discussions form the basis for analyzing archival codes of ethics. The thesis generally concludes that ethical codes must be placed in an ethical infrastructure which reinforces the values and principles embodied in a code of ethics. Moreover, a better understanding and consensus about the purpose or goals of the profession needs to be achieved and stated in the codes themselves. Greater attention needs to be paid to formulating basic principles which can be applied in unpredictable situations. Greater use of logical relationships between code components is also needed. Finally, to become truly useful, the North American codes need to be made more comprehensive and to this end, it is suggested that professional archival groups abandon their attempt to provide ethical guidance solely in encapsulated form. / Arts, Faculty of / Library, Archival and Information Studies (SLAIS), School of / Graduate

A long-standing antipathy towards genealogists on the part of archivists is suggested by a study of the archival literature. However, there is evidence in the literature of the past decade to indicate that many archivists are reassessing their position vis a vis genealogists. There appears to be several causes. Social historians and other professionals also acknowledge that genealogical endeavours are helpful to their own purposes. Genealogists themselves recognize that their qualifications and standards must be improved in order for them to command respect. Archivists now recognize the lobbying power that can be exercised by this large user constituency. The literature suggests that all these influences are leading archivists to accept the principle that genealogy and genealogists should receive service and respect that is equal to that afforded academic and other researchers. Interviews with seven archivists at three Canadian provincial archives were conducted. They suggest that different archivists hold different attitudes towards genealogists. One interviewee was clearly antipathetic, but three were impartial and three were frustrated and discouraged, not with genealogists per se, but with the problems inherent in putting the principle of equality into practice. Regardless of the attitude held, each interviewee believed that an improvement in methods of accommodating genealogists would not only aid the genealogist, but would also provide some relief from the pressures of serving this large and varied user constituency. But does such accommodation through adjustments in the functions of appraisal and acquisition, arrangement and description, reference and access, and public programming undermine archival theory? In general, it was found that sound appraisal practices are compromised by an approach driven by the needs of the user; however, genealogical research required no adjustment of arrangement and description practices following the principles of provenance and original order. It was also found that the functions of reference and access, and public programming could meet the needs and approaches of genealogists without jeopardizing the physical and intellectual aspects of the records.

When the first democratic government came into power in 1994, it was faced with a number of challenges. One of these challenges was to ensure that the public service is transformed in order to redress the imbalances of the past. The National Archives of South Africa as a branch of the public service was therefore no exception. Prior to the 1994 elections, this branch was known as the State Archives Service. It was converted into the National Archives of South Africa through the passing of the National Archives of South Africa Act (Act No. 43 of 1996). It is important to note that before the 1994 election the exercise of hegemony by the government was through the control of social memory, and this control involved remembering and forgetting. Furthermore, this control demonstrated an extraordinary capacity to secure the support of most white South Africans and the minority of blacks who collaborated with this system. Therefore, the promulgation of the National Archives of South Africa Act (Act No. 43 of 1996) was of crucial significance in South Africa, since it portrayed the death knell for archival legislation moulded by apartheid. This Act converted the State Archives Service into the National Archives of South Africa with the new mandate of serving all the people of South Africa. This study examines a strategic approach to the management of the National Archives of South Africa. Firstly, the National Archives of South Africa Act (Act No. 43 of 1996 is discussed in detail, with emphasis on its formulation and implementation. This act came into operation on 1 January 1997. Secondly, the strengths, weaknesses, opportunities and threats experienced by the National Archives of South Africa during its conceptualisation and launching are discussed. Thirdly, the transformation of the National Archives of South Africa was examined and discussed using the public management functions, namely, policy-making, organising, planning, leadership, motivation, control and evaluation. The strengths, weaknesses, opportunities and threats experienced by the National Archives of South Africa are focused on. Lastly, conclusions and recommendations end the study. / Thesis (MPA)-University of Durban-Westville, 2001.

A long-standing antipathy towards genealogists on the part of archivists is suggested by a study of the archival literature. However, there is evidence in the literature of the past decade to indicate that many archivists are reassessing their position vis a vis genealogists. There appears to be several causes. Social historians and other professionals also acknowledge that genealogical endeavours are helpful to their own purposes. Genealogists themselves recognize that their qualifications and standards must be improved in order for them to command respect. Archivists now recognize the lobbying power that can be exercised by this large user constituency. The literature suggests that all these influences are leading archivists to accept the principle that genealogy and genealogists should receive service and respect that is equal to that afforded academic and other researchers. Interviews with seven archivists at three Canadian provincial archives were conducted. They suggest that different archivists hold different attitudes towards genealogists. One interviewee was clearly antipathetic, but three were impartial and three were frustrated and discouraged, not with genealogists per se, but with the problems inherent in putting the principle of equality into practice. Regardless of the attitude held, each interviewee believed that an improvement in methods of accommodating genealogists would not only aid the genealogist, but would also provide some relief from the pressures of serving this large and varied user constituency. But does such accommodation through adjustments in the functions of appraisal and acquisition, arrangement and description, reference and access, and public programming undermine archival theory? In general, it was found that sound appraisal practices are compromised by an approach driven by the needs of the user; however, genealogical research required no adjustment of arrangement and description practices following the principles of provenance and original order. It was also found that the functions of reference and access, and public programming could meet the needs and approaches of genealogists without jeopardizing the physical and intellectual aspects of the records. / Arts, Faculty of / Library, Archival and Information Studies (SLAIS), School of / Graduate

Arrangement is an important archival activity that precedes other important archival activities including description and access. Its objective is to identify the external and internal structures of a fonds. However, despite its importance, archivists have had difficulty establishing a standard method of arrangement that fully achieves its objective. This study views arrangement as a form of methodology bridging archival theory and practice. Arrangement must therefore be in accordance with archival theory yet be applicable in practical terms. The study first establishes the terms of analysis in regards to archival theory, and, in particular, the concept of the fonds. Difficulties in the practice of arrangement are then examined. These difficulties include (1) identifying the levels of arrangement, (2) identifying when an entity has sufficient autonomy to create a fonds, (3) identifying the provenance of record series that have been in the custody of many agencies, and (4) dealing with the effects that changes to the external structure of a fonds have on record series. The main methods of arrangement, that have been utilized throughout the archival world in the last 50 years, including the record group, fonds method and series system, are then assessed to determine how closely each aligns with archival theory and how well they perform in practical terms. A method of arrangement is then devised using the basic attributes of both the fonds and series system methods. The Department of the Provincial Secretary, of British Columbia, is the subject of a case study to confirm the validity of the methodology. The study first examines the external structure of the Department through the concepts of function, competence and organizational structure. It then studies the external structure through the concepts of functional series and documentary series. The study concludes by examining some of the implications of the method for various aspects of archival practice.

Thesis (MA)--Stellenbosch University, 2000. / ENGLISH ABSTRACT: A research centre for cultural history is an important key to the study of cultural heritage. The Research Centre for Cultural History at the University of Stellenbosch is at present (2000), as far as could be ascertained, the only centre of its kind in South Africa, although the conservation of certain aspects of cultural heritage is also practised by a number of related institutions. There is a need for a system of arrangement and finding aids through which the contents of these institutions and specifically research centres for cultural history can be made accessible to researchers. In this study a system is proposed in answer to the above mentioned deficiency. It is based on a thesaurus in which the most important themes of cultural history are identified and assigned to a number of main categories. The system consists of a set of guidelines, rather than a prescribed framework and it should therefore be appliable to ail cultures in South Africa as well as cultural groups and institutions outside the South African context. A variety of media found in research centres for cultural history are identified. The contents of the Research Centre for Cultural History at the University of Stellenbosch serve as an important model in this regard. It is suggested that the different media are housed separately in the centre and that there is a code assigned to each by which they can be identified in the integrated finding aid. It was found that the proposed system could be applied to research centres for cultural history and related institutions in a variety of ways. It provides the .researcher with an image of the structure and nature of cultural history. It can also be used as a tool in the research and collection of oral history and the structuring of research projects. Other applications of the system will be revealed by usage. / AFRIKAANSE OPSOMMING: 'n Sentrum vir kultuurhistoriese navorsing is 'n belangrike sleutel tot die bestudering van 'n kultuurerfenis. Die Sentrum vir Kultuurhistoriese Navorsing aan die Universiteit van Stellenbosch is tans (2000), sover vasgestel kon word, die enigste sentrum van sy soort in Suid-Afrika, hoewel die bewaring van sekere aspekte van die kultuurerfenis ook in 'n mate deur verwante instansies bedryf word. Daar is 'n behoefte aan 'n volledig uitgewerkte ordeningstelsel en vindmiddel waardeur die inhoud van sulke instansies en spesifiek kultuurhistoriese navorsingsentrums toeganklik gemaak kan word. In hierdie studie word 'n stelsel voorgestel waardeur bogenoemde leemte gevul kan word. Die basis van die stelsel is 'n tesourus waarin die belangrikste temas van kultuurgeskiedenis uiteengesit en in 'n aantal hoofkategorieë verdeel word. Die stelsel is 'n stel riglyne eerder as 'n rigiede raarnwerk en behoort dus toepasbaar te wees op alle kulture in Suid-Afrika sowel as kultuurgroepe en instansies buite die Suid-Afrikaanse konteks. 'n Verskeidenheid brontipes wat in 'n sentrum vir kultuurhistoriese navorsing gevind sou kon word, word geïdentifiseer. Die inhoud van die Sentrum vir Kultuurhistoriese Navorsing aan die Universiteit van Stellenbosch dien as 'n belangrike voorbeeld. Daar word voorgestel dat die brontipes in die bergproses van mekaar geskei word en dat daar 'n kode aan elkeen toegeken word om hulle in die geïntegreerde vindmiddel van mekaar te onderskei. Daar is gevind dat die voorgestelde stelsel op 'n verskeidenheid van maniere in sentrums vir kultuurhistoriese navorsing en verwante instansies toegepas kan word. Dit verskaf aan die navorser 'n beeld van die struktuur en aard van die vakdissipline. Verder kan dit as 'n belangrike stuk navorsingsgereedskap vir die insameling van mondelinge oorlewering en die strukturering van veldwerkprojekte dien. Ander toepassings daarvan sal deur die praktyk blootgelê word.

Arrangement is an important archival activity that precedes other important archival activities including description and access. Its objective is to identify the external and internal structures of a fonds. However, despite its importance, archivists have had difficulty establishing a standard method of arrangement that fully achieves its objective. This study views arrangement as a form of methodology bridging archival theory and practice. Arrangement must therefore be in accordance with archival theory yet be applicable in practical terms. The study first establishes the terms of analysis in regards to archival theory, and, in particular, the concept of the fonds. Difficulties in the practice of arrangement are then examined. These difficulties include (1) identifying the levels of arrangement, (2) identifying when an entity has sufficient autonomy to create a fonds, (3) identifying the provenance of record series that have been in the custody of many agencies, and (4) dealing with the effects that changes to the external structure of a fonds have on record series. The main methods of arrangement, that have been utilized throughout the archival world in the last 50 years, including the record group, fonds method and series system, are then assessed to determine how closely each aligns with archival theory and how well they perform in practical terms. A method of arrangement is then devised using the basic attributes of both the fonds and series system methods. The Department of the Provincial Secretary, of British Columbia, is the subject of a case study to confirm the validity of the methodology. The study first examines the external structure of the Department through the concepts of function, competence and organizational structure. It then studies the external structure through the concepts of functional series and documentary series. The study concludes by examining some of the implications of the method for various aspects of archival practice. / Arts, Faculty of / Library, Archival and Information Studies (SLAIS), School of / Graduate

With the onset of the information age, archivists are more frequently placed in professional situations where they must work with automated systems to manage the records in their custody. They must acquire new skills to use this technology, including system analysis, system planning, and the principles of computer operation. An area that is frequently neglected, however, is that of developing and maintaining in-house project documentation for systems once equipment is in place and implementation has begun. This oversight leads to poor training strategies, inconsistencies in input and output, and information loss when personnel changes occur. Project documentation is the group of records that describe the system the archivist creates. It is a communications tool, developed by the project manager as a reference document for administrative and operations purposes, and to train users. The documentation guidelines assembled in this text were developed by the author while implementing automated systems over a six-year period. They are arranged in five groups. SCOPE discusses ways to introduce the user to the project, the equipment, and to the concept of the project manual. SYSTEM ORIENTATION contains strategies for more detailed instruction on the equipment. INPUT shows how to describe the data base design and instruct the user on entering data. OUTPUT provides a format for profiling and generating reports. And OPERATIONS AND MAINTENANCE outlines the tools the project manager needs to maintain the system.