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ARCHIVAL METHODS

Archives and Museum Informatics Technical Report #9 (Pittsburgh, Archives and Museum Informatics, 1989)

by David Bearman, Archives & Museum Informatics

Footnotes

1. Jack Goody & Ian Watt, "The Consequences of Literacy," in Literacy in Traditional Societies, ed. Jack Goody (New York: Cambridge Univ. Press, 1968). I am indebted to this article for pointing out that "this form of speech can be transmitted over space and preserved over time," that "the administrative possibilities of paper are greater than those of stone or baked clay," and for many other extremely suggestive ways of viewing recorded knowledge.
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2. Ibid.
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3. Maynard Brichford, "Seven Sinful Thoughts," American Archivist 43 (Winter 1980) 13-16.
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Chapter 1

1. Maynard J. Brichford, Archives and Manuscripts: Appraisal and Accessioning (Chicago: Society of American Archivists, 1977).
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2. SAA Task for Force on Goals and Priorities, Planning for the Archival Profession (Chicago: Society of American Archivists, 1986). Interestingly it was also the focus of the first two recommendations of the Commission on Museums for a New Century in 1984. See Commission on Museums for a New Century, Museums for a New Century (Washington DC: American Association of Museums, 1984).
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3. Paul Conway, "Perspectives on Archival Resources: The 1985 Census of Archival Institutions," American Archivist 50 (Spring 1987): 174-91.
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4. Howard Lowell, Preservation Needs in State Archives (Albany, NY: NAGARA, 1986).
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5. National Historical Publications and Records Commission, Directory of Archives and Manuscript Repositories in the United States (Phoenix: Oryx Press, 1988).
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6. This figure and other data cited in the article without identification of another source are derived from U.S. Bureau of Census, Statistical Abstract of the United States: 1988, 108th edition (Washington, DC: Government Printing Office, 1989). See also the seminal work of Fritz Machlup, The Production and Distribution of Knowledge in the United States (Princeton, NJ: Princeton University Press, 1962) and the recent work of Michael Rogers Rubin, Information Economics and Policy in the United States (Littleton, CO: Libraries Unlimited, 1983).
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7. Directory of Associations (New York: Gale Research, 1988).
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8. Theodore Schellenberg, "The Appraisal of Modern Public Records," NARS Bulletin 8 (1956).
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9. 10 G. Philip Bauer, "The Appraisal of Current and Recent Records," The National Archives Staff Information Circular 13 (June 1946): 1-22.
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10. Frank Boles and Julia Marks Young, "Exploring the Black Box: The Appraisal of University Administrative Records," American Archivist 48 (Spring 1985): 121-140.
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11. Frank Boles, "Mix Two Parts Interest to One Part Information and Appraise Until Done: Understanding Contemporary Record Selection," American Archivist 50 (Summer 1987): 356-368.
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12. Greg Bradsher, informally circulated paper on NARS FBI appraisal process, NEH/Mellon Seminar in Modern Archives, Summer 1986; National Archives and Records Administration, Office of Records Administration, "Appraisal of Department of Justice litigation Case Files: Final Report," (Washington, DC: NARA[1989]); Michael Stephen Hindus, Theodore M. Hammett and Barbara Hobson, The Files of the Massachusetts Superior Court, 1859-1959: An Analysis and a Plan for Action, A Report of the Massachusetts Judicial Records Committee of the Supreme Judicial Court (Boston; G.K. Hall, 1979); Baer, Christopher T., "Documenting Strategy and Structure: A Chandlerian Conceptual Model for Appraising the Penn Central Archive" (Paper presented at the Annual Meeting of the Society of American Archivists, 30 August 1986).

In the National Archives appraisal of the FBI files, the appraisal of the case files of the Penn Central Rail Corporation by a team at the Hagley Foundation, and the appraisal of the Massachusetts Court records appraisal, the ratio of man years to records has been 30/320,000, 8/60,000 and 5/35,000 or 1:10,830, 1:7,000. If we examine the three projects in terms of records retained, the ratio of man-years to records kept is 30:50,000, 8:10,000 and 5:8,000 or 1:1,666, 1:1,250 and 1:1,600, which are extremely similar numbers.

Baer reported informally that the 60,000 ft. of case files appraised were part of a larger record of about 325,000 ft. of routine records. Bradsher reports that the 320,000 ft. of the FBI records were a component of about 600,000 ft. reviewed by the appraisal team, including 220,000,000 3x5 cards which served as indexes to the records!
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13. James Gregory Bradsher, "When One Percent Means a Lot: The Percentage of Permanent Records in the National Archives," OAH Newsletter (May 1985).
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14. Daniel Laberge, "Information, Knowledge and Rights: The Preservation of Archives as a Political and Social Issue," Archivaria 25 (Winter 1987/1988):44-50.
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15. Joan K. Hass, Helen Willa Samuels and Barbara Trippel Simmons, Appraising the Records of Modern Science and Technology: A Guide (Cambridge MA: Massachusetts Institute of Technology, 1985). See also their "The MIT appraisal Project and its Broader Implications," American Archivist 49 (Summer 1986): 310-314.
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16. Max Evans, "The Visible Hand: Creating a Practical Mechanism for Cooperative Appraisal," Midwest Archivist 11 (1986): 7-13.
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17. Helen Samuels, "Who Controls the Past," American Archivist (Spring 1986): 109-124; Larry Hackman and Joan Warnow-Blewett, "The Documentation Strategy Process: A Model and Case Study," American Archivist 50 (Winter 1987): 12-47; Richard J. Cox and Helen W. Samuels, "The Archivist's First Responsibility: A Research Agenda to Improve the Identification and Retention of Records of Enduring Value," American Archivist 51 (Winter/Spring 1988): 28-42.
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18. Hackman and Warnow-Blewett, "The Documentation Strategy Process^."
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19. Philip N. Alexander and Helen W. Samuels, "The Roots of Route 128: A Hypothetical Documentation Strategy," American Archivist 50 (Fall 1987): 518-31.
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20. This approach will also be reflected in Samuels' forthcoming publication documenting colleges and universities.
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21. David Bearman, "Adequacy of Documentation as a Program, A Concept and a Goal" (Paper presented at the Annual Conference of the National Association of State Archivists and Records Administrators (NASARA), 28 July 1984).
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Chapter 2

1. After completion of this article, I received the Winter 1989 issue of the American Archivist with a fine article by James O'Toole, "On the Idea of Permanence," which affirms some of the ideas expresses here, but appears not to draw the ultimate conclusions for administration of an archives that I draw. I regret not having the opportunity to consider O'Toole's views and incorporate reference to them in this piece.
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2. New York Document Conservation Advisory Council, Our Memory at Risk: Preserving New York's Unique Research Resources (Albany, NY: New York State Document Conservation Advisory Council, March 1986).
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3. For example, so-called Perma-Life Paper, which has a pH of 8.5, has a durability of 1200 folds and a half-life of 200 years, an obvious improvement over papers with lifetimes of less than 50 years, but at the cost of having to copy the originals onto new paper, for which no simple and inexpensive methods have yet been devised. It is possible to extend the life of paper by deacidification, but the intervention is too expensive on scales approaching those which confront archives.
For further discussions, see The Laboratory: Current Developments in Instrumentation & Technique, 1964, pp. 98-101, on Permalife.
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4. Perhaps the most elaborate efforts to maintain records are those of the Church of Latter Day Saints Genealogical Society, and they illustrate why such efforts are not being undertaken elsewhere on an effective scale. See Records Protection in an Uncertain World (Salt Lake City, UT: LDS Church Genealogical Society, n.d.) Millions of rolls of microfilm are being made and stored in subterranean vaults constructed 700 feet deep in granite mountains where the temperature is 57 degrees Fahrenheit year round and humidity is 40-50%. The initial construction included space for 885,400 rolls of 35mm microfilm.
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5. National Conservation Advisory Council, Conservation of Cultural Property in the United States (Washington, DC: National Conservation Advisory Council, 1976); Proposal for a National Institute for the Conservation of Cultural Property (Washington, DC: National Conservation Advisory Council, 1982) for further discussion for the growing importance of preservation.
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6. National Commission on Libraries and Information Science Panel on the Information Policy Implications of Archiving Satellite Data, To Preserve the Sense of Earth from Space (Washington DC: NCLIS, 1984).
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7. Howard Lowell, Preservation Needs in State Archives (Albany, NY: NAGARA, February 1986).
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8. Mary Lynn Ritzenthaler, Archives & Manuscripts: Conservation. A Manual on Physical Care and Management, SAA Basic Manual Series (Chicago: Society of American Archivists, 1983).
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9. At normal room temperatures. This life can be doubled for each ten degrees the storage temperature is reduced.
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10. Margaret Hedstrom, "Optical Disks: Are Archivists Repeating Mistakes of the Past?" Archival Informatics Newsletter 2 (Fall 1988): 52-3.
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11. Ritzenthaler, Archives & Manuscripts: Conservation, p. 46.
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12. David Bearman, "Electronic Records Guidelines: A Manual for Policy Development and Implementation" (Report prepared for the United nations Administrative Coordinating Committee, Administrative Committee for the Coordination of information Systems, Technical Panel on Electronic Records Management, [1989]).
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13. In a delightfully provocative talk to the SAA meeting in 1979, newly elected President Maynard Brichford noted that "let them rot" might be the appropriate attitude to take towards records requiring active conservation. He went on to state that "we are keepers for a purpose and that purpose is not 'keeping' but using." I only wish he had pursued the issue and supported his arguments at the same time. See "Seven Sinful Thoughts," American Archivist 43 (Winter 1980): 13-16 for the text of Brichford's address.
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14. Evans, Frank B., Donald F. Harrison and Edwin A. Thompson, "A Basic Glossary for Archivists, Manuscript Curators and Records Managers," American Archivist 37 (July 1974): 415-34.
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15. Rapport, Leonard, "No Grandfather Clause: Reappraising Accessioned Records," American Archivist 44 (Spring 1981): 143-50.
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16. National Archives and Records Administration, Annual Report for the year ending September 30, 1988 (Washington DC: NARA, 1989).
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17. Alan Calmes, National Archives and Records Service 20 Year Preservation Plan (Washington, DC: NARS, November 1984). National Archives and Records Service, "Intrinsic Value in Archival Material," Staff Information Paper 21 (Washington, DC: NARS, 1982).
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18. Microform was adopted as the preservation technique of preference by the national newspaper project because it reduces the space requirements for storage by 98%, assists in retrieval speed, and allows for low cost distribution. In spite of this, the National Archives microfilms a mere 20 million images a year in its Federal Records Centers, and does very little microfilming of archival records, none for the simple reason of saving long term storage costs. See National Archives and Records Administration, Annual Report for the Year Ending September 30, 1988 (Washington, DC: NARA, 1989).
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19. Ritzenthaler, Archives & Manuscripts: Conservation, p. 59.
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20. National Conservation Advisory Committee, Conservation of Cultural Properties in the United States (Washington, DC: NCAC, 1976), 313.
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21. William Saffady, Optical Disks vs. Micrographics as Document Storage and Retrieval Technologies (Westport, CT, Meckler, 1988) estimates the cost of labor and equipment for microfilming and a CAR implementation at $166,000 per million documents, or $415 million for the 2.5 billion documents in State archives. In this implementation, copies would be easily distributable, inter-archive loans could be launched remotely, and digitized images could be linked over networks at little added cost or using existing fax machines.
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22. The MAPS Newsletter includes a price list for microfilming services in each issue. The prices quoted are from the spring 1989 issue.
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23. Frederic Miller, "Use, Appraisal, and Research: A Case Study of Social History," American Archivist 49(Fall 1986): 371-92.
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24. Clifford A- Lynch, "Optical Storage Media, Standards & Technology Life-Cycle Management," ARMA Quarterly (January 1986):44-54
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25. National Research Council, Committee on Preservation of Historical Records, Preservation of Historical Records (Washington, DC: National Academy Press, 1986). In support of the Council's recommendation see John C. Mallinson, "Preserving Machine-Readable Archival Records for the Millennia," Archivaria 22 (1986): 147-152.
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26. Sue Gavrel, "Preserving Machine-Readable Archival Records: A Reply to John Mallinson," Archivaria 22 (1986): 153-5.
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Chapter 3

1. The Research Libraries Group News regularly reports the number of records added to the RLIN database. The comparison to NUCMC given here is from "RUN AMC at the Five Year Mark," 18 (Winter 1989) 7-8.
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2. David B. Gracy, Archives & Manuscripts: Arrangement & Description, SAA Basic Manual Series (Chicago: Society of American Archivists, 1977).
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3. Ibid.
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4. Terry Abraham, Stephen E. Baizarini and Ann Frantilla, "What is Backlog is Prologue: A Measurement of Archival Processing," American Archivist 48 (Winter 1985): 31-44.
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5. William Maher, "Measurement and Analysis of Processing Costs in Academic Archives," College & Research Libraries 43 (1982): 59-67.
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6. Uli Haller, "Variations in the Processing Rates on the Magnuson and Jackson Senatorial Papers," American Archivist 50 (Winter 1987): 100-9.
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7. Max Evans, "Authority Control: An Alternative to the Record Group Concept," American Archivist 50 (1986): 240-261.
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8. The exception that proves the rule is the ultimate completion and publication of Program Reporting Guidelines for Governmental Records Programs (Albany, NY: National Association of Government Archives and Records Administrators, 1987), which appears to be observed largely in the breach. An SAA committee charged with developing standards for reporting failed to do so over a decade long period ending about 1985. Perhaps the completion of the Institutional Self-Evaluation Guidelines published by SAA in 1989 will help. Paul Conway tried to pull some useful information out of the latest SAA survey of archivists, but like my earlier study, more questions remained than were answered. See "Perspectives on Archival Institutions," American Archivist 50 (Spring 19870: 174-91 and David Bearman, "The National Archives and Records Service: Policy Choices for the Next Five Years," For the Record (December 1981). Progress since the NISTF final meeting at which I reported on the "poverty of archives" using data that was even poorer, has been minimal.
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9. David Bearman and Richard Lytle, "The Power of the Principle of Provenance," Archivaria 21 (1985): 14-27; David Bearman and Richard Szary, "Beyond Authorized Headings: Authorities as Reference Files in a Multi-Disciplinary Setting," in ed. Karen Muller, Authority Control Symposium (Tucson, AZ: Art Libraries Society of North America, 1987), 69-78; David Bearman, "Who about What or From Whence, Why and How: Intellectual Access Approaches to Archives and Their Implications for National Archival Information Systems," in eds. Peter Baskerville and Chad M. Gaffield, Archives, Automation & Access, (Victoria, BC: University of Victoria, 1986), 39-47.
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10. As expressed by Mary Ritzenthaler in Archives & Manuscripts: Conservation (Chicago: Society of American Archivists, 1983), 53: "While a collection is being organized destructive fasteners, accretions and other items viewed as foreign should be removed from the records...These items can convey much useful information about the collection. The manner in which a creator arranges records into particular groups will often give archivists valuable clues as to the importance and interrelationships of records. For example, fasteners used to unite groups of material can tell the archivist great deal about how the creator of the records viewed and ordered the world. It is thus important to leave clues in place for the archivist to use in evaluating the collection and gaining intellectual control over it. Once the order and relationships among materials have been established, however, any object that can cause mechanical or chemical damage should be removed."
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11. William M. Holmes, Jr., Edie Hedlin and Thomas E. Weir, Jr., "MARC and Life Cycle Tracking at the National Archives: Project Final Report," American Archivist 49 (Spring 1986): 305-9. See also David Bearman, Letter to the editor, American Archivist 49 (Fall 1986): 347-8 and Thomas E. Weir, Response to Bearman, American Archivist 50 (Spring 1987): 172-3.
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12. "NARA Life-Cycle Systems Data Elements Manual" (Unpublished manual prepared by National Archives and Records Administration staff; 1989).
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13. David Bearman, Functional Requirements for Collection Management Systems, Archives and Museum Informatics Technical Report 1(Fall 1987).
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14. David Bearman, "The National Archives and Records Service: Policy Choices for the Next Five Years", For the Record (December 1981)
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15. David Bearman, "Electronic Records Guidelines: A Manual for Policy Development and Implementation" (Report prepared for the United Nations Administrative Committee for the Coordination of Information Systems, Technical Panel on Electronic Records Management, 1989)
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16. Charles M. Dollar and Thomas E. Weir, Jr., "Integrated Systems Management of Official Records and Documents in United Nations Organizations: A Requirement of the 1990s" (Report prepared for the United National Administrative Coordinating Committee, Administrative Committee for the Coordination of Information Systems, Technical Panel on Electronic Records Management, 1989).
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Chapter 4

1. Paul Conway, "Perspectives on Archival Resources: The 1985 Census of Archival Institutions," American Archivist 50 (Spring 1987): 174-91.
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2. Page Putnam Miller, Developing a Premier National Institution: A Report from the User Community to the National Archives (Washington, DC: National Coordinating Committee for the Promotion of History, 1989).
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3. Elsie Freeman, "In the Eye of the Beholder: Archives Administration from the User's Point of View," American Archivist 47 (Spring 1984): 111-123.
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4. Sue E. Holbert, Archives & Manuscripts: Reference & Access, SAA Basic Manual Series (Chicago: Society of American Archivists, 1977), 2.
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5. National Archives and Records Administration, Annual Report for the Year Ended September 30, 1988 (Washington, DC: NARA, 1989). No table on use is provided for the National Archives as a whole, but the figures and the account of the Japanese internment users can be found buried in the text on page 31.
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6. William L. Joyce, "Archivists and Research Use," American Archivist 47 (Spring 1984): 124-33.
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7. Roy C. Turnbaugh, "Living with a Guide," American Archivist 46 (Fall 1983): 449-52 discusses the expectation that published guides will attract a more scholarly clientele to archives.
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8. Frederic Miller, "Use Appraisal and Research: A Case Study of Social History," American Archivist 49 (Fall 1986): 371-92.
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9. Jacqueline Goggin, "The Indirect Approach: A Study of Scholarly use of Black and Women's Organizational Records in the Library of Congress Manuscript Division," Midwestern Archivist 11 (1986): 57-67. Clark Elliott, "Citation Patterns and Documentation for the History of Science: Some Methodological Considerations," American Archivist 44 (Spring 1981): 131-42. Both are cited in Miller, "Use, Appraisal, and Research..."
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10. Michael Stevens, "The Historian and Archival Finding Aids," Georgia Archive 5 (1977):64-74.
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11. Leonard Rapport, "No Grandfather Clause: Reappraising Accessioned Records," American Archivist 44 (Spring 1981): 143-50.
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12. Paul Conway, "Facts and Frameworks: An Approach to Studying the Users of Archives," American Archivist 49 (Fall 1986): 393-407.
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13. Richard H. Lytle, "A National Information System for Archives and Manuscript Collections," American Archivist 43 (Summer 11980): 423-6.
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14. Mary Jo Pugh, "The Illusion of Omniscience: Subject Access and the Reference Archivist," American Archivist 45 (Winter 1982): 33-44.
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15. Richard C. Berner, Archival Theory and Practice in the United States: A Historical Analysis (Seattle: University of Washington Press, 1983).
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16. Richard H. Lytle, "Intellectual Access to Archives: I. Provenance and Content Indexing Methods to Subject Retrieval," American Archivist 43 (Winter 1980):64-76, and "Intellectual Access to Archives: II Report on an Experiment," American Archivist 43 (Spring 1980):191-208.
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17. Barbara Kalvert, "Reaching Out: A Review of Education & Public Programs in New York City Funded Cultural Institutions" (New York: Department of Cultural Affairs, 1988).
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18. Sidney J. Levy and Albert J. Robles, The Image of Archivists: Resource Allocators' Perceptions Chicago: Society of American Archivists, 1984); also known as the Levy Report after its principal author.
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19. David Bearman, "Towards National Information Systems for Archives and Manuscript Repositories: Problems, Policies and Prospects," in Towards National Information Systems for Archives and Manuscript Repositories: The National Information Systems Task Force (NISTF) Papers, 1981-1984 (Chicago: Society of American Archivist, 1987), 86-106.
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20. David Bearman, "Electronic Records Guidelines: A Manual for Policy Development and Implementation" (Report for UN/ACCIS/REM, [1989]).
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21. David Bearman and Richard H. Lytle, "The Power of the Principle of Provenance," Archivaria 21 (1 985): 14-27.
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22. Report of the First National Conference on Issues Concerning' Computerized Records, 2 vols. (Boston: Public Records Division, Office of the Massachusetts Secretary of State, [1987]).
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23. Information Management Policy Overview: Strategy Direction in Information Technology Management in the Government of Canada (Ottawa: Communications Division, Treasury Secretariat, 1987).
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24. Thomas E. Brown, "Machine-Readable Views," Archival Informatics Newsletter2 (Summer 1988): 33-5
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Chapter 5

1. This chapter was originally presented at the Society of American Archivists annual meeting, August 1986.
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2. William Nolte, "High Speed Text Search Systems and Their Archival Implications," American Archivist 50 (Fall 1987): 580-84.
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3. David Bearman and Richard Szary, "Beyond Authorized Headings: Authorities as Reference Files in a Multi-Disciplinary Setting," in ed. Karen Muller, Authority Control Symposium (Tucson, AZ: ARLIS/NA, 1987): 69-78.
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4. In asking about accessibility, I am purposefully ignoring the issue of the practicality of accessibility. Throughout this discussion I will assume that all problems of connectivity, inter-operability and data interchange have been resolved and that through standards and shared protocols we do indeed have telecommunications access across all systems, as required. This permits me the luxury of dealing entirely with issues of intellectual compatibility and acceptable ways of providing real people with the information they need.
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5. Martha E. Williams, "Transparent Information Systems Through Gateways, Front Ends, Intermediaries, and Interfaces," Journal of the American Society for Information Science 37 (July 1986): 204-14.
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6. The major archival document of ancient Persia, the Behistun inscription, which led to the decipherment of all cuneiform texts, is on the face of a mountain 300 feet above the ground. Given our current distinctions between the formats of evidence appropriate to different repositories, this and other cuneiform texts, stones and tablets, are found in museums, not archives.
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Chapter 6

1. This chapter was originally presented at the Texas Library Association annual meeting in 1986. Some references reflect the author's then current position as Deputy Director for Information Resources Management at the Smithsonian Institution.
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2. Kenneth Foote, "To Remember and Forget: Artifacts and Memory in Communication and Culture" (Paper delivered at the annual meeting of the Society of American Archivists, 1985).
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3. Battelle Memorial Institute, Human Interference Task Force, "Reducing the Likelihood of Future Human Activities that Could Affect Geologic High-Level Waste Repositories," Battelle Technical Report BMI/ONBWI-537 (Columbus, Ohio: Battelle Memorial Institute, 1984).
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4. M.T. Clancy, From Memory to Written Record: England 1066-1307 (Cambridge: Harvard University Press, 1979).
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5. Ithiel de Solla Poole, Technologies of Freedom (Cambridge: Harvard University Press, 1983).
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6. Sir Thomas Browne, Hydriotaphia, urn-burial, or, A discourse of the sepulchral urns lately found in Norfolk, by Sir Thomas Browne, physician of Norwich (Waltham Saint Lawrence, Berkshire: Golden Cockerel Press, [1923]).
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7. The Annales School of social historians is represented by a large number of brilliant individuals. For a masterpiece of reconstructive research on the detailed evidence of daily life see Fernand Braudel's Civilization and Capitalism: 15th 16th Centuries, translated by Sian Reynolds, 3 vols. (New York: Harper & Row, 1981).
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8. Walter M. Miller Jr., Canticle for Liebowitz (New York: Bantam Books, 1959). A more recent work in the same vein is David Macaulay's Motel of the Mysteries, (Boston: Houghton Mifflin, 1979) which interprets for the reader visual evidence of a lost civilization purportedly as significant as Tut's Egypt. The discerning reader recognizes the artifacts as remnants of 20th century Motel 6 culture.
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9. Sidney J. Levy and Albert G. Robles, "The Image of Archivists: Resources Allocators' Perceptions" (Chicago: Society of American Archivists, 1984).
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10. Committee on the Records of Government, Report (Washington DC: The Committee, 1985).
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11. Dillon Ripley, Annual Report of the Secretary, Smithsonian Institution Year Book (Washington DC: Smithsonian Institution, 1969).
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Informatics: The interdisciplinary study of information content, representation, technology, and applications,
and the methods and strategies by which information is used in organizations, networks, cultures, and societies.