Exploring Archival Value: An Axiological Approach Elaine Samantha Marston Penn UCL Thesis submitted in fulfilment of the degree of PhD in Information Studies – Archival Studies I, Elaine Samantha Marston Penn, confirm that the work presented in this thesis is my own. Where information has been derived from other sources, I confirm that this has been indicated in the thesis. 2 Abstract The proposition of this thesis is to explore a key concept in archival theory and practice, namely the value of archives. The underlying principle is that by drawing upon ideas from outside of the archival discipline – from axiology – this concept can be examined in an innovative and reflective manner. The evaluation of archives is a core activity for archivists. Archivists make value judgements when they decide what to keep and what to destroy, and in how they choose to arrange and describe archives. However, although the term ‘value’ appears frequently in the professional archival literature, often linked with other qualifying terms, including ‘historical’, ‘evidential’, ‘legal’ and ‘informational’, these terms are contested, often ill-defined, and frequently misleading. This thesis critically examines the theoretical concepts behind such terms and their use within the archival profession. The application of Theory Derivation methodology, which employs analogy or metaphor to transpose and redefine a concept or theory from one context to another, enables the author to find new insight and explanations for archival value from the field of axiology (the study of value and value judgements). This thesis explores questions about what sort of property or characteristic of an object gives it value, whether having value is an objective or a subjective matter, and whether value can be measured. Philosophical concepts of value, in particular concepts of intrinsic value – as exemplified in the work of G. E. Moore (1873-1958) – are explored. The re-interpretation of key tenets of archival theory, including appraisal, provenance and respect des fonds, through the particular framework of Moore’s Principle of organic unities will demonstrate that the concept of value has a wider resonance in the archival field than has been previously considered. 3 Table of contents Page no. Declaration 2 Abstract 3 Table of contents 4 Acknowledgements 8 List of abbreviations 9 Editorial conventions 10 Chapter 1. Introduction 11-38 1.1 Chapter summary 12 1.2. Justification of topic 12 1.3. Research questions 20 1.4. Some definitions: life cycle and records continuum 21 1.5. Methodology 28 1.6. Thesis outline 35 Chapter 2. A chronology of the development of archival 39-86 appraisal theory 2.1. Chapter summary 39 2.2. The early twentieth century 39 2.2.1. Introduction 39 2.2.2. 1920s-1960s (UK) 40 2.2.3. 1930s-1960s (US) 45 2.2.4. Influence of Jenkinson and Schellenberg in US, UK 50 and Australia 2.2.5. Concluding remarks 54 2.3. The late twentieth century 54 2.3.1. Introduction 54 2.3.2. 1970s and 1980s (US) 55 2.3.3. 1980s (Canada) 60 2.3.4. 1990s 64 2.3.5. Concluding remarks 77 2.4. Twenty-first century approaches to appraisal 77 2.5. Concluding remarks 85 4 Chapter 3. Value and the archival principle of provenance 87-114 3.1. Chapter summary 87 3.2. Introduction 87 3.3. Historical origins of the principle of provenance 90 3.4. Interpretations of provenance 92 3.4.1. Provenance = respect des fonds 92 3.4.2. Provenance = record context(s) 96 3.5. The archival fonds 100 3.5.1. Fonds as organic whole 100 3.5.2. The record group concept 104 3.5.3. The ‘conceptual fonds’ 108 3.6. Concluding remarks 112 Chapter 4. The evolution of archival theory: influences, impacts 115-149 and underlying assumptions 4.1. Chapter summary 115 4.2. Introduction 115 4.3. The value of archives as cultural resources 119 4.4. Economic and social measurements of archival value 128 4.5. The value of archives as information assets and evidence of 137 good governance 4.6. Concluding remarks 147 Chapter 5. Value in axiology literature 150-175 5.1. Chapter summary 150 5.2. Introduction to axiology 150 5.2.1. The Austro-German school of value theory 151 5.2.2. The English school of value theory 153 5.2.3. The US school of value theory 156 5.3. Main concerns of axiology 157 5.3.1. Objectivism and subjectivism 158 5.3.2. Intrinsic and extrinsic and instrumental value 163 5.3.3. (In)commensurability of value 168 5.4. Concluding remarks 174 Chapter 6. Moore’s Principle of organic unities 176-201 6.1. Chapter summary 176 5 6.2. Introduction 176 6.3. Biography of G. E. Moore and Principia Ethica 178 6.4. Outline of the Principle 183 6.5. Critiques of the Principle 189 6.5.1. By Moore himself 190 6.5.2. By Moore’s contemporaries 191 6.5.3. By later philosophers 192 6.6. Concluding remarks 200 Chapter 7. Archival value: a re-interpretation 202-238 7.1. Chapter summary 202 7.2. Introduction 202 7.3. Transposition of the strong interpretation of the Principle of 204 organic unities to the archival context 7.3.1. Analogy with the archival theory of Hilary Jenkinson 205 7.3.2. Analogy with the archival theory of Luciana Duranti 209 7.3.3. Analogy with the archival theory of Theodore R. 212 Schellenberg 7.3.4. Analogy with the archival theory of Hans Booms 217 7.3.5. Analogy with the archival theories of David Bearman, 221 Terry Cook and Helen Samuels 7.4. Transposition of the weak interpretation of the Principle of 224 organic unities to the archival context 7.4.1. Analogy with the archival theories of Tom Nesmith 226 and Brien Brothman 7.4.2. Analogy with the archival theories of Lawrence 230 Dowler, Theodore R. Schellenberg and Terry Eastwood 7.5. Concluding remarks 235 Chapter 8. Conclusion 239-249 8.1. Chapter summary 239 8.2. Reflections on research methodology 239 8.3. Summary of thesis 241 8.4. Reflections on research questions 244 8.4.1. Is there something intrinsically valuable about 244 archives? Does such a thing as ‘archival value’ exist? 8.4.2. Can we define archival value? 245 6 8.4.3. Can we measure archival value? 246 8.5. Reflections on findings 246 8.5.1. The intrinsic value of archives ‘on the whole’ 247 8.5.2. The complexity of archival value concepts 247 8.5.3. The continuing relevance of ‘traditional’ archival 247 theory 8.5.4. The benefits of an interdisciplinary approach 248 8.5.5. The role and relevance of professional archival 248 practice 8.6. Areas for further research 249 Bibliography 250-310 7 Acknowledgements This thesis has been over six years in the making and would not have been possible without the support of family, friends and colleagues. I would like to thank my supervisors, Elizabeth Shepherd and Geoffrey Yeo, who have guided, advised, and challenged me, and helped me to produce my best. I am extremely grateful to the University of Westminster which has generously supported these endeavours, and in particular, I want to thank Jean Harrison, Suzanne Enright and Carole Satchwell who have been unstinting in their encouragement and support. Thanks also to Anna McNally, Claire Brunnen and Malcolm Bacon whose excellent capabilities allowed me to take sabbatical leave from my full-time role. I would also like to thank friends (and some-time fellow students) Zuleika Beaven, Charlotte Berry, Jenny Bunn, Eleanor Chrispin and Alexandra Eveleigh, who have listened to my ideas, helped me solve problems, and generally kept my spirits up. Last, but by no means least, a big thank you to my parents who have always believed in me, and to my brother Jason who, in addition to being a constant source of support and encouragement, has also patiently proof-read every page. Any errors that remain are entirely my own. 8 List of abbreviations AA The American Archivist (Journal of the Society of American Archivists, 1938-) ACA Association of Canadian Archivists Add. MSS Additional Manuscripts (Archival collection) AHRC Arts and Humanities Research Council, UK AM Archives and Manuscripts (Journal of the Archives Section of the Library Association of Australia, 1955-1975; Australian Society of Archivists, 1976-) ARA Archives and Records Association UK and Ireland (formerly, the Society of Archivists UK and Ireland) AS Archival Science, 2001- Ch. Chapter (of book) CIPFA Chartered Institute of Public Finance and Accountancy Cm. Command Paper (1986-) CUL Cambridge University Library DCMS Department for Culture, Media and Sport, UK ESRC Economic and Social Research Council, UK edn. Edition ed. Editor eds. Editors HEI Higher Education Institution HMSO Her Majesty’s Stationery Office, UK ICA International Council on Archives IRM Information Resource Management ISAD(G) General International Standard on Archival Description, ICA JSA Journal of the Society of Archivists UK and Ireland, 1955-2012 LAC Library and Archives Canada (formerly, the National Archives of Canada) 9 MLA Museum, Libraries and Archives Council, UK NARA National Archives and Records Administration, Washington DC, US nd No date (of publication) ODNB Oxford Dictionary of National Biography, H. G. C. Matthew and Brian Harrison, eds., (Oxford: Oxford University Press, 2004). Available online: http://www.oup.com/oxforddnb/info/online PRO Public Record Office (now The National Archives, UK) RAD Rules for Archival Description, Bureau of Canadian Archivists rev. Revised (edition) SAA Society of American Archivists Sect. Section (of book) SHL Senate House Library, London TNA The National Archives, UK transl. Translator UBC University of British Columbia, Canada UCL University College London UK United Kingdom of Great Britain and Northern Ireland US United States of America vol.