國際檔案學 READING NOTE      

The Permanence of Provenance:

The “Two Traditions” and the American Archival Profession

長久典藏的議題：「兩種傳統」以及美國檔案專業

Hirsch, R. (2010). The Permanence of Provenance: The “Two Traditions” and the American Archival Profession. Journal of Archival Organization, 8(1), 54-72. doi:10.1080/15332748.2010.486754

政大圖檔所 陳勇汀 2013/9/23

重要名詞

• Historical manuscripts tradition 歷史手稿傳統
• Public archives tradition 公共檔案傳統
• AHA, American Historical Association 美國歷史學會
• PAC, Public Archives Commission 公共檔案委員會
• SAA, Society of American Archivists 美國檔案學會

1. INTRODUCTION

簡介 [P.1]

• This “two traditions” thesis claims that the profession owes its existence to the maturation of distinct historical manuscripts and public archives traditions over the course of the nineteenth century and their subsequent merging during the twentieth.
  19世紀間存在著兩種傳統的區別：歷史手稿與公共檔案，而在20世紀時兩者整合。

• The most important aspect of the public archives tradition was its adherence to the principle of democratic public access to records.
  公共檔案傳統是源自於公眾取用文件的原則。
• The historical manuscripts tradition focused on the collection, preservation, and dissemination (generally through editing and publication) of artificial collections of historical materials by historical societies and libraries.
  歷史手稿傳統注重社會歷史與圖書館之典藏品的蒐集、保存與傳播。

2. THE NASCENT AMERICAN ARCHIVAL PROFESSION AND THE AMERICAN HISTORICAL ASSOCIATION

初期美國檔案專業與美國歷史學會 [P.3]

• Many historians of American archival practice trace the formation of the modern archival profession back to the establishment of the Public Archives Commission (PAC) at the 1899 conference of the AHA (American Historical Association).
  在美國檔案實務工作的許多歷史學家，其檔案專業是來源自於1899年成立的「公共檔案委員會」。
• The PAC stated its goals as:

• “The compilation of information, as full and detailed as possible,
  盡可能地鉅細靡遺地記錄文獻細節、
• regarding the particular class of American historical material generally known as archives or public records,
  注重對於美國歷史文獻(一般被視為檔案或是公開文件)的特性
• the preparation of such catalogues or finding lists as may be deemed useful, and
  提供查找的目錄

• the information and improvement, so far as its influence as an advisory body can be made effective, of methods of publishing, arranging, and preserving official documentary material.”
  資訊與改進，透過發表、整理、保存等方法，讓官方文獻具備影響力

• The primary goal of the PAC at this point was the passage of legislation that would provide for the adequate preservation of archival material. Toward the end of the decade, under the influence of historians familiar with European archival practice, the PAC became increasingly convinced that its goals would be best accomplished not just by legislation but also through American adoption of those European practices.
  這時期的PAC主要目的在於立法保存檔案文獻。直到十年之後，受到熟悉歐洲檔案實務的歷史學者影響，PAC才意識到不僅是立法，也要將歐洲實務應用在美國中

• During the 1909 AHA meeting, Waldo Leland presented one of the first papers, “American Archival Problems.” He advocated the adoption of the principle of provenance, finding nothing more damaging to archives than the application of modern library methods to their classification.
  在1909 AHA會議中，Waldo Leland發表的「美國檔案的問題」，強調將現代圖書館的分類法應用在檔案上是一大錯誤
• At the second annual conference in 1910, Arnold van Laer noted the need for consensus about the proper methods of archival administration, the presence of significant European efforts to preserve modern records systematically, and the unanimity of European opinion in regards to the usefulness of the principle of provenance.
  1910年AHA會議上，Arnold Van Laer強調 (1) 檔案管理需要取得共識；(2) 歐洲系統化地保存檔案文獻的重要貢獻；(3) 對於歐洲文獻保存原則有效性的認同。

2-1. Importation of European Archival Practice

歐洲檔案學重要實務

• The early members of the PAC were not archivists. Instead, they were historians, like Waldo Leland, John Franklin Jameson, and Charles MacLean Andrews, who became familiar with the concepts of provenance and original order through their extensive use of European archival repositories.
  早期的PAC成員是歷史學者，包括Waldo Leland、John Franklin Jameson、Charles MacLean Andrews，這些較熟悉源自歐洲檔案保存觀念的人。
• Jameson gave a speech at the American Library Association (ALA) in 1914, trying to garner its support for a national archival repository.
  1914年，Jameson在ALA的演講嘗試去徵求建立國家檔案館的支持，講述國家檔案館的必須性以及實務作法。
• According to Andrews, archives differ from historical manuscripts because they are not a “mass of papers and parchments fortuitously gathered and arranged. ... Archives proper are governmental documents only, preserved in official hands arranged in the order and according to the conditions of their origin.”
  Andrews認為檔案跟歷史手稿的不同之處，在於檔案是政府文件，由公家機關保存、整理，並依照其原始順序與情境排列
• In 1913, Leland wrote a report on public archives for the Illinois State Education Building Commission, which outlined, among other things, how public archives would fit into the state’s proposed education building. He drew a sharp distinction between historical manuscripts and public archives, defining historical manuscripts to include any historical material that did not originate from a public office.
  1913年，Leland撰寫的報告中指出公共檔案將可適用於國家教育的建立。他劃分了歷史手稿與公共檔案的定義，指出前者並不包括公共機關。

• As he outlined the rationale for a public archives program, Leland stated unequivocally that it is as much a function of the government to provide for access and preservation of its archives as it is for it to levy taxes and make laws.
  在描述公共檔案機關的範疇之後，Leland確立了政府提供檔案取用與保存的必要功能，及其稅收相關立法
• Leland went on to explain that when archives are no longer of great import for administrative purposes, they should be transferred to a central depot “located in the immediate vicinity of the public offices.” This emphasis on public archives reflects one of Leland’s long-standing goals: the establishment of a National Archives in the United States.
  Leland解釋檔案已經不再是重視管理的目的，而應該轉向集中管理，這點反映了他為建立美國國家檔案館的長期目標。

• These historians agitated on local, state, and national levels for the scientific preservation of public records according to the principles of provenance and original order
  這些歷史學者考量的是地區、州立、國家層級的不同，作為保存公共文件及原始順序的依據
• This drive toward standardization masked the fundamental conflict between Norton’s emphasis on retaining archives for legal purposes and the earlier generation’s goal of facilitating historical research.
  Norton強調檔案在法律上的目的，以及其早期為了用於歷史研究的目的，兩者有所衝突。

3. THE NARRATIVE OF THE “TWO TRADITIONS”

兩種傳統的爭論 [P.8]

• Richard Berner, a manuscripts librarian at the University of Washington, first explicitly articulated the two traditions thesis in 1983 in his book Archival Theory and Practice in the United States: A Historical Analysis.
  在1983年，Richard Berner最先提出兩種傳統的理論

• In their view, the practices of the historical manuscripts tradition became increasingly inadequate after the exponential growth of personal manuscript collections over the course of the twentieth century.
  在他們的觀點看來，歷史手稿傳統在20世紀時大量個人手稿的增長之下逐漸不適用

• Modern Manuscripts, written by Kenneth W. Duckett, covers ... his narration of the history of manuscript collecting and management fails to mention contemporaneous developments in archival theory and practice.
  Duckett所撰寫的「現代歷史手稿」中認為歷史手稿蒐集與管理落後於同期的檔案理論與實務發展
• David B. Gracy began by providing a brief overview of the “two traditions” thesis. Gracy viewed archives’ primary purpose as satisfying the needs of their creating organization, while manuscript collections were maintained to foster research in a given subject area.
  Gracy整理了兩種傳統的概觀，認為檔案的目的係滿足機構，而手稿蒐集則是與研究主題相關
• Maynard Brichford said the best way to appraise manuscript collections and single items, is to formulate a coherent, concise, and containable collection policy and stick to it.
  Brichford認為評估手稿徵集的最佳方式是提出一個全面、簡潔、可用的徵集政策並實行之。
• Sue Holbert presumed that every institution “wants to live up to dual responsibilities of preserving historical resources and making them available for research.”
  Holbert認為每個機構都需要兩種館藏，一種是保存歷史資源，另一種是提供作為研究之用。
• Berner claims that the manuscripts tradition, which has its roots in librarianship, dominated the field until about 1960, after which the public archives tradition assumed primacy. Unlike the historical manuscripts tradition, which evolved in the United States, Berner finds that the public archives tradition was heavily influenced by nineteenth-century European archival developments.
  Berner認為手稿傳統係源自於圖書館界的理論，直到1960之後公共檔案傳統轉為主流。不像歷史手稿傳統是在美國逐漸變革，公共檔案傳統強烈受到19世紀歐洲檔案發展的影響
• In 1965, T. R. Schellenberg published The Management of Archives did the two traditions definitively merge into one field. The Management of Archives, according to Berner, “is unique in that it addresses problems in the arrangement and description of both public/corporate archives and manuscript collections. Schellenberg’s was the first such attempt.”
  Schellenberg發表的「檔案管理」介紹了公共檔案與手稿館藏的描述與編輯方法，首度嘗試將兩種傳統整合。
• O’Toole cited three causes for the recession of the manuscripts tradition: the establishment of the National Archives in 1934, the foundation of the SAA as a breakaway group from the American Historical Association in 1936, and the establishment of the WPA’s Historical Records Survey in 1933 to locate, arrange, and describe public records (and provide jobs).
  O’Toole指出手稿傳統消退的三個原因：

• 1934年建立的國家檔案館
• 1936年源自於AHA的SAA建立
• 1933年WPA的歷史檔案調查

• Recently, the archival profession has focused its attention on how to appraise and preserve electronic records.
  近年來，檔案專業的重點聚焦於評估與保存電子文件

• One result of this new focus is that it has served to underscore the differences in ideology between the two traditions.
  另一個重點在於強調兩種傳統的意識型態差異。

4. CURRENT CONFLICTS OF IDEOLOGY

思想體系衝突的現況 [P.13]

• After their introduction by historians, these traditions developed rapidly into what is now known as the “public archives tradition.”
  在PAC歷史學家將檔案原則引進美國之後，公共檔案傳統的地位便廣泛確立
• Margaret Cross Norton felt that while private archives might be arranged and described according to archival principles, and even housed in the state archives, the state archivist need not be concerned with them, as they are not properly archival.
  Norton認為檔案館員應該考慮某些私人檔案並沒有適當地典藏

• From Norton’s writings on archival topics, it becomes clear she viewed archives as legal records and that the historical profession should have no influence whatsoever on their treatment or retention.
  她認為檔案是作為法律文件，卻對於她的歷史專業沒有幫助

• At this point, most manuscript material is appraised, arranged, and described according to the principles outlined in the various SAA manuals.
  現在大多手稿文獻都是遵照SAA手冊進行評估、排列與描述

• Current practice upholds the argument that the two traditions are no longer distinct in practice, but evidence points to a growing rift between their ideologies.
  而關於兩種傳統的爭論已經不限於實務上，更擴大到意識型態的隔閡

• Luke Gilliland-Swetland argued that “historical manuscript repositories ... adopted the principle of provenance because it provided a powerful tool for understanding the historical context (rather than the administrative or legal context) in which the materials were created.”
  Gilliland-Swetland認為歷史手稿的典藏適合長久保存的原則，以便保留手稿產生時的歷史脈絡情境（相較於管理或是法律的情境）
• It also highlights that the divide between the two archival traditions remains today and may possibly even be growing.
  兩種傳統的爭論持續增長
• The archival profession will always be made up of people whose titles range from manuscripts curator to institutional archivist, but perhaps instead of focusing on their differences, they can emphasize their common practices instead.
  對於不論是手稿管理還是機構檔案館員來說，與其爭論兩種傳統的差異，更應該強調共通的實務方法

心得

• 由於不清楚兩種傳統之間的差異，閱讀時花了相當多的時間。
• 非常好奇歷史手稿對於歷史學家的意義為何，歷史學家怎麼用歷史手稿進行研究，也許可以從中找到些研究題目。