ARCHIVAL PROFESSIONALISM AND ETHICS AN ASSESSMENT OF ARCHIVAL CODES IN ...

152 Pages·2008·8.55 MB·English

ARCHIVAL PROFESSIONALISM AND ETHICS
AN ASSESSMENT OF ARCHIVAL CODES IN NORTH AMERICA
by
TREVOR IAN MAY
B.A. The University of Victoria, 1991
A THESIS SUBMITTED IN PARTIAL FULFILMENT OF
THE REQUIREMENTS FOR THE DEGREE OF
MASTER OF ARCHIVAL STUDIES
in
THE FACULTY OF GRADUATE STUDIES
School of Library, .Archival, and Information Studies
We accept this thesis as conforming
to the required standard
THE UNIVERSITY OF BRITISH COLUMBIA
March 1995
© Trevor Ian May, 1995
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.
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The University of British Columbia
Vancouver, Canada
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Date
DE-6 (2/88)
Abstract
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
Ill
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.
iv
TABLE OF CONTENTS
Abstract ii
Table of Contents iv
List of Tables vii
List of Figures viii
INTRODUCTION 1
Chapter One: Professionalism and Ethics 7
What is a Profession? 7
Taxanomic Model 9
Process Model 12
Power/Autonomy Model 13
Archivists As Professionals 18
The Code of Ethics and Professionalism 27
Summary 28
Chapter Two: Ways of Thinking About Ethics and Ethical Codes 30
Ethical Theory and Premises 30
Applied Ethics and Ethical Codes 37
What Are Ethical Codes and What Use Do They Serve? • 38
Perspectives on Ethical Codes 42
- Durkheim 42
Bayles 43
Edel 46
Lang and Hendler 47
White and Wooten 48
Kultgen 50
Summary 53
V
TABLE OF CONTENTS Cont'd
Chapter Three: The Nature of Archives and the Principles Which
Guide Archival Work 58
Naturalness and Impartiality 60
Authenticity 62
Interrelatedness 64
The Ethical Treatment of Records 67
The Ethics of Appraisal 68
Territorial Affinity 70
Maintenance of Forids Integrity 71
Reliable Custody 72
Institutional Suitability 72
Sampling 75
Documentation of Actions 76
Reappraisal 77
Deaccessioning 79
The Ethics of Arrangement 80
Intellectual Arrangement 81
The Ethics of Description 82
Objectivity of Treatment 84
Equity of Treatment •• 84
Reference Service 84
Summary 86
Chapter Four: Assessing Archival Codes 88
Social Vs. Human Functions 90
Assumptions About Professional Autonomy 91
vi
TABLE OF CONTENTS Cont'd
Education in Ethical Reasoning 92
Ethics Committees 93
Formal Review Process 95
Sanction/Reward Mechanisms 95
Rationales * . %
Semantic Ambiguity 98
Logical Structure 100
Moral Norms 103
Permissive Clauses 105
Compatibility of Principles With Societal Norms 107
Bridging Principles . 110
Relative Weight of Principles in Rules 111
Appropriate Ethical Language 112
Professional Relevance 114
Comprehensiveness 116
Summary 120
Conclusion . 121
Bibliography 125
Appendix I 131
Appendix II 134
Vll
List of Tables
Table 1 Results of Applying Comprehensiveness Criteria page 117
Vlll
List of Figures
The Hexagon of Archival Responsibility page 25
1
Introduction
With the advancement of professionalization of archivists throughout North
America, and the attendant formulation of codes of ethics by professional
bodies like the Association of Canadian Archivists (ACA) and the Society of
American Archivists (SAA), it would appear timely to establish a means of
understanding and evaluating these standards. Many such codes are modeled
after those of other professions, transferring both desirable and undesirable
features. Casting a critical eye on the effectiveness of these codes of conduct
requires an understanding of not only ethics and ethical codes, but also of
professionalism and archival principles. Moreover, it is from this
understanding of underlying principles that a set of analytical tools or points
of reference should be developed for practical application.
The debate about archival ethics has occurred sporadically in journal articles
over the last twenty years. Some put forward arguments for developing and
implementing a code of ethics, while others served to herald new codes or
changes to old ones.
The earliest articles revolved around the widely publicized 1968 case in which
a historian claimed wrongful treatment by the archivists at the Roosevelt
Library.1 This incident demonstrated the clear necessity for both mutually
agreed upon principles and rules and an awareness of these standards on the
part of archivists and their clients. However, it was not until 1976 that an
article addressing the whole issue of archival ethics was written by E.W.
Russell for the Australian journal Archives and Manuscripts.2 Russell
recognized the need for some kind of machinery for addressing the problem of
interpersonal and inter-institutional conflict in the role of the archivist. The
machinery suggested by Russell included an ongoing review process in order
to clarify roles, rights and responsibilities; the development of a formal code
xSee R. Polenberg, "The Roosevelt Library. Case: A Review Article," American
Archivist 34 (July 1971), 277-282 and H. Kahn, "The Long-Range Implications for the
Historians and Archivists of the Charges Against the Franklin D. Roosevelt Library,"
American Archivist 34 duly 1971).
2E.W. Russell, "Archival Ethics," Archives and Manuscripts V6 N6 (February
1976), 226-234.