Objective

By completion of this module, students should be able to understand how archival work contributes to historical research, to appreciate the role and importance of archival records and to develop viable research strategy in using archival records as a source of historical evidence to reconstruct the past.

Course Description

This course aims to guide history students to use archival records in historical research by introducing the unique nature and characteristics of archival records, the context in which they are created and used, the importance and constraints on using archival records in historical inquiry, the functions and activities of an archival institution and the work of a professional archivist.

Fundamental archival concepts and prevailing techniques that help organize, describe and preserve archival records as an authentic and impartial source of documentary evidence over time will be discussed. “Challenges” arising from increasing use of electronic means in conducting daily business in recent years from a perspective of historical inquiry will also be discussed.

The importance of archives in promoting and protecting social justice will also be discussed.

Part I: Fundamental principles and concepts

1. Documents, records and archival records

(a) Course overview

(b) What are archival records?

l Why we create records?

l From documents to records

l From records to archival records

(c) The rise of modern archives

(d) Characteristics of archival records as an historical source

(e) How archives support the work of historians?

Readings:

Lester J. Cappon, “Historical Manuscripts as Archives: Some Definitions and Their Application”, American Archivist 19 (April 1956): 101-10 [Reprinted in Richard J. Cox (ed.), Lester J. Cappon and the Relationship of History, Archives, and Scholarship in the Golden Age of Archival Theory (Chicago: Society of American Archivists, 2004), pp. 35-42].

Sue McKemmish, “Introducing Archives and Archival Program”, in Judith Ellis (ed.), Keeping Archives, 2nd edition (Port Melbourne: D. W. Thorpe in association with the Australian Society of Archives Inc, 1993), pp. 1-24.

James M. O’Toole, Understanding Archives and Manuscripts (Chicago: Society of American Archivists, 1990), Chapter 1 – “Recording, Keeping, and Using Information” and Chapter 2 – “The History of Archives and the Archives Profession”.

2. Archives, archivists and archival work

(a) Why set up archives?

(b) Archivist in a modern society: Roles, duties and professional ethics

(c) An overview of archival work

(d) Professional associations and societies of archivists

Readings

Richard J. Cox, Archives & Archivists in the Information Age (New York & London: Neal-Schuman Publishers, Inc., 2005), Chapter 1 – “Why Organizations Need Archivists”.

Hilary Jenkinson, “The English Archivist: A New Profession”, in Roger H. Ellis and Peter Walne (eds.), Selected Writings of Sir Hilary Jenkinson (Chicago: Society of American Archivists, 2003), pp. 236-259.

James M. O’Toole, Understanding Archives and Manuscripts, Chapter 3- “The Archivist’s Perspective: Knowledge and Values” and Chapter 4 – The Archivist’s Task: Responsibility and Duties”.

Part II: Understanding the context of using archival records

3. Recordkeeping activity and archival selection

(a) Context of archival selection: records creators and recordkeeping activity

(b) The nature and purpose of archival appraisal

(c) Tools for appraisal: Acquisition policy and taxonomy of records values

(d) Functional analysis and macro-appraisal

(e) An overview of appraisal workflow

(f) Other forms of acquisition: Donation and purchasing

Readings

Frank Boles, Selecting & Appraising Archives & Manuscripts (Chicago: Society of American Archivists, 2005).

Barbara Craig, Archival Appraisal: Theory and Practice (München: K.G. Saur, 2004).

Angelika Menne-Haritz, Business Processes: An Archival Science Approach to Collaborative Decision Making, Records, and Knowledge Management (Dordrecht, Boston & London: Kluwer, 2004).

4. Archives arrangement and description system

(a) “Provenance” and “Original Order”: Two fundamental arrangement principles

(b) Levels of archival arrangement

(c) “Fonds-based” and “series-based” description systems

(d) Introduction of prevailing archives descriptive standards

(e) Automation of archives management system

Readings

Margaret Procter and Michael Cook, Manual of Archival Description, 3rd edition (Aldershot, Hampshire: Gower, 2000), Part I – “The Nature of an Archival Description” and Part II – “The Data Structure of an Archival Description”.

Kathleen D. Roe, Arranging & Describing Archives & Manuscripts (Chicago: Society of American Archivists, 2005).

Clive Smith, “The Australian Series System”, Archivaria 40 (Fall 1995): 86-93.

5. How to formulate research strategy for using archival records

(a) Introduction to frequently used government archives in Hong Kong: Land records, court records, death/birth records, company files, maps, posters, photographs, video and the Carl Smith Collection

(b) Types of archival finding aids

(c) How to use archival finding aids to help historical research

Readings

Frank G. Burke, Research and the Manuscript Tradition (Lanham & London: Scarecrow Press and Chicago: SAA, 1997).

Jennifer Edgecombe, “Finding Aids”, in Judith Ellis (ed.), Keeping Archives, 2nd edition, pp. 248–272.

Michael R. Hill, Archival Strategies and Techniques (Newbury Park, London & New Delhi: SAGE Publications, 1993).

Part III: The challenge of keeping and using archival records

6. Legal issues relating to access to and use of archival records

(a) Access policy of government archives in Hong Kong

(b) Data protection and copyright issues

(c) How historical research will be affected under present framework

Readings

Archives and Manuscripts, 26.2 (November 1998), Theme Issue: Recordkeeping and the Law.

Mary Jo Pugh, Providing Reference Services for Archives & Manuscripts (Chicago: Society of American Archivists, 2005).

Helen Smith, “Legal Responsibilities and Issues”, in Judith Ellis (ed.), Keeping Archives, 2nd edition, pp. 108-136.

7. Archives legislation: The framework for the management, preservation and use of archival records

(a) Archives legislation as the framework for archival work

(b) Components of an archives legislation

(c) Development of archives legislation in Hong Kong and its neighboring countries

(d) How historical research will be affected under the present framework

(e) Social justice and archives.

Readings

Sarah Choy, “Principles for Archives and Records Legislation”, International Council on Archives Committee on Archival Legal Matters, 2006.

Christine Loh etal., Managing Public Records for Good Governance and Preservation of Collective Memory: The Case for Archival Legislation, Civic Exchange, 2007.

8. Electronic record: A nightmare to archivists and historians

(a) Technology development and the emergency of e-Government and e-Business

(b) Components of a complete records: Content, Context and Structure

(c) What are the problems of electronic records?

(d) How historians suffer the consequences?

Readings

Luciana Duranti, Terry Eastwood and Heather MacNeil, Preservation of the Integrity of Electronic Records (Dordrecht, Boston & London: Kluwer, 2002).

Seamus Ross, “The Expanding World of Electronic Information and the Past’s Future”, in Edward Higgs (ed.), History and Electronic Artefacts (Oxford: Oxford University Press, 1998), pp. 5-28.

Jeff Rothenberg, Avoiding Technological Quicksand: Finding a Viable Technical Foundation for Digital Preservation (Washington, DC : Council on Library and Information Resources, 1999).

Part IV: Wrap-up, visit and discussion

9. Oral presentation

Students are required to visit one of the local archival institutions in order to acquire practical experience as users of original sources. After the visit, students are required to write a visit report to describe their experience of using archival records and assess the significance and possible limitation of archival records as a source of historical evidence. In this session, students will be given 10-15 minutes each to present their findings.

10. OPTIONAL Field Trip: Visiting archives in neighboring territories

An optional visit to national, provincial and municipal archives in China will be arranged for interested students. Subject to their confirmation, the First Historical Archives (Beijing), Shanghai Municipal Archives, Second Historical Archives (Nanjing), Guangdong Provincial Archives, and Guangzhou City Archives are to be visited. Through the visits, management practices of and archival materials relating to Hong Kong in these archives will be introduced to students.

Project and Assignment: You are required to:

i)  Submit an essay (20%)

ii)  Conduct an original archival research (40%)

iii)  Write a site visit report (20%)

iv)  Participate in Tutorials (20%)

i)  An essay of about  1500 words on the following topic (20%)

 “What are Archives? As a class of historical evidence, why is it so highly rated in historical reserach?“

In your essay, you need to address the following concepts :        

– What are records/what are NOT records

– What are archives/what are NOT archives

– What are “primary” sources and what are “secondary” sources”

– nature and uniqueness of records/archives as differentiated from other types of historical sources such “documents” and “manuscript”

– relationship between their management system and their special evidential value in historical research

Note: The completed essay should be sent to the tutor (Mr. Chen Ruochen, gabbychen.his@gmail.com) on or before October 6 (Monday).

ii)  Research Project (40 %)

TO BE ANNOUNCED

iii)  Visit the Legislative Council Archives and write a report on: (20%)

a)  Its mission, objectives and functions

b)  Organization of its archival holdings

–  Every student needs to (1) participate in three tutorials, (2) give a presentation for 10 minutes individually, and (3) give a five-minute comment on one other student’s presentation.

–  There are two groups (Group A and Group B) with three sections (Section A, Section B and Section C) for each. The tutorials for Group A will be conducted during 8:30-10:00 p.m in LT8, YIA, on Oct. 6, Oct. 20, Nov. 3, and for Group B, same time slot and same venue on Oct. 13, Oct. 27, Nov. 3 and Nov. 10. In each section, five to six students should give their ten-minute presentations, each followed by a five-minute comment.

–  The theme for this semester is “Why Hong Kong should have its own legislation on archives“.
– For section A, the discussion should be focused on a specific case (e.g. The Lamma Island Shipwreck) to see why Hong Kong needs legislation on archives.
– For section B, the discussion should be focused on a specific act or law on archives (e.g. The Public Records Act 1958 in UK) to see how it could or could not be a precedent for Hong Kong.
– For section C, the presenter should imagine himself/herself as the legislator and design a brief structure for the “Archive Law” in Hong Kong.

Some Links:
– The Public Records Act 1958 in UK: http://www.legislation.gov.uk/ukpga/Eliz2/6-7/51/contents
– US Federal Laws, Policy & Regulations on Government Records: http://www.archives.gov/records-mgmt/laws/
– 中华人民共和国档案法: http://baike.baidu.com/view/102861.htm
– 澳門檔案法: http://bo.io.gov.mo/bo/i/89/44/declei73_cn.asp

– For the presentation part, students are required to show analytical thinking in dissecting and forming his/her own opinion on the issue, while in the comment part, students should use critical thinking to point out the problems of the other student’s presentation and how it can be improved.

–  Students are encouraged to make a succinct powerpoint for the presentation, with the main arguments and supporting materials provided. The ppt file (if any) should be sent to the public mailbox archive1415@gmail.com (password: archivemanage) three days prior to the presentation so that the commentator and the rest of the class could read it

Book List: Suggested for Procurement

Part I. Core Text

(1)  Ellis, Judith (ed.). Keeping Archives, 2^nd edition (Port Melbourne: D. W. Thorpe in association with the Australian Society of Archives Inc, 1993).

(2)  O’Toole, James M and Richard J. Cox. Understanding Archives and Manuscripts (Chicago: Society of American Archivists, 2006).

(3)  Daniels, Maygene F. & Timothy Walch (eds.). A Modern Archives Reader: Basic Readings on Archival Theory and Practice (Washington, DC: National Archives and Records Service, 1984).

(4)   Jimerson, Randall C. (ed.) American Archival Studies: Readings in Theory and Practice (Chicago: Society of American Archivists, 2000).

Part II. Reference

I.     Books

(1)  Benedict, Karen. Ethics and the Archival Profession: Introduction and Case Studies (Chicago: Society of American Archivists, 2003).

(2)  Boles, Frank. Selecting & Appraising Archives & Manuscripts (Chicago: Society of American Archivists, 2005).

(3)  Cox, Richard J. The First Generation of Electronic Records Archivists in the United States: A Study in Professionalism (New York, London & Norwood: The Haworth Press, Inc., 1994).

(4)  Cox, Richard J. Archives & Archivists in the Information Age (New York & London: Neal-Schuman Publishers, Inc., 2005).

(5)  Cox, Richard J. Closing an Era: Historical Perspectives on Modern Archives and Records Management (Westport, Connecticut & London: Greenwood Press, 2000).

(6)  Cox, Richard J. (ed.) Lester J. Cappon and the Relationship of History, Archives, and Scholarship in the Golden Age of Archival Theory (Chicago: Society of American Archivists, 2004).

(7)  Cox, Richard J. & David A. Wallace, Archives and the Public Good: Accountability and Records in Modern Society (Westport, CT: Quorum Books, 2002).

(8)  Craig, Barbara. Archival Appraisal: Theory and Practice (München: K.G. Saur, 2004).

(9)  Duranti, Luciana & Terry Eastwood and Heather MacNeil. Preservation of the Integrity of Electronic Records (Dordrecht, Boston & London: Kluwer, 2002).

(10)  Ellis, Roger H. & Peter Walne (eds.). Selected Writings of Sir Hilary Jenkinson (Chicago: Society of American Archivists, 2003).

(11)  Gottschalk, Louis. Understanding History: A Primer of Historical Method, 2^nd edition (New York: Alfred A. Knopf, 1969).

(12)  Higgs, Edward (ed.) History and Electronic Artefacts (Oxford: Oxford University Press, 1998).

(13)  Jenkinson, Hilary. A Manual of Archive Administration, 2^nd edition (London: Percy Lund, Humphries and Co., 1965).

(14)  Justrell, Bőrje. What Is This Thing We Call Archival Science? A Report on an International Survey (Stockholm: The National Archives of Sweden, 1999).

(15)  Lipinski, Tomas A. (ed.), Libraries, Museums, and Archives: Legal Issues and Ethical Challenges in the New Information Era (Lanham, MD: Scarecrow Press, 2002).

(16)  MacNeil, Heather. Trusting Records: Legal, Historical, and Diplomatic Perspectives (Dordrecht, Boston & London: Kluwer, 2000).

(17)  Mitchell, Thornton W. (ed.) Norton on Archives: The Writings of Margaret Cross Norton on Archival & Records Management (Chicago: Society of American Archivists, 1975).

(18)  Padfield, Tim. Copyright for Archivists and Users of Archives, 2^nd edition (London: Facet Publishing, 2004).

(19)  Posner, Ernst. Archives in the Ancient World (Boston, Mass.: President and Fellows of Harvard College, 1972).

(20)  Pugh, Mary Jo. Providing Reference Services for Archives & Manuscripts (Chicago: Society of American Archivists, 2005).

(21)  Ritzenthaler, Mary Lynn. Preserving Archives and Manuscripts (Chicago: Society of American Archivists, 1993).

(22)  Roe, Kathleen D. Arranging & Describing Archives & Manuscripts (Chicago: Society of American Archivists, 2005).

II.   Journals

(1)  The American Archivist, published by the Society of American Archivists.

(2)  Archival Science: International Journal on Recorded Information, published by Springer.

(3)  Archivaria, Published by the Association of Canadian Archivists.

(4)  Archives and Manuscripts, published by the Australian Society of Archivists.

(5)  Comma: International Journal on Archives, published by the International Council on Archives.

(6)  Janus, published by the International Council on Archives.

(7)  Journal of Archival Organization, published by the Haworth Information Press.

(8)  Records & Information Management Report, published by M.E. Sharpe.

Archives and Information Management: Resources on the Internet

I. ListServ List and Mailing List

l   Archives & Archivists List (ARCHIVES) <http://listserv.muohio.edu/archives/archives.html>

l   Records Management Program List (RECMGMT-L) <http://lists.ufl.edu/archives/recmgmt-l.html>

l   Management & Preservation of Electronic Records List (ERECS-L) <http://listserv.albany.edu:8080/archives/erecs-l.html>

l   Aus-archivists mailing list <http://lists.archivists.org.au/cgi-bin/mailman/listinfo/aus-archivists>

l   Arcan-l mailing list <http://www.mailman.srv.ualberta.ca/mailman/listinfo/arcan-l>

II. Resource List/portal

l   Records & Information Management Resource List <http://www.infomgmt.homestead.com/>

l   UNESCO archives Portal <http://www.unesco.org/webworld/portal_archives/>

l   UNESCO RAMP (Records and Archives Management Programme) Studies <http://portal.unesco.org/ci/en/ev.php-URL_ID=21989&URL_DO=DO_TOPIC&URL_SECTION=201.html>

l   Stanford University. Conservation On-Line (CoOL) <http://palimpsest.stanford.edu/>

l   New York State Archives – Publication <http://www.archives.nysed.gov/a/nysaservices/ns_pubs.shtml>

l   Council on Library and Information Resources (CLIR) – Publications <http://www.clir.org/pubs/pubs.html>

l   Research Libraries Group (RLG) – Publications <http://www.rlg.org/en/page.php?Page_ID=5>

III. Certification authorities

l   Academy of Certified Archivists (ACA) <http://www.certifiedarchivists.org>

l   Records Managers: Institute of Certified Records Managers (ICRM) <http://www.icrm.org>

l   Electronic Records Management (ERM) Certificate Program – AIIM <http://www.aiim.org>

IV. Professional Societies and Associations

International

l   International Council on Archives (ICA) <http://www.ica.org/>

l   Association of Records Managers and Administrators (ARMA) <http://www.arma.org>

l   Association for Information and Image Management (AIIM) <http://www.aiim.org>

l   International Records Management Trust (IRMT) <http://www.irmt.org/>

Regional

l   East Asian Regional Branch of the International Council on Archives (EASTICA): <http://www.eastica.org/>

National (or territorial)

l   Society of American Archivists (SAA): <http://www.archivists.org/>

l   Association of Canadian Archivists (ACA) <http://archivists.ca/home/default.aspx>

l   Australian Society of Archivists <http://www.archivists.org.au/>

l   Chinese Archives Society <http://www.saac.gov.cn/archive_bureau/84.htm>

l   Hong Kong Archives Society <http://www.archives.org.hk/>

V. Archival Institutions

l   National Archives and Records Administration, US (NARA) <http://www.archives.gov/index.html>

l   National Archives of UK <http://www.nationalarchives.gov.uk/default.htm>

l   Library and Archives Canada <http://www.collectionscanada.ca/index-e.html>

l   National Archives of Australia (NAA) <http://www.naa.gov.au/>

l   State Archives Administration of China (SAAC) <http://www.saac.gov.cn/>

l   National Archives Administration, Republic of China  <http://www.archives.gov.tw/english/index.aspx>

l   Macao Historical Archives <http://www.icm.gov.mo/ah/C_ah.asp>

l   Public Records Office of Hong Kong <http://www.grs.gov.hk/ws/content/pro/index.htm>

• The class on September 8 (Monday) will NOT be suspended, yet it may end earlier than usual since that day will be the Mid-autumn Day.

• The course ppt is now downloadable at the Course Content section of CU E-learning System.

請注意大學有關學術著作誠信的政策和規則，及適用於犯規事例的紀律指引和程序。詳情可瀏覽此處。

學生遞交作業時，必須連同已簽署的聲明一併提交，表示他們知道有關政策、規則、指引及程序。

• 如屬小組習作，則所有組員均須簽署聲明；所有組員 (不論有否簽署聲明及不論有否直接或間接撰寫有問題的內容) 均須負上集體責任及受到懲處。
• 如作業以電腦製作、內容以文字為主，並經由大學「維誠」系統 (VeriGuide) 提交者，學生將作業的電子檔案上載到系統後，便會獲得收據，收據上已列明有關聲明。
• 學生充分知悉到他們的作業可能會被人工智能內容檢測軟件審查，以確定其原創性。
• 學生充分知悉科目中採用人工智能工具的做法。在經允許下使用某些人工智能工具的情況下，學生已按照科目老師的指示明確註明出處和引文。

未有夾附簽署妥當的聲明的作業，老師將不予批閱。

學生只須提交作業的最終版本。

學生將作業或作業的一部份用於超過一個用途 (例如：同時符合兩科的要求) 而沒有作出聲明會被視為未有聲明重覆使用作業。 學生重覆使用其著作的措辭或某一、二句句子很常見，並可以接受，惟重覆使用全部內容則構成問題。在任何情況下，須先獲得相關老師同意方可提交作業。

由大學職員/老師製作的教學材料，包括課堂筆記、作業及考試題目等，其版權屬香港中文大學擁有；學生可從大學採用的網上教學系統 (例如Blackboard) 下載由大學職員/老師製作的教學材料供其學習使用；惟未經相關職員/老師事先同意下，不得分發/分享/複製這些材料予第三者。