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Directorate, Research records, Arthur Maxwell

 Record Group
Identifier: AC-40.2

Scope and Content Note

The records consist of material maintained by Maxwell in his role as Director of Research. This collection consists of 17 boxes of documents, dating from 1964–1981. The files contain memoranda, letters, notes, and reports.

Organization of the Records of the Directorate

In the Records of the Directorate, employment of modern archival principles are essential to maintain the records' context and natural, organic order necessary to document the functions of the various offices and individuals in their daily activities. To understand the organization of the Records of the Directorate one needs to understand the functions of the office, not just the names of the persons involved or their titles. It is not enough to know that a particular officer was involved with a particular issue, as the records relevant to the issue may have been passed on to another officer of the same Directorate, or passed on to an entirely different Directorate.

Inactive records of the Directorate have been deposited in the archives in many different ways because the Institution has lacked a records management program, which would schedule records to be deposited in the Archives in a timely, orderly manner. As a result the Records of the Directorate often contain the materials of multiple officers of the directorate in a single file that had been physically passed from person to person. Some records were deposited in the Archives as individuals left the Institution or moved on to another position within the Institution, or when they periodically purged their files (see Records of the Directorate, Research, Derek W. Spencer, Associate Director of Research, Associate Director of Interdepartmental Research, 1978–1989, AC-40.4). In other cases, as duties were reassigned among the directorate the files were transferred physically, to the new office which afforded the new officer a chance to retire inactive records to the Archives (see Records of the Directorate, Marine Operations, Richard Pittenger, AC 8.1). Occasionally an officer has a unique body of records (see Records of the Directorate, Research, Bostwick Ketchum, Associate Director, Associate Director for Biology and Chemistry, 1962–1978, AC 40.1). This collection consists only of Ketchum’s records, and Ketchum’s records are not found in any other collection.

Generally speaking, the files of the Records of Directorates reflect functions which individuals were the last to handle or are files of ongoing functions that have been cut off at a particular point in time. There are always exceptions to the rule. For instance, essentially all of Mangelsdorf’s materials are in the Records of the Directorate, Financial and Administrative Operations, AC-16, though some technically should be located in the Records of the Directorate, External Affairs. Some individuals do not have unique materials, such as Ferris Webster. Anomalies in any segment of the Records of the Directorate are indicated in the narrative of each finding aid. As noted above, an effort was made to maintain the context of the records to document the functions of the various offices and individuals in their regular activities. Significant locations of some records are noted below.

David Scott had many responsibilities not reflected in his records. His files were passed to other members of the directorate as his duties were dispersed among them. For example, a large part of his responsibilities included oversight of the research fleet; including ships, submersibles, and aircraft, but the Records of the Assistant Director for Administration contain no files on the fleet. This duty was passed, along with the physical folders, from Scott to Morse, Maxwell, Grice, and ultimately to Associate Director for Marine Operations Pittenger in 1991. Pittenger retired the inactive records to the Archives. In an effort to maintain continuity, Ship Scheduling Records and Foreign Clearance Records, etc., are maintained under the Records of the Associate Director for Marine Operations (AC–08) because marine operations are a function of that office, and that was the office which held the records when they were retired.

Robert Morse’s records as Associate Director and Director of Research were integrated into the Records of the Office of Education (AC-13) when that collection was processed in November 2000, as were the inactive records of John Farrington as Associate Director for Education. All records of the Dean of Graduate Studies are in the Records of the Office of Education. No records of the Provost (Maxwell), or any other member of the Directorate occur in the Records of the Office of Education.

Records of Associate Director for Scientific Operations, George Grice, were integrated into Records of Associate Director for Marine Operations, Pittenger prior to 2001. Grice’s non-Marine Operation related records were incorporated into the Records of the Directorate, Financial and Administrative Operations, Lawrence Ladd, Associate Director for Institutional Operations, also prior to 2001.

Records of the Directorate, Research, AC-40

  1. Bostwick Ketchum, 1962 – 1977, AC-40.1: Associate Director for Biology and Chemistry
  2. Arthur Maxwell, 1965 – 1981, AC-40.2: Associate Director of Research, Director of Research, Provost
  3. Robert Frosch, 1975 – 1977, AC-40.3: Associate Director for Applied Oceanography
  4. Derek W. Spencer, 1978 – 1989, AC-40.4: Associate Director of Research, Associate Director of Interdepartmental Research
  5. Robert Gagosian, 1987 – 1993, AC-40.5: Associate Director of Research, Director of Research
  6. James Luyten, 1994 – Present, AC-40.6 (unprocessed): Associate Director of Research, Executive Vice President and Director of Research

The areas of responsibility of the Directorate, Research, as reflected in this collection, include oversight (review, approve, disapprove) of the research activities of the institution; representing the Institution in governmental and professional organizations; participating in policy making decisions; pursuing funding for research; coordinating scientific activities pertaining to the quality of the marine environment; assisting with preparation of the budget; assisting in recruiting and hiring scientific staff. As alluded to above, this collection does not include certain functions that were at one time assigned to the Directorate, Research, but which were later transferred to another directorate, notably ship scheduling, the files of which are located in the Records of the Directorate, Marine Operations (AC 8).

Records of the Directorate, Financial and Administrative Operations, AC-16

  1. Insurance Files, 1975 – [ongoing], AC-16.1
  2. David Scott, 1961 – 1976, AC-16.2: Assistant Director for Administration
  3. Fred Mangelsdorf, 1966 – 1976, AC-16.3: Assistant Director for Development and Information, Assistant Director
  4. Joseph Kiebala, 1976 – 1986, AC-16.4: Assistant Director for Administration, Assistant Director for Finance and Administration
  5. Gary Walker, 1986 – 1991, AC-16.5: Assistant Director for Finance and Administration
  6. Lawrence Ladd, 1991 – 1995, AC-16.6: Associate Director for Institutional Operations
  7. Paul Clemente, 1995 – 2001, AC-16.7 (unprocessed): Associate Director for Finance and Administration
  8. Carolyn Bunker, 2002-present, AC-16.8 (unprocessed): Acting Associate Director of Finance and Administration in 2002; Vice President for Finance & Administration and Chief Financial Officer in 2003

The areas of responsibility of the Directorate, Financial and Administrative Operations, as reflected in this collection, include oversight of the activities of the business office, news and information office, development, accounting, administrative systems, procurement, human resources, facilities, plant projects, risk management, government regulations, and technology transfer.

Records of the Directorate, Marine Operations, AC-8

  1. Richard Pittenger, 1991 – Present, AC-8.1 (unprocessed): Associate Director for Marine Operations

The areas of responsibility of the Directorate, Marine Operations, as reflected in this collection, include ship scheduling, ship use, foreign clearances, Marine Personnel, ship logs, cruise reports, grants and contracts relating to ship use, ship construction, ship renovation, and ship acquisition.

Records of the Directorate, External Affairs

  1. Jacqueline Hollister, 1997 – Present (no records): Associate Director for Communications, Development, and Media Relations

The areas of responsibility of the Directorate, External Affairs, as reflected in this collection, include oversight of communications (including graphics, publications, and the information office), development, and media relations.

Records of the Office of Education, AC-13

  1. H. Burr Steinbach, 1968 – 1973: Dean of Graduate Studies
  2. Robert Morse, 1971 – 1979: Director of Research, Associate Director, Dean of Education
  3. Charles D. Hollister, 1979 – 1989: Dean of Graduate Studies
  4. A. Lawrence Pierson, 1968 – 1993: Assistant to the Dean/Associate Dean & Registrar
  5. Craig E. Dorman, 1989 – 1990: Dean of Graduate Studies (Acting)
  6. John W. Farrington, 1990 – 1993: Associate Director for Education and Dean of Graduate Studies

These records, processed in November 2000, document the history and activities of the Education Department, including files of the Marine Policy Center that may not be found in the Center’s own files.

Dates

  • Creation: 1964-1981

Language of Materials

The records are in English.

Access

Restricted: materials may only be viewed by the Office of Origin or permission of the Archivist.

Use

Copyright: Permission to publish material from the collection must be authorized by the Institution Archivist.

Administrative History

The Directorate is the collective name given to the highest-level administrators of the Institution. The term apparently first appears circa. 1972, in a memorandum from Paul Fye, Director, to the Staff Council, intended to establish decision levels with in the Institution. In this memo, Fye defined the Directorate as the Director, Provost, Director of Research, Dean of Graduate Studies, Associate Directors, and Assistant Directors. (The Staff Council consisted of the Directorate plus Department Chairmen.) The Directorate rarely functioned as an independent unit; rather its members functioned as a part of the Staff Council and in their individual assigned duties. As the Institution expanded, the Directorate did as well, not just in number, but also in titles and functions.

The history of the Directorate in its present form begins in 1961. 1 Paul Fye created the position of Assistant Director for Administration in 1961 and reinstated the position of Associate Director in 1962.  From that time to the present, the Directorate has been a fluid body, changing and adapting as the needs of the Institution changed, and as the men and women of the Directorate brought their unique skills to their positions. The Records of the Directorate were also fluid. Some file folders were physically passed from officer to officer as responsibilities were reassigned.

Currently and historically the Institution has had five areas of administrative responsibilities: The Financial and Administrative Operations of the Institution; the Marine Operations of the Institution; and the Research Operations of the Institution; the Educational Operations of the Institution; and the External Affairs (Media and Public Relations, Development) of the Institution.

After a 22-year career in the U.S. Navy, David Scott was the first member of the Directorate to have a title that reflected his corresponding administrative responsibilities. As Assistant Director for Administration from 1961 – 1976, Scott was hired expressly to oversee the day-to-day business of running the Institution, excluding scientific operations and research. Specifically he was responsible for the activities of the business office, the various service groups, the research fleet (including ships, submersibles, and aircraft), development, public information, and education activities. Prior to Scott, the Director handled the administration of the Institution personally, and designated various individuals to handle administrative matters.

Bostwick Ketchum became the second member of the Directorate in 1962 when Fye promoted him to the position of Associate Director, with responsibilities for the scientific operations and research at WHOI.  Arthur Maxwell, who had most recently been Head of the Geophysical Branch at the Office of Naval Research, joined the Institution in 1965 as Associate Director, and Ketchum’s title and role were redefined as Associate Director for Biology and Chemistry. The Associate Directors supported the Director in overseeing the activities of scientific departments and committees. They also represented the Institution in governmental and professional agencies and committees impacting on the marine sciences, participated in policymaking and the pursuit of funding for research.

In 1966, as the Institution continued to grow, David Scott’s administrative duties were split. Scott maintained oversight of the research fleet and the business office.  Fred Mangelsdorf, who had been promoted to Assistant Director for Development and Information, was responsible initially for development activities, public information and education activities. From 1970 until he left the institution in 1976, his title was shortened to simply Assistant Director after Fye recognized that Mangelsdorf’s responsibilities had outgrown the title.

With the addition of the MIT/WHOI Joint Program in 1968, and the general expansion of WHOI’s scientific obligations, the Institution’s administrative needs also grew.  H. Burr Steinbach, former President and Director of the Marine Biological Laboratory in Woods Hole, served as the first Dean of Graduate Studies at WHOI, from 1968 until he retired in 1973.  Arthur Maxwell was promoted to Director of Research in 1969, and was later named as the Institution’s first (and last) Provost in 1971. As Provost, his was the penultimate authority for internal operation of the Institution, with specific responsibility for the Joint Program and WHOI’s participation in JOIDES. Paul Fye created the position of Provost for Maxwell in order to bring Robert Morse onboard in an appropriate capacity. 2

Robert Morse, the first president of the united Case Western Reserve University, was the first in a succession of Associate Directors at WHOI with oversight of scientific operations and research.  Morse was named Director of Research in 1971, trading that position for Associate Director of Research and Dean of Graduate Studies in 1973, and holding those dual positions until 1979.  Ferris Webster was promoted to Associate Director in 1973, serving until 1977, and Robert Frosch was appointed Associate Director for Applied Oceanography from 1975 – 1977 after serving as the Assistant Executive Director of the United Nation’s Environmental Programme in Kenya.

The nation’s bicentennial year saw David Scott retire and Fred Mangelsdorf leave the Institution to take a position with Texaco. At this time Joseph Kiebala, Vice President of Business Affairs at Wellesley College, came on board as Assistant Director for Administration for two years before his responsibilities and title changed to Assistant Director for Finance and Administration (1978 – 1986).

When Paul Fye retired as Director in 1977, Bostwick Ketchum retired as Associate Director and was appointed Scientist Emeritus; Ferris Webster left the Institution to take a position as Assistant Administrator for Research and Development at the National Oceanographic and Atmospheric Administration (NOAA); and Robert Frosch left to become Director of NASA.  Derek Spencer was promoted to the position of Associate Director for Research in 1978, and in 1987 his title and role were expanded to Associate Director for Interdepartmental Research, a position he held until 1989 when he returned to pursue science full time at WHOI.

In 1979 Robert Morse resigned his administrative responsibilities in order to devote more time to research and professional activities at the Institution. Charles Hollister was promoted to Dean of Graduate Studies in 1979, a position he held until 1989. In 1981 George Grice joined Spencer, Kiebala, and Hollister in the Directorate when he was promoted to Associate Director for Scientific Operations. Also in 1981, Arthur Maxwell left WHOI for a position at Texas A M University.  No other changes or additions were made until Joseph Kiebala left in 1986. At that time, Gary Walker, a corporate manager of budgets and financial services in Nashua, NH, replaced Kiebala as Assistant Director for Finance and Administration. When Walker left in 1991, he became the last person (to date) to hold the position of Assistant Director. His duties were assumed by an Associate Director ( Lawrence Ladd), as will be shown later.

Robert Gagosian was promoted to replace Derek Spencer as Associate Director of Research in 1987. Gagosian later served as Senior Associate Director and Director of Research from 1992 – 1993. Spencer left the Institution in 1989, as noted above, and Hollister changed careers at WHOI to become Associate Director for External Affairs.  John Farrington was rehired by the Institution after teaching at the University of Massachusetts, Boston Harbor Campus, and undertook the dual roles of Dean of Graduate Studies and the newly created position of Associate Director of Education in 1990, positions that he currently holds. In 1991, Charles Hollister resigned from his position in the Directorate, but continued to serve the Institution as Vice President.

Former Rear Admiral and Oceanographer of the Navy Richard Pittenger filled the newly established position of Associate Director for Marine Operations in 1991, a position he currently holds. Pittenger took over duties that variously had been assigned to Scott, Maxwell, Morse, Kiebala, Robertson “Bob” Dinsmore (Marine Operations), and Grice, who had retired in 1991. In 1992, after serving as Dean of Administration at Tufts University, Associate Director for Institution Operations Lawrence Ladd began a four and a half year term at WHOI, taking over the duties of Assistant Director for Finance and Administration from Gary Walker, who had left the Institution to take a position with the Appalachian Mountain Club in Boston.

In 1994, Gagosian became director of WHOI and James Luyten was promoted to Associate Director for Research, a position that he currently holds. Ladd left in 1995 and Paul Clemente, formerly at Boston University where he had served as Associate Vice President for Financial Affairs, was hired that same year for the same position but with the new title of Associate Director for Finance and Administration. Clemente left WHOI in October 2001 to take a position in the administration at Bentley College, his alma mater. The final addition to the current Directorate is Jacqueline Hollister, promoted to the newly created position of Associate Director for Communications, Development, and Media Relations, in 1997.
  1. 1Alfred C. Redfield was Associate Director from 1942-1956. Evidence of Redfield's administrative activities, in the form of periodic letters and memos, is scattered through the Records of the Office of the Director (AC-9), inter-filed among the correspondence of Columbus Iselin and Edward Smith. There is no evidence of his administrative activities located among his personal papers (MC-29) or any of the Records of the Directorate.
  2. 2Oral History Interview with A. Lawrence "Jake" Peirson, III, by Frank Taylor and Garfield Arthur, June 2001, Woods Hole Oceanographic Institution, Data Library and Archives.

Members of the Directorate, by Name

  1. Paul Clemente
  2. Associate Director for Finance and Administration, 8/1995 – 10/2001
  3. John Farrington
  4. Associate Director for Education, 1990 – Present
  5. Dean of Graduate Studies, 1990 – Present
  6. Robert Frosch
  7. Associate Director for Applied Oceanography, 1975 – 1977
  8. Robert Gagosian
  9. Associate Director of Research, 1987 – 1992
  10. Director of Research, 1992 – 1993
  11. George Grice
  12. Associate Director for Scientific Operations, 1981 – 1991
  13. Charles Hollister
  14. Dean of Graduate Studies, 1979 – 1989
  15. Associate Director for External Affairs, 1989 – 1991
  16. Jacqueline Hollister
  17. Associate Director for Communications, Development, and Media Relations, 1997 –Present
  18. Bostwick Ketchum
  19. Associate Director, 1962 – 1965
  20. Associate Director of Biology and Chemistry, 1965 – 1977
  21. Joseph Kiebala
  22. Assistant Director for Administration, 1976 – 1977
  23. Assistant Director for Finance and Administration, 1978 – 1986
  24. Lawrence Ladd
  25. Associate Director for Institution Operations, 12/1991 – 7/1995
  26. James Luyten
  27. Associate Director for Research, 1994 – Present
  28. Fred Mangelsdorf
  29. Assistant Director for Development and Information, 1966 – 1970
  30. Assistant Director, 1970 – 1976
  31. Arthur Maxwell
  32. Associate Director, 1965 – 1969
  33. Director of Research, 1969 – 1971
  34. Provost, 1971 – 1981
  35. Robert Morse
  36. Director of Research, 1971 – 1973
  37. Associate Director, 1973 – 1979
  38. Dean of Graduate Studies, 1973 – 1979
  39. Richard Pittenger
  40. Associate Director for Marine Operations, 1991 – Present
  41. David Scott
  42. Assistant Director for Administration, 1961 – 1976
  43. Derek Spencer
  44. Associate Director for Research, 1978 – 1987
  45. Associate Director for Interdepartmental Research, 1987 – 1989
  46. H. Burr Steinbach
  47. Dean of Graduate Studies, 1968 – 1973
  48. Gary Walker
  49. Assistant Director for Finance and Administration, 1986 – 11/1991
  50. Ferris Webster
  51. Associate Director, 1973 – 1977

Titles of Members of the Directorate

  1. Provost
  2. Dean of Graduate Studies
  3. Director of Research
  4. Associate Director
  5. Associate Director of Biology and Chemistry
  6. Associate Director for Applied Oceanography
  7. Associate Director for Research
  8. Associate Director for Interdepartmental Research
  9. Associate Director for External Affairs
  10. Associate Director for Scientific Operations
  11. Associate Director for Education
  12. Associate Director for Marine Operations
  13. Associate Director for Institution Operations
  14. Associate Director for Finance and Administration
  15. Associate Director for Communications, Development, and Media Relations
  16. Assistant Director
  17. Assistant Director for Administration
  18. Assistant Director for Development and Information
  19. Assistant Director for Finance and Administration

Location of Offices of the Directorate

  1. Scott: Main/Bigelow, 1961 – 1974; Clark, 1975 – 1976
  2. Ketchum: Main/Bigelow, 1962 – 1974; Clark, 1975 – 1977
  3. Maxwell: Main/Bigelow, 1965 – 1974; Clark, 1975 – 1981
  4. Mangelsdorf: Main/Bigelow, 1966 – 1974; Clark, 1975 – 1976
  5. Steinbach: Main/Bigelow, 1968 – 1973
  6. Morse: Bigelow, 1971 – 1974; Clark, 1974 – 1979
  7. Webster: Bigelow, 1973 – 1974; Clark, 1974 – 1977
  8. Frosch: Clark, 1975 – 1977
  9. Kiebala: Clark, 1976 – 1986
  10. Spencer: Clark, 1978 – 1987; Bell, 1987 – 1989
  11. C. Hollister: Clark, 1979 – 1989; Fenno, 1990 – 1991
  12. Grice: 38 Water Street, 1981 – 1991
  13. Walker: Clark, 1986 – 1987; Bell, 1988 – 1991
  14. Gagosian: Bell, 1987 – 1993
  15. Farrington: Clark, 1990 – Present
  16. Pittenger: 38 Water Street, 1991 – Present
  17. Ladd: Bell, 1991 – 1995
  18. Luyten: Bell, 1994 – Present
  19. Clemente: Bell, 1995 –2000; Challenger, 2000 – 2001
  20. J. Hollister: Fenno, 1997 – Present

Members of the Directorate, Chronological

1961
Scott
1962–1964
Scott, Ketchum
1965
Scott, Ketchum, Maxwell
1966–1967
Scott, Ketchum, Maxwell, Mangelsdorf
1968–1970
Scott, Ketchum, Maxwell, Mangelsdorf, Steinbach
1971–1972
Scott, Ketchum, Maxwell, Mangelsdorf, Steinbach, Morse
1973
Scott, Ketchum, Maxwell, Mangelsdorf, Steinbach, Morse, Webster
1974
Scott, Ketchum, Maxwell, Mangelsdorf, Morse, Webster
1975–1976
Scott, Ketchum, Maxwell, Mangelsdorf, Morse, Webster, Frosch
1977
Ketchum, Maxwell, Morse, Webster, Frosch, Kiebala
1978
Maxwell, Morse, Kiebala, Spencer
1979
Maxwell, Morse, Kiebala, Spencer, C. Hollister
1980
Maxwell, Kiebala, Spencer, C. Hollister
1981–1985
Kiebala, Spencer, C. Hollister, Grice
1986
Spencer, C. Hollister, Grice, Walker
1987–1988
Spencer, C. Hollister, Grice, Walker, Gagosian
1989
C. Hollister, Grice, Walker, Gagosian
1990
C. Hollister, Grice, Walker, Gagosian, Farrington
1991
Walker, Gagosian, Farrington, Pittenger
1992–1993
Gagosian, Farrington, Pittenger, Ladd
1994
Farrington, Pittenger, Ladd, Luyten
1995
Farrington, Pittenger, Ladd/Clemente, Luyten
1996
Farrington, Pittenger, Luyten, Clemente
1997–2001
Farrington, Pittenger, Luyten, Clemente, J. Hollister
2002–
Farrington, Pittenger, Luyten, J. Hollister

Extent

17 boxes plus oversized material (11.5 lin. ft.)

Additional Description

Overview

The records of Director of Research, Arthur Maxwell.

Arrangement

Arranged in a single series:

List of Series:

  1. Subject files

Custodial History

The custodial history is undocumented.

Acquisitions Information

The records were received from Mary Sears in September 1986.

Related Material

See also the records of the Office of the Director (AC-09).

Processing Information

The records were put into acid-free folders and boxes and labeled. Acidic and fragile papers were photocopied. Metal clips and staples were removed. Original order and folder titles were kept.

Weeding of the records was done to eliminate duplicate copies, non-record material within folders of records, and records that are considered non-permanent, such as routine transmittals, thank you notes, payment vouchers, general requests for information, etc.

The concept of “office of record” was implemented in order to further eliminate material that is duplicated in other collections when either the other collection was known to maintain the material or when Frosch was merely one of many recipients. One example is memoranda directed to the entire Staff Council. The office of record in this instance is one of two places: In the records of the chairman of the Staff Council or in the records of the author of the memoranda. Whenever possible, the Records of the Office of the Director is used as the office of record.

Finding Aid & Administrative Information

Title
A Guide to the Directorate, Research records, Arthur Maxwell, 1964-1981
Author
David Sherman
Date
2015
Language of description
English
Script of description
Latin
Language of description note
Finding aid written inEnglish

Repository Details

Repository Details

Part of the Woods Hole Oceanographic Institution, Data Library and Archives Repository

https://dla.whoi.edu/dla/
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