The Basics of Archives

Acknowledgments

• Michigan Historical Center

• New York State Archives

• Ohio Historical Society

• Funded by a generous grant from the Institute of Museum and Library Services

Agenda

• Unit 1: Introduction to Archives and Archivists

• Unit 2: What Do You Collect and How Do You Collect It?

• Unit 3: Processing Your Collections

• Unit 4: Housing Your Collections

• Unit 5: Access and Outreach

• Brief Wrap Up

Unit 1

Introduction to Archives and Archivists

Topics

• What are records?

• What are historical records?

• Who uses them?

• What does the word “archives” mean?

• What does an archivist do?

What Are Records?

• Evidence of our activities and relationships• Provide information about associated

people,organizations, events, and places

What Are Historical Records?• Unique, unpublished resources• Contain important historical or cultural

information about the organizations, people, events, and issues

Who Keeps Historical Records?

• Businesses• Educational

Institutions • Ethnic groups• Formal archives• Local government

offices

• Local historical societies and organizations

• Public libraries• Regional museums• Religious

organizations• Service

organizations

Who Uses Historical Records?

• Individuals

• Organizations

• Communities

• Government

What’s the Big Deal About “Records?”

• Document unique content

• Context is important• Provides a viewpoint• Under what circumstances were these items

created?

Types of Materials

Records Published Materials

Objects and Artifacts

Unpublished collections

Individual published items

Variety of formats

Unique information

content

Content generally isn’t unique

May be unique

Maintain the original historical context in which

records were created

Context of creation isn’t vital

Create curatorial context

(interpretation) for objects

Examples of Historical Records

• Family letters (paper)• Oral histories (audiocassettes or videotapes)• Hand-drawn maps • Diaries• Account books (bound volumes but hand or

typewritten)• Photographs (paper, tintypes, daguerreotypes,

digital!)

3 Definitions of “Archives”

• The non-current records or groups of records collected and preserved by an individual or organization

3 Definitions of “Archives”

• A building or part of a building where archival records are located.

3 Definitions of “Archives”

• An organization, program, or agency that is responsible for managing and preserving historical records.

• An archives• Ensures that historical records are collected,

identified, organized, preserved and made available for use

What Is An Archivist?

• Formal training and experience in the management of historical records

• Knowledge about professional standards and practices

• Follow professional standards and practices

What Does an Archivist Do?

• Appraisal

• Arrangement and Description

• Reference

• Outreach

• Preservation

ArchivistCollects, preserves, makes accessible historical records.

HistorianUses the historical records identified, classified, and preserved by the archivist for historical research.

ArchivistCollects, preserves, makes accessible historical records.Employs professional standards and practices unique to archiving.

LibrarianCollects, preserves, makes accessible published materials.Employs professional standards and practices unique to published material.

ArchivistCollects, preserves, makes accessible historical records in paper, film or electronic form.

Museum CuratorCollects, preserves, makes accessible mostly objects and artifacts.

Unit 2

What Do You Collect and How Do You Collect It?

Topics

• Collection Policy

• Appraisal

• Accessioning• Acquisitions• Getting Control of the Records

Collection Policy

• What your organization should collect

• How it should collect

• How to dispose of collections that are no longer valuable to your organization

Collection Policy Elements

1. Organization and program name

2. Purpose

3. Collecting emphasis

4. Acceptable formats

5. Acquisition process

6. Removal process

7. Loaning process

Putting Your Policy In Context

• Collecting focus

• Financial resources

• Space

• Formats

• Staff expertise and availability

• Users

• Collection Policy Activity

Collection Policy

• Practical and contextual

• Get input from appropriate staff

• Approval by governing body

• Review it regularly

• Begin Your Collection Policy Activity

Topic

Appraisal

• Appraisal is analyzing the historic, legal, administrative, fiscal, and intrinsic value of a group of records and their relationship with other records, based on an organization’s collection policy.

Two Fundamental Questions

• Are the records historically valuable?

• Are the records appropriate for your repository?

• Appraisal Decisions Activity

What Happens After Appraisal?

• Accept• Formally acquire and accession the records

• Reject• Thank the potential donor• Explain your decision in brief, general terms• If appropriate, refer the donor to another

historical records program where the records might be a better fit

Topic

Accessioning

• Acquiring physical and legal control over the records

Accessioning

• Transfer of legal ownership of the records

• Document the content and physical transfer

Legal Transfer

• Purchase agreements

• Deposit agreements

• Deed of gift agreements

Deed of Gift

• Name of donor• Name of recipient• Date of transfer• Details of records

being transferred

• Transfer of rights• Access restrictions• Disposal criteria and

authority• Dated signatures of

donor and recipient

•Signed document that outlines a voluntary transfer of ownership of specific records

Physical and Intellectual Control

After acquisition, documenting

• What you have

• Where it is

• How much of it there is

Working With Accessions

• Assign the accession number

• Create the accession record (documentation)

• Label each container in the accession

• Move the boxes to appropriate storage

Doing the Paperwork

• Inventory control over your accessioned records• Where each accession is located• The content of each accession

• Temporary means of providing access

Accession Record

• Accession number• Title of collection• Source of the collection• Date of accessioning• Amount of material• Description of material• Restrictions• Location

• Accessioning Activity

Documenting the Acquisitions Process

• Accession/Collection Files• Combined or

separate

• Donor Files

Unit 3

Processing

Unit 3 Topics

• Arrangement

• Preservation

• Description

• Putting It All Together -- Processing

Arrangement

• Organizing the records to reveal their content and significance

• Fundamental concepts• Provenance• Original order• Collections• Series

Collections and Series Examples

• Board of Trustees Minutes, 1956 – 1973

• Sailing Association Records, 1934 – 19781) minutes,

2) membership rosters,

3) correspondence,and

4) photographs of events

Arrangement

1. Research

2. Identify collections and series

3. Decide on your arrangement schema and plan for preservation

4. Make a plan

Step One: Research

• Accession and acquisition records

• Resources to learn more:• Who was the creator of the records?• What do you know about the people who

created the records?• What do you know about the time, place and

subjects of the records?

Step Two: Identify Collections and Series

• Identify collections and record series and physically divide the records into collections as necessary

• Decide whether or not maintaining original order is possible

Step Three: Final Decisions

• What is the original order of the records? • What kind of information is in the records? • Why might the records be organized this way? • What kinds of formats are within the collection? • What kind of supplies will you need to process

the collection? (More about this in a minute.) • How will you address “document level”

arrangement?

Step Four: Make A Plan

• The corresponding accession number

• Identified record series

• Arrangement decisions

• Formats and supplies that you will need

• Your thoughts as to what should be processed first; problems that might be encountered; etc.

Activity

Arrangement Decisions

TopicPreservation• Preservation

actions result in a collection that is protected from damage and will better stand the test of time.

Preservation

• Examine the condition of materials

• Remove containers and supplies that are unsafe for the storage of historic materials

• Promote storage conditions for the collection that will help keep it safe and in good condition

Basic Rules

• Handle records as little as possible• Return records to storage when not working on

them• Don’t use pens!• Keep work areas clean• Use archival quality supplies whenever

possible• Understand the different needs for different

types of materials

Supplies

• Alkaline/lignin free file folders

• Alkaline/lignin free paper for interleafing

• Archival storage boxes (if affordable)

• Mylar enclosures for photographs

• Number two pencils and a good gum eraser

• A dust brush

Loose Paper

• Unfold, remove from envelopes• Remove rusty, damaged staples and fasteners• If dirty, use dust brush to gently remove dirt• Refolder in alkaline file folders

• Don’t overfill!

• Place in boxes• Don’t overfill• Use spacers as necessary

Bound Volumes

• Remove fasteners and staples, if rusty or damaged

• Unfold pages as necessary

• Remove excess dirt

• Store• Horizontally on shelves• Spine down in boxes

Maps, Drawings and Oversize Materials• If part of a standard sized collection:

• Remove oversize items• Insert separation sheet within collection• Store separated item appropriately

• Group and store by size• Storage

• Enclose in alkaline folders and store horizontally• Roll (if flexible) and store in archival quality tubes or

tie with polyester ribbon• Store rolled materials flat, if possible

Photographic Media

• Best practice – mylar enclosures

• Good – alkaline paper envelopes

• Cased objects• Original cases or frames• Acid free boxes

• Mark enclosures with pencil only

Scrapbooks

• If in good condition, store in archival boxes

• If poor condition, photocopy or microfilm

• Dismantled scrapbooks should be treated based on type of material

Other Types of Materials

• News clippings

• Microfilm and Microfiche

• Audiovisual materials

Topic

Description

• A roadmap for using the collection

Description

• Management

• Access

• Location

• Source

• Information about content

Catalogs

• Collection title

• Provenance (Creator)

• Dates

• Collection (call)

number

• Brief description

Is a Catalog Entry Enough?

• Does it meet the users needs?• Yes – for most small collections

Ada Elder Autograph Book 1920One volumeCall Number: MSS 98  William Banister School Records 19101 cubic footCall Number: MSS 45

Finding Aid Core Elements

• Name of the program that holds the collection• Unique collection number• Collection title• Collection dates• Name of creating entity• Biographical sketch or organizational history• Records description• Access restrictions• Inventory – list of boxes and folders

Biographical Sketch/Organizational History

• Overview of the main events in the history of the creator

• Provides user with enough information to understand the context in which the records were created

Description

• Types of materials

• Dates

• Information about arrangement

• Strengths, weaknesses and gaps

• Significant subjects, people, organizations

Access Restrictions

• Access restrictions

• Copyright Statements

Inventory

• Detailed table of contents of the records

Box 1

Minutes January, 1955-June, 1955

Folder 1

Minutes July, 1955 - November, 1955

Folder 2

Minutes December, 1955 - May, 1956

Folder 3

Putting It All Together

• Research the creator

• Learn about the records

• Decide on an arrangement scheme

• What supplies do you need?

• Processing work based on format

• Complete catalog entry and finding aid• Based on your research and work with the

collection

• Putting It All Together Activity

Unit 4

Housing Your Collections

Topics

• Physical space

• Environment

• Security

• Disaster planning and response

Your Building

Assess the overall condition of your building

• Exterior

• Interior

Storage Areas: Basements and Attics

• Avoid storing historic records in either

• If you must…• Store in archival quality boxes• 4-6 inches off the floor• Monitor for pests and rodents• Routinely check for water problems• Fire extinguishers and smoke detectors

Topic

Environment Control

• Controlling the environmental conditions so that deterioration is prevented

Climate Control: Minimum Requirements

• Stable conditions• Limit fluctuations

• Temperature: no higher than 70 degrees F • RH: 30% - 50%

• No lower than 30%

• Monitoring Equipment

A Less Than Perfect Climate?

• Stability should be your goal

• Install centralized environmental controls

• Install portable air conditions, humidifiers, dehumidifiers as appropriate

• Remove collections to another, better climate

• Improvements in insulation and seals

More Environmental Factors

• Light levels

• Fire protection

• Protection from water

• Cleaning

• Pests and rodents

Storage AreasMinimum Requirements

• Locked storage area• Maintain a steady temperature with as

little daily fluctuation as possible.• Maintain a steady relative humidity level

with as little daily fluctuation as possible.• Shelves should be constructed so they

are at least 4 inches off the floor to ensure they are protected from minor flooding.

Storage AreasMinimum Requirements

• Maintain a low light level, keeping lights turn off as much as possible and sunlight out of the storage area.

• Smoke alarms should be installed in every storage area and on every level of the building; they should be routinely checked.

• Fire extinguishers should be placed in every storage area and routinely checked; staff should be trained in how to use them.

Storage AreasMinimum Requirements

• Conduct regular fire drills. • Seek inspection and input from the local

fire department.• The area should be as clean as possible.

No food, drink, trash, cleaning supplies, etc. should be maintained in the storage area. All attract pests such as insects and rodents to the storage area.

• Monitor for pests.

Record Storage Equipment

• Shelving

• Cabinets

• Oversize cabinets

• Assess Your Facility Activity

Topic

Security

• Protecting collections

Physical Security

• Well constructed doors

• Deadbolt locks for all storage areas

• Secure windows

• Alarms, or police cooperation

• Key tracking

• Box labels

Collection Management and Security

• Regularly inventory your collections

• Organize areas for quick inspection

• Inspect collections before and after use

• Use call slips, sign out sheets for tracking

• Supervise researchers

• Keep copies of finding aids

• Record particularly valuable items

Preventing Theft

• Watch for employee theft warning signs

• Take precautions for patron theft• Require identification from researchers• Enforce research rules• Close storage areas• Supervise researchers• Use and retain call slips

Create a Security Policy for Staff

• A statement about the importance of ensuring the security of the collections

• A statement of an appointed staff person who is in charge of security

• Rules for staff access to storage areas• Rules governing key distribution• Rules for staff requesting and using collections

for their own research• Information about existing security systems• Procedures that detail what staff should do if

there is a suspected or real security issue

Create Security Policy for Users

• Explanation of why security procedures are necessary

• Require users to sign in

• Restrict or check belongings

• Assess Your Security Activity

Unit 5

Access and Outreach

Topics

• Good reference and access practice

• Getting the word out (optional)

• Exhibits and loans (optional)

Topic

Good Reference

and Access Practices

Reference Policy

• Background information about your program, including hours of operation

• Information about registration requirements

• Regulations for using the archives

• Information regarding copying

Write Your Policy

• Consider • Access• Registration process• Photocopying rules

• Write a policy that reflects your program

Reference Physical Environment

• Space for user registration

• Space for users to store their belongings

• Work surfaces with adequate lighting• Ideally in full view of staff member

• Access to appropriate reference materials• Dictionaries, atlases, publications• Catalogs and finding aids

Working With Your Users

• Registration and basic information

• Explanation of collections and how to use your facility• Handouts are helpful

• Listen carefully

• Know your collections

• Match researchers and collections

Calling Collections

• Call Slips• Call number being requested• Box, volume or other unit of the collection• Creator of the collection• Title of the collection• User’s name• Current date• Seating information

Mail and Phone Reference

• Do you need to charge a fee? Under what circumstances?

• Are there limits to the level of service you will provide?

• How much research will you do for people?

Reference Tips

• Users should not retrieve or reshelve unique historical records

• Don’t allow access to restricted material without appropriate permission

• Replace valuable or fragile items with facsimiles

• Access to unprocessed collections?• Staff manual• Collect standard reference materials• Refer to other organizations when appropriate

Reference Practice and Security

• Good reference practices lead to good security practices

• Staff and users must understand the policies MUST be followed

• Retain registration and call slips• To retrace collection use

Copyright

• The right to reproduce material for publication or distribution

• Never assume that your organization holds copyright, even if it owns the materials

• Reference policies, correspondence and interactions must make clear that:

• It is the researcher’s responsibility to determine the copyright holder and to obtain clearance to publish copyrighted materials

• Reference Policy Activity

Topic

Outreach

• Getting the word out about your collections

Reaching Your Audience

• Match potential users with your collections

• Design outreach activities so they reach your intended audience• Broad• Narrow

Identifying Outreach Activities

• Does the activity support and enhance the mission of your program?

• What are the needs of your users and how can you best meet them?

• What resources do you have for outreach?

Outreach Activities

• Low cost activities

• MARC

• NUCMC

• Exhibits and Loans

Low-Cost Outreach

• Provide a good user experience

• Community ambassador

• Community activities

• Get it in print

• Exhibits

• Work together

• Learn to work with the media

Extending Outreach and Access

• Machine Readable Cataloging (MARC)

• National Union Catalog of Manuscript Collections (NUCMC)

• Brainstorming Outreach Ideas Activity

Take Home Concepts

What Are Historical Records?

• Unique, unpublished resources

• Historical does NOT mean old

• Historical records do not have to be paper

Collecting Historical Records

• Your collection policy• Reflects your organizational context• Should be reviewed and revised periodically• Is the basis for appraisal decisions

• Accessioning• Legal and physical control

• What you have and where it is

• Must be documented

Arrangement and Description

• Original order is best• Handle records as little as possible• Use archival quality supplies

• Particularly for supplies that are in direct contact with the records

• Understand the different needs for different materials

• Create descriptive tools that meet the needs of your users

Housing and Environment

• Maintain your building• Stable temperature and relative humidity

are very important• Smoke detectors and fire extinguishers

are a must!• Keep it clean

• Monitor for pests and rodents

• Use appropriate storage equipment whenever possible

Access and Outreach

• Access must be balanced with preservation and security• Good reference policies and procedures

must be in place

• The key to providing good reference service is to listen carefully and know your collections