Archives and Record Management

Basic Concepts

Source: Crockett, M. (2016). The no-nonsense guide to archives and recordkeeping. Facet Publishing.
 What is Record
Records consist of recorded information which provides
evidence of decisions, planning processes, financial
transactions, agreements.
In fact any human activity. Records can be in any medium or
format.
 Characteristics/Features of Records

Records also need to have certain characteristics or features in

order to be 'good' records that we can trust and depend on.

 It is important to know the creator of the record.

 If the record does not stand alone, it is important to have the
links to the other records that together form the
comprehensive record.
 Assessing the Authenticity of Records
There is no way to realistically enforce rules on creating records
to ensure that they are trustworthy; however, some things to look
out for which help to indicate the reliability of records include:

Evidence of the author - we recognize the handwriting

perhaps, or know what organization it has come from because
of the headed paper or domain name or because it is bound in
with or filed with other records in the series, clearly indicating
the creator.
the record is complete and final.
 Assessing the Authenticity of Records
 With legal records, they are signed, sealed or have a format
we recognize.
 there is a date and/or a serial number to show the record's
context.
 Challenges in Records Authenticity
 Family photograph without information.
 Information on School Trophy.
 Computers and digital information.
 Difficult to identify the authenticity of digital records.
 Drafts may not be clearly numbered.
 Digital records are easily copied and copies are
indistinguishable from the 'original', and so we question
which instance is the master.
 Key Definitions

Record: recorded information in any media or format,

providing reliable evidence of human activity.

Record series: a group of records that support a specific

work responsibility, for example a volume of board minutes
or set of social worker's case files, each pertaining to a
different instance of the same activity.
 Archives

'Archives' is a word that means different things to different

people, depending on their professional and personal
background. It is important that those of us who look after
archives and manage records are clear about what they are and
how they are distinct from old books, data or information.
Archives
 Archives

Archive: records of one organization, family or individual,

selected for permanent preservation because they provide key
evidence of the entity’s history.
 Archives Concepts for Professionals When Taking, in
processing
 Archives are records which document the history of
organizations, individuals and families.
 They are primary source, the first hand.
 They are not just a random collection, but are usually
created and received by organizations, individuals or
families in the course of business, activities and living
 Archives are unique (unlike museum objects or books) -
there is only one record of an event or decision (even if it
consists of different accounts from different sources).
 Archives Concepts for Professionals When Taking, in
processing

 Archives are selected from the body of records to provide a

lasting resource for the history of the family, person or
organization that created the archive; they are information-rich
and generally provide all the evidence required for the creator's
story.
 Not all records are archives: we can't keep every record; some
records do not add anything significant to the story; we keep the
records which together give the most complete picture of the
creator's history.
 Record Media and Format

 Medium: the physical carrier of the record.

A record can be a roll of parchment, a bound volume or a set of
web pages.
 Record series may contain records in different formats
 e.g., (Correspondence series)
Record Media and Format
 Difference Between Archives and Records

 Although all archives are records, not all records are archives.
Records are the greater group of primary source material from
which archives are selected.
 Archival Mission

Source: Hunter, G. S. (2020). Developing and maintaining practical archives: A how-to-do-it manual. American
Library Association.
 Archival Mission: Three Elements

1. Identify records and paper of enduring value.

2. Preserve them
3. Make them available to patrons
Liner Expression of Archival Mission
Cyclical Expression of Archival Mission
 Cyclical Expression of Archival Mission
A cyclical model of the archival mission also permits one to locate
the various archival functions and to relate them to one another.

1. Identifying records
 Conduct surveys
A survey is a systematic procedure used to locate items of
possible archival value.
 Appraise records
Appraisal is the process of determining the value, and thus
the disposition (retention or destruction), of records
 Cyclical Expression of Archival Mission
Acquisition and Accessioning
The bridge between identifying records of enduring value and
preserving them is represented by two archival functions:
acquisition and accessioning.
 Acquisition
Acquisition covers such areas as donor relations and policies
for collecting records and papers.
 Accessioning
Accessioning involves the actual transfer of records or papers
to an archives or a manuscript repository along with the
transfer of legal rights to the physical and intellectual property.
 Cyclical Expression of Archival Mission

2. Preservation
The mission of preserving historically valuable items encompasses
three archival functions:
 Arrangement
Arrangement is the organization of archives or manuscripts
in
accordance with accepted professional principles
 Preservation
Preservation is both the protection of records from physical
deterioration and damage and the restoration of previously
damaged items.
 Cyclical Expression of Archival Mission

Preservation
 Security
Security is the safeguarding of records from natural and
human disasters.
 Cyclical Expression of Archival Mission

Description
Description is the bridge between preserving records and making
them available; it is the opportunity for the archivist to record what
is known about the collection and its arrangement, in a way that
will facilitate access by researchers. Description requires both
clear and concise writing skills and a feel for the research
questions archival patrons ask.
 Cyclical Expression of Archival Mission

3. Making records available

The third part of the archival mission, making records available,
focuses on two archival functions:
 Access and reference
Access and reference involve more than just presenting a box
of records to a researcher. Rather, archivists employ a number of
policies and procedures to ensure that use of the records involves
neither physical damage to the items nor violations of copyright
and the right to privacy.
 Cyclical Expression of Archival Mission

 Outreach and Promotion

Outreach and promotion make people aware of archival
records and the valuable information they contain. To this end,
archivists use traditional exhibits and speaking engagements as
well as websites and social media applications
 Cyclical Expression of Archival Mission

Reappraisal
In a cyclical view, the archival mission does not end with
making records available. On the contrary, archivists today use
research trends and reference statistics when identifying additional
records for preservation. Some archivists are also used past
reference activity as a basis for reappraising records already in
archival institutions.
 The Value of Cyclical Mission/Process

Continuous Process
And so the archival mission comes full circle. It is a continuous
process of determining which records have archival value,
preserving them in a professional way, and making them available
to a wide variety of patrons.
Three Legged Stool
As with a three-legged stool, no one part of the mission is more
important than the other two: unless all three legs are in place, the
stool will fall. A well-balanced archival program will rest firmly on
the three strong legs of the archival mission
 Difference between Material in Libraries and Archives
Category Libraries Archives
Nature Published Unpublished
Independent significance Group of related items
Available elsewhere Significance from relationship to
other items
Unique
Creator Many different individuals organizations Parent Organization of
Institution
Method of creation Separate, Independent actions Normal course of business

Method of receipt Selected as single item Assessment

Arrangement Predetermined subject classification Provenance and original order
Level of Individual Items Aggregate (record group or
description series)
Access Open stacks Closed Stakes
Circulating Items Noncirculating items
 Records Survey

A records survey is defined as “the process of gathering basic

information about an organization’s records, including their
quantity, form, location, physical condition, storage facilities, and
associated business processes.” Depending on the type of survey,
the records might be housed in the creating organization or in
another archival repository.
 Types of Survey
An archivist may be involved in four types of surveys:
1. Records management survey
2. Archival records survey (single repository)
3. Multirepository survey
4. Nonrepository survey
 1. Records Management Survey
 A records management survey covers a well-defined body of
records—those for which the surveyor has administrative
responsibility and authority.
 Such a survey is intended to identify all the records of an
organization or institution, usually the parent institution of the
archives.
 This all-inclusive survey is a traditional part of any records
management program.
 Records managers are interested in records from the time of
their creation through their ultimate disposition (either
permanent preservation or destruction).
 1. Records Management Survey
 Therefore, a records management survey tries to be as complete
as possible—including active as well as inactive records,
records in the offices as well as those in storage, and records of
short-term value as well as those of enduring value.
 2. Archival Records Survey
 An archival records survey deals with records for which the
surveyor has administrative responsibility and authority. Unlike
a fullscale records management survey, however, this is a
quick-fix approach when faced with severe time constraints.
The object of this type of survey is quickly to separate archival
from nonarchival records.
 2. Archival Records Survey
Two important points:

1. First, a quick sort is not necessarily haphazard. The survey

should still be systematic, at a minimum keeping detailed lists
of records saved and destroyed.
2. Second, an archival records survey should have a conservative
bias. Though the archivist at NFU will attempt to reduce
volume quickly, this should not be done at the expense of
records of possible enduring value.
 3. Multirepository Survey
A multirepository survey, the third major type of survey, deals
with materials in more than one archival agency or institution.
 Unlike the previous two types of surveys, this one involves
records or papers over which the surveyor does not have
administrative control.
 The multirepository survey usually identifies materials that are
connected in some way: by subject, type of record, geographical
region, and so forth.
 Beginning archivists usually will not be involved in
administering this type of survey
 4. Nonrepository Survey
 Beginning archivists also may have little involvement with the
fourth type of survey, the nonrepository survey.
 This survey is focused on records outside of archival custody.
The survey usually has one or more of the following purposes:

1. Make the creators and custodians of records more aware of

the historical value of materials.
2. Improve access to materials not in archives.
3. Identify records or papers for possible acquisition by the
surveying institution.
 Reference

This presentation is extracted from:

1. Crockett, M. (2016). The no-nonsense guide to archives and
recordkeeping. Facet Publishing.
2. Hunter, G. S. (2020). Developing and maintaining practical
archives: A how-to-do-it manual. American Library
Association.
Thanks
?