Accessioning is the foundational process in archival management that establishes physical and intellectual control over newly acquired materials. It's the first step in making records accessible and ensuring their preservation. The accessioning system provides a structured framework for documenting the transfer of records, assigning unique identifiers, and creating a basic inventory.
Accessioning serves several critical goals in archival management, ensuring the effective management and preservation of archival materials.
In archival management, establishing control over acquired materials is paramount. This control manifests in three distinct but interconnected forms: legal, physical, and intellectual. Each plays a critical role in ensuring the preservation, accessibility, and integrity of archival records.
These three forms of control are interdependent. Legal control provides the foundation for physical and intellectual control, while physical and intellectual control ensure that the archive can fulfill its legal obligations and provide access to its collections. Together, they form a comprehensive framework for managing and preserving archival materials.
Before formally accessioning archival material, a series of crucial procedures are undertaken to ensure that the acquisition is appropriate, legal, and manageable. These pre-accessioning procedures lay the groundwork for a smooth and effective integration of the new collection into the archive's holdings.
The process typically begins with an initial contact from a potential donor, or the archive identifying potential materials. This might be a phone call, email, or a site visit. Following this initial contact, a preliminary appraisal is conducted. This involves a basic evaluation of the materials to determine their potential value and suitability for the archive's collection. The appraiser assesses factors such as the materials' historical significance, evidential value, and physical condition. This stage helps to determine if the materials warrant further consideration.
If the preliminary appraisal is positive, negotiations with the donor or source begin. This involves discussing the terms of the transfer, including ownership, access restrictions, copyright, and any other relevant conditions. A formal agreement, such as a deed of gift or purchase agreement, is drafted and reviewed by both parties. This legal document outlines the responsibilities of both the donor and the archive, ensuring a clear understanding of the transfer. This step is vital to establish legal control.
Before physical transfer, a preliminary inventory and description of the materials is created. This provides a general overview of the collection's contents, including the types of records, their dates, and their physical extent. This helps the archive to assess the scope of the acquisition and plan for its processing and storage. This inventory will be less detailed than the final finding aid, but it will give the archive a good understanding of the materials.
A thorough assessment of the physical condition of the materials is conducted. This involves identifying any damage, deterioration, or preservation needs. Factors such as mold, pest infestations, and fragile materials are noted. This assessment helps the archive to determine the resources required for conservation and preservation. It will also allow for the isolation of damaged materials, to prevent damage to the existing collection.
Before accessioning, the archive must conduct due diligence to ensure that the acquisition is legal and ethical. This involves verifying the ownership and provenance of the materials, ensuring that they were obtained legally and ethically. Copyright and intellectual property rights are also addressed. This step is crucial for avoiding legal challenges and maintaining the archive's reputation.
The archive assesses the resources required to process, store, and preserve the acquired materials. This includes considering staffing, storage space, and budget constraints. This step helps to ensure that the archive can adequately manage the new collection and that it aligns with the archive's strategic goals. The archive will need to ensure that they have the space, and staff, to deal with the new materials.
If the materials are particularly sensitive to environmental factors, the archive will prepare the storage area to meet specific requirements. This might involve adjusting temperature and humidity levels, installing specialized storage containers, or implementing pest control measures. This ensures that the materials are stored in optimal conditions for long-term preservation.
The archive will plan for the security of the acquired materials. This includes implementing access controls, surveillance systems, and other security measures to prevent theft or unauthorized access. This step is crucial for protecting the integrity and confidentiality of the records.
When archival material is received, a series of standardized procedures are followed to ensure its proper handling, documentation, and preservation. These procedures are crucial for maintaining the integrity of the collection and facilitating future access.
Upon receipt, the archival material undergoes an initial inspection to verify that it matches the agreed-upon description and inventory. This involves checking the quantity, type, and general condition of the records. Any discrepancies or damages are documented immediately. This step is vital for ensuring that the archive receives what was agreed upon and for identifying any immediate preservation concerns.
The received material is placed in temporary storage, typically in a designated receiving area. This area is often separate from the main storage to prevent potential contamination of existing collections. If any signs of pest infestation, mold, or other hazards are detected, the material is isolated until appropriate treatment can be administered. This prevents the spread of damage to other records.
The accessioning process begins upon receipt. This involves creating an initial accession record, which includes details such as the date of receipt, the source of the material (donor or transferor), a brief description of the records, and any initial observations about their condition. A unique accession number is assigned to the collection. This number will be used to track the materials throughout their lifecycle in the archive.
A more detailed, but still preliminary, inventory is created. This involves examining the contents of the collection and creating a basic description of the types of records, their dates, and their physical extent. This helps to provide an initial understanding of the collection's contents and to plan for further processing.
A thorough condition assessment is conducted, documenting any damage, deterioration, or preservation needs. This assessment includes detailed notes on the physical condition of the records, such as tears, folds, fading, and mold. Photographs may be taken to document the condition of particularly fragile or damaged items. This documentation is crucial for planning conservation treatments and for tracking the condition of the records over time.
All legal documentation related to the acquisition, such as deeds of gift, purchase agreements, or transfer agreements, is verified. This ensures that the archive has legal control over the materials and that all terms and conditions are met. Any discrepancies or missing documents are addressed immediately.
Appropriate security measures are implemented to protect the received materials from unauthorized access or theft. This may include placing the materials in a secure storage area, restricting access to authorized personnel, and implementing security monitoring systems.
The donor or source of the material is notified that the records have been received and acknowledged. This may involve sending a formal letter of acknowledgement or providing a receipt. This step is important for maintaining good donor relations.
If any immediate preservation actions are required, they are taken. This could include placing fragile documents in archival sleeves, or placing materials in a freezer to kill any active pest infestations.
Processing accessions is a crucial phase in archival management, transforming newly acquired materials from a raw state into organized, accessible, and preserved collections. It involves a systematic series of steps that ensure the materials are properly arranged, described, and made available for research.
The first step in processing is arrangement, which involves organizing the records according to archival principles, primarily provenance and original order. Provenance, or respect des fonds, dictates that records from a single creator or source should be kept together. Original order means maintaining the records in the order in which they were created or received.
This step may involve sorting records into series and subseries based on their function, subject, or format. It may also involve removing duplicates, extraneous materials, and non-archival items. The goal is to create a logical and coherent organization that reflects the creator's activities and facilitates research.
Description involves creating finding aids, which are descriptive tools that provide information about the contents, context, and arrangement of the records. Finding aids may include a collection-level description, series descriptions, and item-level descriptions.
The description process involves creating metadata, which is data about data. This includes information such as the creator of the records, the dates of creation, the subject matter, and the physical extent of the collection. Standardized metadata schemas, such as Dublin Core or EAD (Encoded Archival Description), are often used to ensure consistency and interoperability.
Preservation involves taking steps to ensure the long-term survival of the records. This may include conservation treatments, such as cleaning, repairing, and encapsulating fragile materials. It also involves providing appropriate storage conditions, such as temperature and humidity control, and using archival-quality storage containers.
Preservation may also involve digitization, which involves creating digital copies of the records for preservation and access purposes. Digitization can help to reduce handling of fragile originals and make the records more widely available.
Finding aids are essential tools for researchers, providing a roadmap to the collection. They typically include an introduction, a scope and content note, an arrangement note, and an inventory or container list.
The introduction provides background information about the creator of the records and the context in which they were created. The scope and content note describes the types of records and their subject matter. The arrangement note explains how the records are organized. The inventory or container list provides a detailed list of the contents of each box or folder.
Access controls are implemented to ensure that the records are used appropriately and that sensitive information is protected. This may involve restricting access to certain records based on legal or ethical considerations.
Access controls may also involve creating redacted copies of records to remove sensitive information before making them available to researchers.
The processed materials are placed in archival-quality storage containers and labeled with appropriate identifiers. This ensures that the records are stored safely and can be easily retrieved.
Storage containers are typically made from acid-free materials and are designed to protect the records from dust, light, and other environmental hazards.
The initial accession record is updated with information gathered during the processing stage. This ensures that the accession record provides a complete and accurate history of the acquired materials.
Once processing is complete, the collection is made available to researchers. This may involve updating online catalogs, creating web pages, or providing access to physical finding aids in the reading room.
Upon receipt, new accessions are immediately segregated based on their sensitivity level. Confidential and classified materials are separated from open-access records to prevent accidental disclosure. A detailed inventory is created, noting the specific items designated as confidential or classified. This inventory includes metadata such as the creation date, creator, classification level, and any access restrictions. This initial segregation and inventory are crucial for establishing control and preventing unauthorized handling.
Confidential and classified archives are stored in highly secure, controlled environments. These environments typically feature restricted access, monitored temperature and humidity levels, and fire suppression systems. Access is limited to authorized personnel with appropriate security clearances. These storage areas may also include features like reinforced walls, intrusion detection systems, and surveillance cameras. Environmental controls are essential for preserving the physical integrity of the records, while security measures protect them from unauthorized access and tampering.
Sensitive materials are stored in archival-quality containers that provide additional protection. These containers may be fireproof safes, locked cabinets, or specialized storage boxes designed to prevent unauthorized access. Each container is clearly labeled with the classification level and any access restrictions. The use of secure containers adds a layer of physical security, making it more difficult for unauthorized individuals to access the records.
Strict access control procedures are implemented to regulate who can access confidential and classified archives. This involves requiring security clearances, background checks, and authorization from designated officials. A detailed log is maintained, recording every instance of access, including the date, time, and purpose of the access. This ensures that a clear audit trail is maintained, allowing for accountability and tracking.
If confidential or classified archives are digitized, robust digital security measures are implemented. This includes encryption, access controls, and regular security audits. Digital copies are stored on secure servers with restricted access, and backups are stored in separate, secure locations. Digital security protocols must adhere to the highest industry standards, and government regulations.
Regular security audits and reviews are conducted to ensure that all security measures are effective and up-to-date. This involves testing access controls, reviewing security logs, and assessing the overall security posture of the storage environment. Any vulnerabilities or weaknesses are addressed promptly. These audits also ensure compliance with all legal and regulatory requirements.
Procedures are established for the declassification and review of classified archives. This involves periodically reviewing the classification status of records and determining whether they can be downgraded or released. Declassification procedures are carefully documented and implemented to ensure that sensitive information is not prematurely disclosed.
Emergency preparedness and disaster recovery plans are developed to protect confidential and classified archives in the event of a fire, flood, or other disaster. These plans include procedures for evacuating personnel, salvaging records, and restoring operations. Backup copies of digital records are stored in secure off-site locations.
All storage and access procedures comply with relevant legal and regulatory requirements, including national security laws, data protection regulations, and freedom of information acts. This ensures that the archive operates within the bounds of the law and protects the rights of individuals and organizations.
| Section | Details |
|---|---|
| Accession Number | [To be assigned by Archives] |
| Date of Accession | [Date - YYYY-MM-DD] |
| Donor/Source Information |
|
| Records Description |
|
| Acquisition Information |
|
| Processing Information |
|
| Acknowledgement |
|
| Signatures |
|
| Accession Number | Date of Accession (YYYY-MM-DD) | Donor/Source Name | Description of Records (Brief) | Physical Extent | Formats | Access Restrictions | Deed/Agreement Number | Processor | Location | Notes |
|---|---|---|---|---|---|---|---|---|---|---|
| 2023-001 | 2023-01-10 | Smith Family | Family Correspondence, 1900-1950 | 4 Boxes | Papers, Photos | Public Access | DG-2023-001 | A. Jones | Shelf A1 | |
| 2023-002 | 2023-02-15 | City Hall Records | Council Meeting Minutes, 1980-2000 | 10 Linear Feet | Papers | Restricted Access | TA-2023-002 | B. Lee | Vault B2 | Minutes contain sensitive information |
| 2023-003 | 2023-03-22 | Historical Society | Local Business Ledgers, 1920-1970 | 6 Volumes | Ledgers | Public Access | DG-2023-003 | C. Patel | Shelf C3 | |
| 2023-004 | 2023-04-05 | Dr. M. Brown | Research Notes, 1995-2010 | 2 Boxes | Papers, Digital Files | Researcher Permission | DG-2023-004 | D. Kim | Shelf D4 | Digital files require specific software |
| 2023-005 | 2023-05-12 | Green Corporation | Employee Records, 2005-2020 | 8 Boxes | Papers, Digital Files | Confidential | PA-2023-005 | E. Garcia | Vault E5 | Employee records require redaction |
| 2023-006 | 2023-06-18 | Art Museum | Exhibition Catalogs, 1985-2015 | 3 Boxes | Catalogs | Public Access | DG-2023-006 | F. Ruiz | Shelf F6 | |
| 2023-007 | 2023-07-25 | L. Thompson | Personal Diaries, 1940-1980 | 5 Volumes | Diaries | Public Access | DG-2023-007 | G. Chen | Shelf G7 | |
| 2023-008 | 2023-08-01 | County Court | Court Case Files, 1970-1990 | 12 Linear Feet | Papers | Restricted Access | TA-2023-008 | H. Singh | Vault H8 | Legal restriction on some files |
| 2023-009 | 2023-09-08 | Local Newspaper | Photo Negatives, 1960-2000 | 7 Boxes | Negatives | Public Access | DG-2023-009 | I. Miller | Shelf I9 | Fragile materials |
| 2023-010 | 2023-10-15 | Community Theatre | Play Scripts, 1990-2010 | 2 Boxes | Scripts | Public Access | DG-2023-010 | J. Davis | Shelf J10 |
| ID | Name | Group Name | Series Name | Start Date | End Date | Status | Remarks |
|---|---|---|---|---|---|---|---|
| 001 | John Doe | Alpha Group | Series A | 01-01-2025 | 01-06-2025 | Active | - |
| 002 | Jane Smith | Beta Group | Series B | 01-02-2025 | 01-07-2025 | Completed | Excellent Performance |
| 003 | Mark Lee | Alpha Group | Series A | 01-01-2025 | 01-06-2025 | Active | - |
| 004 | Lisa Wong | Gamma Group | Series C | 01-03-2025 | 01-08-2025 | In Progress | Needs Improvement |
Arrangement and description are two fundamental processes in archival management that transform raw, unprocessed materials into organized, accessible, and meaningful collections. They are the cornerstones of archival practice, enabling researchers to navigate and understand the vast and complex holdings of an archive.
Arrangement refers to the process of organizing archival materials according to established principles, primarily the principle of provenance and the principle of original order. Provenance, or "respect des fonds," dictates that records from a particular creator or source should be kept together, reflecting the context in which they were created. Original order means maintaining the records in the order in which they were created or received by the creator, preserving the internal logic and relationships within the collection.
This process involves sorting records into logical series and subseries based on their function, subject, or format. It may also involve removing duplicates, extraneous materials, and non-archival items. The goal is to create a hierarchical structure that reflects the creator's activities and facilitates research. By adhering to these principles, archivists preserve the contextual relationships between records, ensuring that they are not arbitrarily rearranged or reinterpreted.
Description involves creating finding aids, which are descriptive tools that provide information about the contents, context, and arrangement of the records. Finding aids may include collection-level descriptions, series descriptions, and item-level descriptions. The description process involves creating metadata, which is data about data. This includes information such as the creator of the records, the dates of creation, the subject matter, and the physical extent of the collection.
Standardized metadata schemas, such as Dublin Core or EAD (Encoded Archival Description), are often used to ensure consistency and interoperability. The aim of description is to provide sufficient information to enable researchers to understand the scope and content of the records, assess their relevance to their research, and locate specific items within the collection. Effective description transforms a collection from a group of items to a researchable resource.
Arranging and describing archives are essential for several critical reasons:
Arrangement and description are fundamental for making archival materials accessible to researchers. Without proper arrangement, records would be scattered and disorganized, making it difficult to locate relevant items. Finding aids provide a roadmap to the collection, enabling researchers to navigate the materials efficiently.
Arrangement and description preserve the context in which records were created and used. By adhering to the principles of provenance and original order, archivists maintain the relationships between records and their creators, ensuring that the records are not misinterpreted or misused. This contextual information is vital for understanding the historical significance and evidential value of archival materials.
Proper arrangement and description contribute to the authenticity and reliability of archival records. By documenting the provenance and original order of the materials, archivists provide evidence of their integrity and trustworthiness. This is particularly important for legal and historical research, where the accuracy and reliability of records are paramount.
Arrangement and description support research and scholarship by providing researchers with the tools they need to locate and use archival materials. Finding aids provide detailed information about the contents of collections, enabling researchers to assess their relevance and plan their research strategies.
Arranging and describing records promotes accountability and transparency by ensuring that records of public interest are accessible to the public. This is particularly important for government archives, which play a crucial role in maintaining public trust and ensuring that government actions are documented and accessible.
By going through each item in a collection, during arrangement and description, the archivist can identify items that need preservation work. This allows for proactive conservation.
Arrangement and description aid in efficient resource management within the archive. Knowing the content and extent of collections allows for better planning of storage, staffing, and digitization projects.
Arrangement and description, the twin pillars of archival processing, are guided by specific principles that ensure the integrity, accessibility, and usability of archival materials. These principles provide a framework for archivists to organize and describe collections in a consistent and meaningful way.
This foundational principle dictates that records originating from a single creator or source must be kept together. This means that the records of an individual, organization, or government agency should not be intermingled with those of another. The principle of provenance preserves the context in which records were created, reflecting the functional and administrative relationships that existed.
This principle mandates that records should be maintained in the order in which they were originally created or received by the creator. This means preserving the filing systems, organizational structures, and sequences that were used by the creator. The original order often reflects the creator's work processes, decision-making, and administrative functions.
Archival arrangement typically follows a hierarchical structure, organizing records into series, subseries, and files. This structure reflects the functional and organizational relationships within the records, providing a logical framework for access and retrieval.
Archival description follows a progressive approach, moving from general to specific information. This means that finding aids typically begin with a collection-level description, providing an overview of the entire collection.
Archival description emphasizes the context in which records were created, including information about the creator, the functions and activities that generated the records, and the historical circumstances surrounding their creation.
Archival description must be accurate and objective, providing a faithful representation of the records. This means avoiding subjective interpretations or biases and ensuring that the description is based on factual information.
Archival description often adheres to standardized metadata schemas and description standards, such as ISAD(G) (General International Standard Archival Description) and EAD (Encoded Archival Description).
Archival description should be designed to facilitate access and usability for researchers. This means using clear and concise language, providing adequate indexing and cross-referencing, and creating finding aids that are easy to navigate.
Archival arrangement and description are conducted at multiple levels, reflecting the hierarchical nature of archival collections and the need to provide progressively detailed information.
At the repository level, the archive itself is organized and managed. This involves establishing policies and procedures for acquisition, processing, preservation, and access.
The fonds or record group level is the highest level of arrangement within a collection. A fonds refers to the entire body of records created by a single individual, family, or organization.
A series is a group of records that are created or maintained by the creator in the same function or activity. Series are typically organized based on subject, function, format, or chronological order.
The file or item level is the most detailed level of arrangement. A file is a group of related documents that are typically stored together. An item is an individual document or record.
The repository guide or website provides an overview of the archive's holdings, including information about its collecting policy, major collections, and access procedures.
This level of description provides an overview of the entire collection, including information about the creator, the scope and content of the records, and the arrangement of the collection.
This level of description provides more detailed information about the content and context of the records within each series.
This level of description provides the most detailed information about the contents of individual files or items.
Indexes and controlled vocabularies are tools that facilitate access to archival materials by providing standardized terms and subject headings.
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