Bringing Material Into Your Archives:
Acquiring, Appraising, and Accessioning [by Laura Coles, 1988]
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Now that you have established your archives' goals and purpose, long-term plans and mandate, and you have determined your available space and resources, you are ready to start bringing material into your archives. Where are you going to find archival materials? How will you determine their value and suitability for your archives? And how will you bring them under your physical and legal control?
Acquiring material: where do you get it?
You may be formalizing your company's archives because there are sixty boxes of records waiting for you in the basement closet. if so, acquiring new material may be the least of your priorities. On the other hand, you may wish to add new material to your community or church archives, or you could be a municipal archives trying to establish a regular records transfer system. Even an archives that begins with a backlog of archival material will eventually want to add to its collection. Archives may receive material in one of four ways. Material may be donated from a person or institution in the community or area. It may be transferred internally from the archives' parent organization. It may be received on loan for a specific purpose, or it may be purchased, perhaps from an individual or through a commercial firm. Each method is more or less appropriate, depending on the nature of your particular institution. Regardless of where material comes from, always document each new acquisition. Complete all forms and accession records accurately. These records safeguard the archives' legal right to the records.
Most small archives receive many acquisitions through donations, perhaps from local citizens, private institutions, or other groups and associations. You can actively solicit donations by letting your community know of your archives' existence and its interests. Find out about special events, important people, anniversaries or celebrations, retirements, or even deaths. Read the local newspapers, attend meetings and social functions, and contact government officials, politicians, or businessmen. Adopt an active, not passive, approach: seek out material rather than just wait for it. An active acquisitions programme and a high-profile archives will generate interest and involvement from the community, encouraging donations and other assistance. However, do not feel you have to take everything offered. Avoid accepting items inappropriate to your archives policy. Always complete a deed of gift form for all donations. This form transfers ownership of records from the donor to the archives. Include:
Name of the donor Name of the recipient archives Description of the material Conditions of deposit or access restrictions (if any) A statement indicating transfer of ownership (and copyright) Date of the acquisition Signatures of both the archivist and the donor
When meeting with potential donors, be sure to explain the permanent transfer of ownership, so the donor understands the finality of the gift. Give a copy of the deed of gift form to the donor and file the original with the accession record. Remember to send the donor a thank-you letter after the transaction is complete.
Archives sometimes receive several donations from the same person over a long period. If you are receiving several new accessions from the same donor, identify and accession each group separately but add a note to the accession record indicating that there are other accessions from the same source.
If you are often referring to your accession records to look for the name of a particular donor, consider starting a Donor File. Type or write the name of the donor, the accession number of the donation, and the date of the accession on a filing card. Store the cards alphabetically in a box or drawer.
Documents can be transferred to the archives, either regularly or sporadically, from the archives' parent body, such as a government or corporation. Ideally, transfers occur as a result of a records management programme: a control led process whereby the records of an office or organization are analyzed, classified, and scheduled, then unwanted records are destroyed and valuable material is sent to the archives. (For more information on records management programmes, see Chapter 12.) Always complete a transfer form for each new accession received by transfer.
An archives might accept material on loan in two ways: as a temporary loan for a specific purpose, such as to copy or to use in an exhibit; or as an indefinite loan, for research use in the archives.
Material loaned to the archives for a special purpose, such as for an exhibit or to be copied, remains with you for only a short time. When accepting this type of loan, keep accurate records of the receipt and return of the material. If material is loaned for copying, complete a loan form and make sure the lender signs it twice, first when leaving the items and again indicating their return.
Copying borrowed archival material can add greatly to the holdings of the archives. For example, many people who would not give up their personal photographs or family correspondence might happily loan them for copying, a much better solution for the archives than not receiving anything at all. Remember, the archives ideally retains ownership of the copied material, to use in accordance with your archives policy.
Avoid accepting indefinite loans, that is, material loaned, not given, to the archives for research use When you accept material without receiving ownership you assume a responsibility which brings few benefits. Even though you have the material, you may not be able to arrange it, dispose of unwanted items, or provide access to it without permission from the owner. If someone offers to loan material rather than give it to the archives, determine his or her reasons for insisting on such an arrangement. Perhaps he or she is uncertain or unaware of the care or treatment the records will receive. An explanation of your archives and its purpose may lead to a donation instead of a loan.
Some archives purchase historical materials at auctions, through private collectors, or from rare book or manuscript dealers. This is an expensive practice, and it is the exception rather than the rule. Most archivists do not consider this a viable way to acquire new material. if your archives is thinking of purchasing a rare book, a collection of documents, or an original print, make sure that the item relates directly to your archives policy, that it is a valuable and necessary addition to the archives, and that you can afford the purchase and still supply other archival needs. If you are unsure of the monetary value of an item, have an outside agency appraise it before completing a purchase. Always obtain a receipt for any purchases.
| TIP: Avoid making monetary appraisals yourself. Some donors want a receipt for tax purposes, indicating the monetary value of their donation. You may be in a better legal position if you insist on having external evaluators determine be actual dollars and cents worth of a collection. As a guideline, avoid conducting an in-house monetary appraisal of material if you think it is worth more than $1,000. Note that the National Archival Appraisal Board (NAAB) will provide a monetary appraisal (for a fee) of materials that have been acquired by an archives (for more information, see Other Resources at the end of this book). |
When searching for archival material, always refer back to your archives policy. The most useful archives are not filled to the rafters with unique and interesting but unrelated bits of material; rather, they contain items that clearly reflect the archives' purpose and goals. An archives that concentrates on its own acquisitions area will gain a reputation in that field, making it a respected, valuable, and well-used resource for historical research.
| TIP: Often people donate both artifacts and archival material to a museum, and the records are then passed on to the museum's archives. if you receive such donations in your museum archives, be sure to complete your accession form as fully as possible, indicating where the material came from and, if possible, what relationship it has to artifacts in the museum. if the original donor cannot be identified, name the museum as the source of the records. |
Appraisal: is it worth accepting?
Before accepting any material, whether donated, loaned, transferred, or purchased, you need to determine if it is worth bringing into your archives. Appraisal involves determining the archival value of possible acquisitions and their suitability for your institution. Appraisal is perhaps the most intellectually demanding job an archivist will perform. There is no convenient formula for appraising archival material; each group of records must be assessed in relation to the criteria listed below.
The first and most important criterion to consider is the record's importance to the organization that created it. Destroy no record that is considered vital to its creator for administrative, financial, legal, or other reasons. Do the documents prove legal or civil rights? Do any statutes or bylaws require that the records be kept? Is the institution unable to operate without those documents? A municipality's minutes, a person's birth certificate or will, or an organization's charter of incorporation may all be of lasting importance. Such records will be kept for their legal and administrative duration, regardless of their quantity.
How old is the material, and is its age a benefit or a drawback to its value? You may have a letter from a mother to her son in 1855, but if it is in poor physical shape it may be expensive to care for. Is its date of creation within the chronological boundaries of your archives? If you concentrate on twentieth-century government records from your municipality, this personal letter may not belong in your archives. Remember too that material need not be old to have archival value.
How much material is there? Is there too much to keep? What is important and what isn't? Ten boxes of invoices may not all be worth keeping, but you may want to keep ten boxes of policy statements. Appraisal of large bodies of documents can be difficult and time-consuming, and you may have to make judgments based on only a quick examination of the documents and an understanding of the functions and activities of the creator.
Some types of material are more useful than others, because they contain more information. Correspondence, diaries, or memoirs may be of more value than invoices or worksheets, for example. Operational records, such as reports or policy statements, are often more important than housekeeping records, such as vouchers or invoices. Different media will be appraised for a variety of qualities: the clarity of a photograph will be as important as its content; an oral history tape will be valuable for both its content and its recording quality. (For information on specific media, see Chapters 7-11.)
Is this material one-of-a-kind? Can the information be found in any other source, published or unpublished? You will probably keep original handwritten letters but you will not need to keep all copies of a photocopied report.
Is the item in good or poor physical condition? Is it readable, understandable, clear? Doodles are generally not of enduring value; illegible watersoaked letters provide little information. Warped phonograph records, underdeveloped photographs, or books with broken bindings and missing pages may cost more to care for Man they am worth. Consider the physical quality of an item and the cost of care when evaluating its worth.
Is there enough material from a particular creator to show any changes or patterns? Try to acquire the bulk of records from an important organization rather than just one box of papers. The more you have on a subject or group, the better able you will be to show its history and development.
Are there any restrictions or conditions on the use of the documents? Are the restrictions reasonable or will they inhibit the use of the material? When accepting restrictions, you will need to balance the creator's right to privacy with the research value of the material.
How often will the material be used, and what for? While you may not be able to judge this before materials are arranged and made available to researchers, do consider who is likely to use your documents, and why. Thirty boxes of records used only once a year might be more costly to store than they are worth.
When appraising archival material, also consider the following:
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See the appendix to this chapter for a listing of various types of records and their suggested archival value.
Before making a decision about a new acquisition, learn as much as you can about the history of the records, including their creation, use, and purpose. If you are unable to evaluate the material, speak with other archivists, subject specialists, or consultants. An expert in legal, financial, or administrative affairs may help you determine the importance of particular items, such as labour records, financial statements, or personnel files. Subject experts in areas from aquaculture or engineering to fine arts or zoology might help you identify important events or people you might not be aware of.
Remember that appraisal is not necessarily a "yes or no" task. Material can be selectively retained or weeded, with less important files removed from the group, or sampled, with only a selection of files kept. It is wise to consult with other archivists, subject experts, and the creators of records before removing or destroying any archival material. (See the bibliography for references about appraisal and sampling.)
Values and standards change with time; reappraisal of documents is also an important archival activity. If a box of documents hasn't been opened in ten years, you might re-evaluate its research value. If restricted material is always asked for, perhaps the restrictions ought to be reduced or removed. If you choose to remove material already in your archives, you may de-accession it (discussed below).
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You have found the material you want and you have determined its suitability for your archives. Now you need to accession it, bringing it under the physical and legal control of the archives.
Each new item or group of items brought into the archives is a separate accession. The box of papers donated by the mayor's wife constitutes one accession; the records transferred from the principal's office form another accession.
Give each separate accession an accession number, a unique number that identifies each different group of records in the archives. There are many different numbering systems, relating to the complexity of the archives and the number of accessions received each year. Some systems use numbers, others letters, some a mixture of both. Choose a numbering system that suits your own needs.
One common system is to use the last two or three digits of the current year and a sequential number for each accession received that year. Thus the third acquisition in 1987 would be accession number 987.3; the fourteenth in 1988 would be 988.14. Each accessioned unit will receive its own number, regardless of whether it consists of two letters, six boxes, three photographs, or a mixture of all media types. Thus, an accession including four letters, six photographs, and eight maps will be number 987.5; the different items might have item numbers within the accession, such as 987.5.1 or 987.5.16.
Mark the accession number on the containers in which the new accession is stored temporarily, then mark the number on all archival folders, boxes, or other containers once the material is arranged and processed (see Chapter 4). Also record the number on finding aids (see Chapter 5) and on the accession record.
The accession record documents the acquisition of each new group of records by the archives; it serves to prove possession and ownership of documents in the archives. Until new material is processed, arranged, and described, an accession record will be the primary source of information about it: what is in it, where it is kept, where it came from. Complete the accession record as soon as possible after the material enters the archives--the same day, if possible. Some archivists document accessions in a book, and others use a sheet of paper for each accession. Using a book for accessions reduces the chance of misplacing or losing a particular accession record, but separate sheets allow more space to compile information about each group of records. The sample accession record illustrates what information may be included.
Keep accession records in your administrative area, in a filing cabinet or box. Keep the forms in accession number order, perhaps with a separate file folder for each record. Attach any additional information about the material, such as deed of gift forms, transfer forms, receipts, any notes, correspondence, or memos. Whenever possible, keep a security copy of any finding aids with the accession record. These accession records and related documents are your archives' essential records, and they are important administratively, legally, and financially. Look after them carefully.
TIP: Check that there is some kind of accession record or other documentation for material already in the archives, indicating transfer of ownership. No matter how long it has been there, all archival material needs to be brought under administrative and legal control.
Just as you can accession material, bringing it under the archives' control, so too can you de-accession material. De-accessioning means removing items permanently from the archives. A box of letters may have been accepted unwisely and have no relationship to your new archives policy, a phonograph record may be so warped it is useless, or irrelevant books may be taking up valuable space. Rather than simply sending the letters back to the donor, throwing the record out, or storing the books in the basement, de-accession them formally. Determine what you wish to remove from the archives, why, and what you will do with it. Removing material from the archives is not a forbidden activity, but it ought to be carried out in accordance with written policy and after careful consideration and consultation with other archivists and with experts in the area of concern.
When deciding whether or not to keep certain items, ask these questions:
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You may return de-accessioned material to the donor or his or her successors, if you feel they may want it or will not be offended by its return. if you decide not to return material to the donor, dispose of it according to your archives policy. You may choose to destroy extra copies of papers, donate inappropriate collections to another archives, or sell old books at a book sale. Keep detailed records of any items de-accessioned, including what has been removed, why, where it has gone, and who authorized the removal. File this information with the accession record.
If possible, file all information, forms, and correspondence about each accession in a separate folder and store it in accession number order in a filing cabinet or storage box.
Store new accessions until they can be arranged and described; complete an accession record for each new acquisition as soon as possible after it enters the archives.