5 Describing Archival Material

The noted British archivist, Sir Hilary Jenkinson, once stated that the primary duty of the archivist is the moral defense of archives.¹ What Jenkinson meant by the phrase is that, because archival records are held in trust for the public, archivists have a moral duty to preserve the archival integrity of the records. That is, archivists must preserve the natural ability of the records to provide evidence of the activities carried out by the records creator. Jenkinson argued convincingly that the moral defense of archives is primarily accomplished through careful arrangement and description practices in which provenance and original order are identified and preserved. This essential task of preserving the archival integrity of the records in our care must be the primary focus of archivists during all archival functions through which the records pass — acquisition, accessioning, arrangement, appraisal, and finally description.

The lack of descriptive standards to describe the complexity of archival material that archivists have to administer has resulted in idiosyncratic and confusing practices that have varied widely between individual archivists in one institution, as well as among various archival institutions. The lack of standards has created a situation in which it is often difficult for archivists to retrieve specific records when they are needed, and next to impossible to exchange meaningful descriptions of records with other archival repositories. Automation has long been seen as the key solution to the problem. However, because of the precision of thinking that computers demand, the lack of standards has hindered the implementation of any comprehensive automated solution. The power of automation has provided the motivation for archivists to define precisely their descriptive requirements.

Since the early 1980s, the Canadian archival profession has been addressing this complicated problem. The Bureau of Canadian Archivists made their first major contribution to the effort in 1985 with the publication of Toward Descriptive Standards, which presented several key recommendations to develop flexible standards for the description of records in all media.²

The Bureau's first recommendation was that, as a priority, Canadian archivists should describe and index holdings at the level of fonds, regardless of the form or medium of the records. A fonds is defined as:

A fonds is defined by the process of creation, not by its size. For example, a large fonds can extend to over 100 metres, or a small fonds can consist of only one document. As one archivist has said, what is left of a fonds is a fonds.

The Bureau's recommendation encourages archivists to develop summary descriptions of fonds before proceeding to more detailed descriptions of records at the series or item levels.⁴ This concept was re-emphasized with the recommendation that the organization of descriptive work should proceed from the more general to the more specific levels of description.⁵

In the ensuing years, the profession dedicated itself to the goal of developing descriptive standards. In 1990, the Bureau of Canadian Archivists produced the first draft of its seminal work — Rules for Archival Description (RAD)⁶. RAD is a collaborative effort that has been developed and reviewed by various working groups of archivists who are specialists in particular media. RAD provides the archival profession with a comprehensive set of rules for describing archival material at all levels, and in all media.

The primary purpose of RAD, as stated in the first general rule, is to govern the description of archival fonds. RAD aims

The first general rule of RAD proceeds to clarify that RAD is not intended to govern the descriptions of discrete items that are not a part of a fonds. Discrete items are not archival - they have been self-consciously produced to be complete in themselves. For example, a published novel is a discrete item that is intended to stand alone. It can be easily described in traditional library manner with title, author, publisher and date. A letter, on the other hand, does not stand alone. It is part of a series of correspondence. For a more complete understanding of the letter, it needs to be placed in the context of the entire correspondence series. Even if you only have one letter remaining out of all the records created by an individual or office, it needs to be described in a more comprehensive manner than a discrete item which was intentionally produced to stand by itself. Because individual items, such as books or pamphlets, lack the complexity and inter-relationships of the totality of records that constitute an archival fonds, they can be easily catalogued using traditional library rules for published items found in the Anglo-American Cataloguing Rules (AACR2).

Although RAD is not intended to describe discrete items, the rules can provide guidelines for the description of artificial collections. Artificial collections consist of records that have been collected by a person or institution to reflect their interest in a particular subject, medium or type of document, and usually come from a variety of sources. A common example is a photograph collection of an Archives in which photographs have been collected together for easy access, without regard for provenance. While collections are essentially different from an archival fonds, which has been created in the course of a practical activity, collections can be assigned similar descriptive elements, such as title, date, extent, and scope and content.

The extensive work done by the Canadian archival profession in developing descriptive standards, has resulted in an increased understanding of the purpose and principles that guide the practice of description.

Archival description is the process of establishing intellectual control over the archival holdings in our custody through the preparation of finding aids, such as inventories, catalogue cards and indexes, To have intellectual control means that we know precisely what records we have, and ensures that we can retrieve records in a consistent manner. it also provides a key to the meaning of the records by explaining the administrative and social context in which the records were created. if implemented consistently by all archival repositories, in accordance with descriptive standards such as RAD, description will also facilitate automated exchange of information about our records.

The International Council on Archives has developed the following definition of description. Description is the

If descriptive standards are consistently applied, the resulting brief and accurate representations of each fonds will enable researchers to work as independently as possible to find the records they are looking for. When descriptions are combined with carefully designed indexes for subjects and forms, and authority controls for names, researchers will be enabled to conduct careful and successful searches for related materials.

There are four archival principles that provide guidelines to the process of description. Each principle has been developed by the archival profession in order to preserve the integrity of the records - that is, to preserve the significance of archival records as authentic, impartial evidence of the activities they document.

Description recognizes that records created or accumulated by one records creator must be arranged and described together and not mixed with the records of other creators. This principle is important because the meaning and significance of each archival fonds are directly related to the person or organization that created the records. if the records originating from the same office or person are separated from one another, the connection that exists between the records is lost, sometimes irretrievably. The principle of provenance maintains the context of the records, which is essential for understanding the meaning of the records. When items or files are removed from the series and fonds of which they form an integral part, the context in which the items and files were created will be obscured. As a result, the full significance and meaning of the records will be lost.

The original order of records established by the records creator must be maintained to reflect the activities and functions of the creator. Because archival records document activities in the process of happening, the only way we can fully reconstruct and understand the activity once it is completed is to maintain the original order of the records.

The principles of provenance and original order provide guidelines for arranging records in a manner that preserves the integrity of the records. Arrangement is the first step, which identifies provenance and preserves or re-constructs; original order. Description is the second step, and mirrors arrangement in a manner that accurately represents and explains it. The archivist must first identify the original order of the fonds, and analyze the relationship of the records to the activities and functions of the records creator. The understanding that is gained in the arrangement process will enable the archivist to accurately represent the fonds in the description.

The fonds is described in a general manner before moving to more specific levels of series, files and items. The reasoning reflects the principles of provenance and original order, both of which preserve and protect the original meaning and integrity of the records. Describing the general nature of the whole of the fonds provides the context for understanding its constituent parts. For the series, files and items are only meaningful when understood in connection to the fonds, even as the fonds is only meaningful when understood in connection to the activities and functions of the records creator.

The archival profession has recommended that this principle be extended to include the entire holdings of an Archives. That is, all the fonds in an archival repository should be described at the fonds level before more detail is provided at the series, files and item levels. This practice makes good intellectual sense because it provides researchers with a comprehensive overview of all the holdings of one institution. It also makes good management sense because it ensures that intellectual control has been established to a certain degree over ALL fonds, rather than extensive control over a limited number of fonds. Once all fonds have been described, the process of developing more detailed description can begin, as time permits.

RAD has been developed using the library model of AACR2. It has been developed in a precise and consistent manner to provide guidelines for the complex world of archival material. Once its numbering system is understood, users will know exactly where to find the appropriate rule. RAD is organized around two basic numbering sequences that must be understood before it can be used effectively.

First, RAD divides the rules into ten chapters that are numbered sequentially.⁹ The first chapter provides general rules for the description of all archival material. The following sections refine these rules to respond to the unique needs of various media. Each chapter is always referred to by the same number. For example, rules identified by the number "2" all refer to rules for multiple media fonds. The chapters are as follows:

Second, each chapter of RAD is divided into nine descriptive areas, sequentially numbered, that are required to describe each fonds, series, file or item. Most archival material is described using the five elements listed below.¹⁰ Each number is always used to refer to the same area. For example, rule number "4" always refers to dates of creation.

RAD then combines these two numbering sequences of chapter and area to identify precisely each descriptive area. Several examples follow:

Each area is, in turn, subdivided into a set of descriptive elements, which provide various options for different situations. The rules governing each descriptive element provide guidelines to assist in description of abroad range of possibilities. Not all of the descriptive elements will apply to each fonds. Consider each descriptive element in turn: use the rule if it applies to the fonds; or, if it does not apply, move on to the next descriptive element in the order stated. Remember that the purpose of description is to create an accurate representation of each fonds in a way that will identify the material and explain the context and records systems that produced it.

To provide an overview of the RAD rules, the kinds of information included in the general rules for each area will be summarized, and an example from the British Columbia Archival Union List will be selected. For more specific information, the rules themselves must be referred to during the actual description process. Each area is separated from the next area by using one of two choices: begin each area by starting a new paragraph; or, precede each new area by using the designated punctuation, period, space, dash, space: (. - )

RAD prescribes that if a record, such as a report, bears a formal title proper, it should be transcribed exactly. Most records, however, do not have a formal title. if no formal title exists, a supplied title may be used "based either on the internal evidence of the material being described; or it may be based on an external source." (RAD Rule 1.1B4). The source is then noted in the note area.

"Give the date(s) of creation of the material being described either as a single date, or range of dates (for inclusive dates and/or predominant dates)." (RAD Rule 1.4B2).

Record the physical extent of the descriptive unit, by giving the linear measurement in metric, or by giving the number of physical units and the specific material designation. There are specific rules for adding dimensions for each class of material.

The area is subdivided into three main parts: administrative history or biographical sketch, custodial history, and scope and content

RAD prescribes that when describing the fonds of an organization, the administrative history provides a concise history "of the corporate body predominantly responsible for the creation of the material being described." It includes the "official name of the corporate body", "information on its period of existence", "enabling legislation", "its functions and/or purpose", "its place in the administrative hierarchy", or "its own administrative hierarchy", "its predecessor and successor bodies", and "any additional useful information that will place the material being described in context, and make it better understood." (RAD Rule 1.7B1).

When describing the fonds of an individual or family, provide a biographical sketch of the person or family "predominantly responsible

for the creation of the material being described." "Include significant information about the person's... or family's... life and activities that will place the material being described in context, and make it better understood." (RAD Rule 1.7B2).

RAD prescribes that the history of the custody of the material being described includes "the successive transfers of ownership and custody of the material, along with the dates thereof", when the information can be obtained. "if the custodial history is unknown, record that information. When the material being described is acquired directly from the creator, record this information as the immediate source of acquisition." (RAD Rule 1.7C.

This area includes information relating to the "general contents, nature, and scope of the material being described." (RAD Rule 1.7D). Also included is a list of the series, a description of the arrangement, and the general subject matter of the records. Information in this area should not duplicate what has already been given in other parts of the description.

The note area is provided to add any extra information that might assist in the administration and research use of the material. Notes are listed in a prescribed order, using only the ones that apply to each particular fonds.¹¹ The most commonly used notes are as follows:

9. Restrictions on access, and terms governing use, reproduction and publication

The end product of archival description, using RAD as a guide, is the production of finding aids. Finding aids provide an essential link between archives and users, because they assist users, whether they be archivists or researchers, in finding the records they need. Finding aids assist in the retrieval of information contained in archival holdings, and facilitate efficient management of the repository.

Two descriptive principles guide the development of finding aids. First, the principle of provenance identifies that the fonds is the primary unit of description. Second, the principle that description proceeds from the general to the specific identifies that archives must be described as a whole before describing the parts. That is, a brief description of each fonds is completed before more extensive information is provided for each series or each file of one fonds.

Each finding aid should include the accession number of the archival material being described, because the accession number is your primary method of administrative control. Three copies should be made for safe keeping: store one in the reference area, another in the storage area, and a third security copy with the accession record. Some archivists keep another copy in a separate building, as an extra precaution against damage or loss. if you create an automated finding aid, remember to make extra copies of your computer files and store the back-up discs in a safe place. The back-up discs need to be updated regularly as new information is added to the files.

There are three common types of finding aids that are tied to the archival units of fonds, series and files. They include a repository guide, descriptive inventory, and summary inventory of one fonds.

A repository guide includes a brief fonds level description of each fonds in the custody of an archival repository, listed in alphabetical order by title. If the records in your Archives cover a wide range of social activity, the guide can be subdivided usefully into sections by types of records creators, such as government, business, family, schools, and voluntary associations. In each section, the fonds are listed in alphabetical order by title. Sometimes Archives prepare special thematic guides on topics of interest, such as labour history or women's studies. Increasingly, though, thematic guides are rarely produced because they go out of date very quickly. Subject access can be easily provided by subject indexing.

The description of each fonds is prepared according to RAD, and includes title, dates of creation, physical description, archival description, and notes. By following RAD standards, uniformity among all repositories is assured.

Guides can be produced in three forms: catalogue cards, report format, and electronic database. If your Archives has not yet computerized its holdings, the essential information from each fonds level description can be typed on catalogue cards, and filed alphabetically by title, and cross-referenced by subject and form for easy access. Many Archives produce the Guide in report format for researchers to view at their leisure. Guides can also be published and distributed to other repositories and interested researchers to promote the broader use of the repository's archival resources.

RAD standards will also provide a structure for automating your fonds level descriptions. Combined with powerful indexing software, automation of fonds level descriptions can provide precise retrieval of records by any of the descriptive elements you choose.

The following example shows a main entry catalogue card of a fonds level description. Sometimes more than one card is needed to contain all the information. Once finished, the card is filed alphabetically by title:

SMYTHE, JUSTIN ALBERT

Acc. No. 987.024

Justin Albert Smythe fonds. - 1902-1964. - 2 m of textual records.

Smythe was an author, and editor and journalist for the New Caledonia Times newspaper from 19301964.

The fonds consists of correspondence, journals, manuscripts and newspaper articles relating to journalism, writing and publishing, and the New Caledonia Times.

An inventory is available: No. 987.024.

The descriptive inventory is a complete and detailed description of one archival fonds. Because of the time and effort involved with producing a descriptive inventory, it is generally used for historically significant fonds that have a high rate of use, and have a complex arrangement that requires a more detailed level of description. The inventory proceeds from the general to the specific - from the fonds, to the series, to the files. The inventory begins with a fonds level description, and then expands the information to include a description of each series, and if necessary, file lists in each series. At each level of description, RAD is applied in the same consistent manner. Remember that it is not necessary to repeat any information at the series or file level if it has already been included at the fonds level. See the end of the chapter for a sample inventory, pp. 5.20-5.21.

The summary inventory can be a useful tool to provide basic physical control of a fonds when time does not permit the development of a descriptive inventory. The summary provides introductory information about provenance, including the history and functions of the records creator, but does not provide information about the records themselves, except to note extent, dates and location.

The accession record is the first actual finding aid created by an archivist. It can be a valuable descriptive document in the absence of a more detailed finding aid. Complete a detailed accession record for every new accession you receive, regardless of the extent of your descriptive programme. Create an accession form on a letter sized page, and photocopy the page as often as needed. Either type or write in the accession information. Refer to Chapter 3 for more information.

The location lists includes the accession number, box number and the location code that identifies the physical location in the building where the records are stored. In order to be able to find the records when needed, the location file needs to be kept up to date.

Indexing helps to identify and locate information being looked for, by grouping together information of a similar nature scattered throughout the records.¹² The most common types of indexes used in Archives are name, subject and form indexes. Subject indexes list the index terms in alphabetical order, and then refer users to the appropriate page in the finding aid for a complete description of the records. The most important key to success in indexing is consistent application of terms, and the use of a controlled vocabulary to identify preferred terms.

Reference tools that identify preferred terms are called thesauri. A basic, simple thesaurus for small Archives is the BC Thesaurus. Other similar ones include Provincial Archives of Alberta Subject Headings, and Nova Scotia Subject Headings. Your institution needs to choose the thesaurus that best meets your needs, and then use it consistently. Because these thesauri are general ones, you may decide to add terms specific to your community or organization. Develop an in-house procedure to authorize new terms, and then add them to the thesaurus. If terms are added in a haphazard fashion, the consistency of the index will disintegrate.

A thesaurus is constructed to assist users in selecting one preferred term out of several possible terms that can be used to express one single concept. For example, consider the wide variety of words that can be used to identify native peoples: Aboriginal Peoples, First People, Indians, Natives, Native Peoples, North American Indians, and First Nations. A thesaurus selects one preferred term for use, such as "Native peoples" that is consistently used for this concept. You may not like the preferred term, but the advantages of having a controlled vocabulary outweigh the disadvantages of scattering references to one concept among a variety of index terms.

A thesaurus also groups terms together into a hierarchy of broader and narrower terms that relate to one another. For example the term "Literature" has a broader term (BT) of "Liberal arts", and narrower terms (NT) of "Fiction, Novels, Plays and Poetry." To assist the user, each entry in the hierarchy will be entered separately. By grouping the terms in this manner, you can choose how specific you want to be in selecting the subject term. By including BTs and NTs with each entry, you can browse up and down the hierarchy until you have selected the term you want. If, for example, you are indexing the Justin Albert Smythe fonds, you might want to use the broader term, 'Literature" to index at the fonds level. If, however, you extend your indexing to the series level, you might want to use the more specific terms "Novels" and "Poetry."

There are two stages in the indexing process. First, examine the material for content, and identify and select the main concepts. Second, with the help of a controlled vocabulary, choose the most suitable index term.¹³ Once the subject terms are selected, catalogue cards for each fonds can be created. The main entry card with the fonds level description is always created first, and is filed by title. Then, an added entry card is created that duplicates the information on the fonds level description, but a subject is added to the top. This card is then filed in alphabetical order by subject.

LITERATURE

Acc. No. 987.024

Smythe, Justin Albert fonds. - 1902-1964. - 2 m of textual records

Smythe was an author, and editor and journalist for the New Caledonia Times newspaper from 19301964.

The fonds consists of correspondence, journals, poems, literary manuscripts, newspaper articles and clippings relating to journalism, writing and publishing, and the New Caledonia Times.

An inventory is available: No. 987.024.

Name changes and variations of names can make searches difficult. In order to make name indexes effective, every reference to the same name needs to be consistent, and preferred names need to be established in much the way as a controlled vocabulary. In order to control the authorized name to be used, an authority file needs to be developed.¹⁴ For Archives that are not automated, the simplest form is to use a card index, arranging each card in alphabetical order by name.

For individuals, the authority file lists full name, birth and death dates, and alternate names. The following example lists two alternate names, and shows that the preferred name for all entries is "Justin Albert Smythe." The authority file should include the mai n card showi ng the preferred name, and list the alternate names that will not be used. The non-preferred name should have secondary reference cards to point the user to the preferred name.

For organizational names, the authority file lists the preferred name for each organization, and also lists the history of name changes. Sources that document changes can also be noted.

	Before you begin an indexing programme, make sure you have completed accession records, a repository guide of fonds level descriptions, and inventories for large or significant fonds. Once you begin your indexing programme, subject terms and name authority files can be created during the description of each new accession.
	Select the thesaurus your Archives will use to establish a controlled vocabulary for the selection of subject terms.
	Create and maintain a name authority file to control all names used in the index.
	Maintain a manual that documents all changes to your indexing system. Note, for example, when a new subject was added to the list.
	Keep your index up to date. If you are unable to maintain it, perhaps it is too complex.
	Develop or expand your indexing programme in relation to your time, money, facilities, and priorities.

Establishing a Descriptive Programme

If you are not currently using RAD in your descriptive programme, now is the time to consider adopting the professional standard of description. Remember, you do not have to redo all the work done in the past. Simply set a date to change your procedures, and stop adding to old finding aids after that. Indicate to researchers that your system changed at a particular date and remind them to consult finding aids in the obsolete system. Consider converting old finding aids gradually to the new system when you have the time and resources.

Like any other archival activity, description ought to be a planned process, so that all materials are described adequately with the least amount of wasted time or effort. You need to establish priorities. Decide which finding aids must always be created, which finding aids can be prepared if time is available, and which ones you will not create. Determine also the level of detail to be included in each finding aid, and its general contents and physical format.

When developing your descriptive programme, consider the following questions:

What type of records do you have?

Indexing names in confidential patient files in a hospital archives would be a violation of the patient's privacy. On the other hand, a community archives with a large number of photographs could benefit from detailed finding aids.

Who is going to use your Archives?

If your corporate Archives serves the creators of the documents, then you may not need to prepare detailed finding aids. The people using a community archives, however, will not be familiar with the contents of the fonds, and you will need to provide more descriptive information.

Which fonds are most popular or frequently used?

If researchers are always asking for a particular pioneer's fonds, perhaps you need to prepare a detailed inventory and file list. If you have just accessioned several maps of an area outside your jurisdiction, and you are planning to deaccession them and send them to a more appropriate Archives, you will probably decide not to bother with individual descriptions.

How much time do you have?

The archivist working part-time two days a week would be wiser to create general inventories for all records in the archives rather than attempting item-level indexing of specific fonds.

How much money do you have?

It may not be wise to begin a detailed description at the item level if you are going to run out of money in a year. Instead, focus on fonds level descriptions. Gradually prepare more detailed inventories of series, and file lists, as time permits.

	Complete an accession record for all accessions in your Archives before beginning any other descriptive work.
	Develop an implementation plan for converting your descriptive programme to RAD. Take a RAD workshop to help you get started.
	Complete a fonds level description for all fonds, regardless of size. If you are using catalogue cards, file the description alphabetically by title.
	Prepare index entries based on significant people, places, events and subjects. if you are using catalogue cards, file the subject terms alphabetically.
	Work from the general to the specific. Complete accession records, main entry cards, and inventories to large accessions before beginning any detailed description of significant fonds. This gives you basic control of all your holdings, rather than detailed descriptions of some records, and nothing about others.

1	General Rules for Description
2	Multiple Media Fonds
3	Textual Records
4	Graphic Materials
5	Cartographic Materials
6	Architectural Records
7	Moving Images
8	Sound Recordings
9	Electronic Records
10	Microforms

1.	Title and statement of responsibility
4.	Dates of creation
5.	Physical description area
7.	Archival description area
8.	Note area

1.1	General chapter - title area
4.1	Graphics material chapter - title area
2.7	Multiple media chapter - archival description area

e.g.	1785-1960; (predominant 1916-1958).
	[ca. 1920-1967