lecture presented at PAARL's Summer National Conference on the theme "“Library Tourism & Hospitality: The Business of Endearing Philippine Libraries and Information Centers to Publics” (San Antonio Resort, Baybay Beach, Roxas City, Capiz, 27-29 April 2011) by Florbella Bongalos
2. WHAT IS A RECORD?
International Standardization Organization
(ISO) 15489 ...
“an information created, received and
maintained as evidence and information
by an organization or person, in
pursuance of legal obligations or in the
transaction of business”.
3. WHAT IS A RECORD?
International Council on Archives (ICA):
“a recorded information produced or
received in the initiation, conduct or
completion of an institutional or
individual activity and that comprises
content, context and structure
sufficient to provide evidence of the
activity”.
4. WHAT IS AN “ARCHIVES”?
Archives is understood in these four instances ...
The materials created or received by a person,
family, or organization, public or private, in the
conduct of their affairs and preserved because of
the enduring value; permanent records;
The repository/depository, building (or portion
thereof) housing archival collections;
The organization (office, agency or program)
The professional discipline
(Pearce-Moses, 2005 and SAA)
5. NATURE OF ARCHIVAL MATERIALS
permanent
unique
organically-related
of an entity
in any format
systematically arranged and maintained
6. SOME EXAMPLES OF TRADITIONAL PAPER-
BASED MATERIALS
Minutes of meetings
Reports
Diaries
Correspondence
Invitations and programs
Legal documents
Handbooks
Yearbooks
Photographs
Maps
7. SOME EXAMPLES OF RECORDS IN ELECTRONIC,
MULTI-MEDIA AND/OR MIXED FORMATS:
Databases with inputs, outputs, master
files
E-mails or voice mails
Web sites
Digital photographs
Scanned images
Films, video and audio recordings
Artifacts, memorabilia
8. EXAMPLES OF NON-RECORDS
Library materials
Personal letters
Duplicate copies
Excess inventory
Spam mails
9. TYPES OF ARCHIVES
Government
Business / Corporate
College / University / School / Academic
Ecclesiastical / Religious / Church
Film and Sound / AV
Medical and Health / Hospital
Private / Family / Personal
Military
Digital
10. WHAT CAN ARCHIVES DO?
determines identity
provides resources for publications
increases efficiency
provides sources for research
serves requirement of law
for good governance
11. THINGS TO CONSIDER BEFORE STARTING AN
ARCHIVES
be an ongoing, permanent program
has to have a budget
have control over archival materials
have authority to hire and supervise employees
12. GROUNDWORK ...
REQUIREMENTS FOR STARTING AN ARCHIVES ...
1. Commitment: formal, ongoing, and long-term
written authority, ideally issued by the highest
office
ongoing support for budget, staff, space,
facilities, equipment and materials
2. Formulation of policy documents
written formulation of archives policies
3. Appointment of an “archivist” and staff
15. FUNCTIONS OR DOMAINS OF
ARCHIVES
(What do archivists do?)
Inventory and Appraisal
Acquisition
Accession
Arrangement
Description
Reference Services and Access
Outreach, Advocacy and Promotion
Preservation and Protection of materials
Emergency and disaster management
Response
Recovery
Conservation / Restoration
Management of archival programs
17. ARCHIVES FUNCTION:
APPRAISAL ... BASIS ...
Goals of the organization
Collection / Archives Policy
Archives principles
Criteria of values
18. APPRAISAL CRITERIA ...
Records appraisal for their “archival” value is
selection of records that have these categories
of values ...
Primary values
Operating
Administrative
Fiscal
Legal
Historical
Secondary values
Evidential
Permanent, continuing, enduring
Informational
Research
Intrinsic
19. APPRAISAL ...
Inventory – tool for appraisal
Inventory - sometimes called
survey
checklist
preliminary inventory
calendar
finding aid
22. SAMPLE
RECORDS MANAGEMENT INVENTORY
Type of Records Retention period Remarks
Inventoried in the
Controller’s Office
By-laws, charters Permanent Move to archives
when not frequently
used.
Board minutes Permanent “
Annual reports Permanent “
Photographs Permanent “
Annual audits Permanent “
Monthly budgets Temporary Retain for 2 years
Travel documents Temporary Retain 1 year after
travel
23. SAMPLE: ARCHIVAL COLLECTIONS INVENTORY
XYZ Archives
Reference code(s)
Title
Date(s)
Level of Description
Extent and Medium of and level of description (quantity, bulk, or size)
Name of Creator(s)
Administrative history
Inventory
Records of the Office of the President (Fonds)
Box Folder RG or Fonds / Series / File / Item Inclusive dates
No. No.
1 1-5 Minutes Board of Trustees 1960
2 1-2 Articles of Incorporation, By-Laws 1970
2 3 Board resolutions 1970-1980
3 1 Certificates 1960 - 1986
Processing information
Date(s) of description
24. STEPS IN DOING AN INVENTORY
Locate the records. Identify all
locations.
Determine the types of records / formats
Keep track of retentions requirements
25. INVENTORY FIELDS
Creator (name of office creating or maintaining the
records
Contact information: contact person, address, number
Type / format / title of records
Brief description of content
Inclusive dates of the records
Size/volume (extent of the records)
Copy or original (there may be a number of duplicates)
Location (building, room, warehouses, cabinets, etc.)
List (box number, number of folders)
27. SOME METHODS OF ACQUISITION
Transfer from the Records Management Office /
Center based on Records Retention Schedule
Direct transfer from units or offices within the
institution / organization
Purchase
Gift or donation
Donation with tax appraisal
Copy Loan
28. SOUND RECORDS MANAGEMENT :
COMPONENTS ...
Comprehensive inventory of the organization’s
records
Uniform / consistent filing system within the
different units of the organization
Records Life Cycle / Records Continuum Concept
Preparation and strict adherence to the RRDS
(Records Retention and Disposition Schedule)
29. RECORDS LIFE CYCLE CONCEPT ...
Creation,
Receipt,
Collection or
Capture
Destruction
Transfer to
Storage Disposition Organization,
Area Control,
Maintenance
Transfer to Archives
30. SAMPLE: TRANSMITTAL FORM
XYZ ARCHIVES
RECORDS TRANSMITTAL FORM
Accession Number: Date:
Date received: Location No.
Name of Transmitting Office:
Address and telephone:
Contact person:
Bulk, volume, size:
Description:
Restrictions (if any):
31. ELEMENTS OF A DEED OF DONATION
Name of donor
Information about the donor (address, contact
number, etc.)
Short description of the donation (bulk, volume
and extent, condition, etc.)
Conditions of transfer (is copyright included, is it
mere deposit, etc.)
Conditions or restrictions of access and use (is it
restricted, open to the public)
33. ACCESSION RECORD
An accession record can be
A book / log book
Loose leaf or sheet
Catalog card
Computer record
34. ELEMENTS OF AN ACCESSION RECORD
Name of Creator, Source, Donor (juridical or natural person)
Creator, donor or source information
Date of accession/date received
Description of materials (types, extent of materials, volume,
physical condition, inclusive dates)
Type of arrangement, if any
Method of acquisition
Acknowledgement/Deed
Relationship with records already in archives
Status of rights / restrictions (of access and use)
Preliminary inventory
Remarks
Temporary or permanent location in archives
Reference number or assigned accession number
35. SAMPLE:
ACCESSION RECORD
Name of creator / source of records
(Organization, office or individual)
Date received
Quantity/Bulk of material/Volume
Relation of material to other material(s) already in
the archives/current location of material
Temporary or permanent reference number
38. PRINCIPLES OF ARCHIVES
Principle of provenance
Principle of original order or the sanctity of original
order
39. PRINCIPLE OF PROVENANCE
maintains that the records of one source or creator
should not be mixed with the records or another
source or creator
40. PRINCIPLE OF ORIGINAL ORDER
maintains that the order the records as they were
created and used by the source or creator should
be preserved or respected (sanctity of original
order).
42. SAMPLE GROUPING OF ARCHIVAL MATERIALS
Legal documents
Constitution and By-Laws
Incorporation papers
Contracts, deeds, MOAs
Administrative and Policy Documents
Minutes of Board, Committee and Council meetings
Personnel records
Manuals, handbooks
Financial records
Records documenting activities
Publications
Programs
Publicity materials
Conference, seminar, workshop records
Correspondence, memos, emails
AV materials
Artifacts and memorabilia
Personal Papers
Diaries, histories and papers of individual members / leaders
43. LEVELS OF ARCHIVAL ARRANGEMENT
Depository/repository
Fonds (Record Group)
Series
File
Item (optional)
44. EXAMPLES OF LEVELS OF ARRANGEMENT:
RECORD GROUP (FONDS): XYZ BOARD OF TRUSTEES RECORDS
Depository/
repository : XYZ University Archives
Record Group : Board of Trustees Records
Series : Minutes of meetings
File : Minutes of meeting, 2010 May 10
Item : Board Resolution No. 5 S2010
45. FINDING AID
a description that provides information about the
contents and nature of the archival materials.
Types of finding aids:
Calendar/chronicle/diary
Catalogs
Indexes
Registers
Inventories
Guides
46. SOME BASIC ELEMENTS OF DESCRIPTION
INCLUDED IN FINDING AIDS
Reference code/Accession No./Location
Name of collecting agency/name of archives
Name of creator/source
Physical description/extent or quantity
Dates
Administrative/Biographical information
Scope and content notes
System of arrangement
Listing/inventory of materials
Restrictions
Available finding aids
Name of archivist preparing the finding aid
47. FINDING AID: INVENTORY
Four Sections of a standard inventory
Introduction
Administrative / Historical / Biographical Note
Scope and Content note
Box/Folder/Item list
48. SAMPLE
ARCHIVAL FINDING AID: INVENTORY
XYZ Archives
Reference code(s)
Title
Date(s)
Level of Description
Extent and Medium of and level of description (quantity, bulk, or size)
Name of Creator(s)
Administrative history
Inventory
Records of the Office of the President (RG)
Box Folder RG / Series / File / Item Inclusive dates
No. No.
1 1-5 Minutes Board of Trustees 1960
2 1-2 Articles of Incorporation, By-Laws 1970
2 3 Board resolutions 1970-1980
3 1 Certificates 1960 - 1986
Processing info: Processed by Abc
Date(s) of description : 2011
49. SOME INTERNATIONAL STANDARDS AND FORMATS
OR BEST PRACTICES IN ARCHIVAL DESCRIPTION
AACR Anglo-American Cataloging Rules (Library
Association of Britain, US and Canada)
MARC MAchine Readable Cataloging (US and Canada)
EAD Encoded Archival Description (Library of Congress)
DACS Describing Archives: A Content Standard (SAA)
RAD Rules of Archival Description (Canada)
Dublin Core OCLC
ISAD(G) General International Standard Archival
Description (ICA)
50. STANDARD OF ARCHVAL DESCRIPTION:
ISAD(G): 7 AREAS AND 26 ELEMENTS
Essential elements:
These are the elements that should be included in a
finding aid.
1. Reference code
2. Title
3. Creator
4. Dates
5. Extent of the unit of description
6. Level of description
51. SAMPLE
ARCHIVAL FINDING AID : INVENTORY AND ISAD(G)
XYZ Archives
Reference code(s)
Title
Date(s)
Level of Description
Extent and Medium of and level of description (quantity, bulk, or size)
Name of Creator(s)
Administrative history
Inventory
Records of the Office of the President (RG)
Box Folder RG / Series / File / Item Inclusive dates
No. No.
1 1-5 Minutes Board of Trustees 1960
2 1-2 Articles of Incorporation, By-Laws 1970
2 3 Board resolutions 1970-1980
3 1 Certificates 1960 - 1986
Processing info: Processed by Gabi
Date(s) of description : 2011
52. SAMPLE ARCHIVAL DESCRIPTION:
USING EAD (ENCODED ARCHIVAL DESCRIPTION) STANDARD
<acqinfo>
<head>Acquisition Information</head>
<p>Acquired, 2010.</p>
<acqinfo>
<processinfo>
<head>Processing History</head>
<p>Processed by XYZ, 2010.</p>
<processinfo>
<arrangement>
<head>Arrangement of XYZ President’s Records</head>
<p>The filing system for the XYZ President’s Records has generally been maintained in its original form.
The original folders and their labels have been retained. Where the basic original order is not discernible or
is absent, the processor devised a necessary order and/or arranged the records within the groups of the
collection.</p>
<arrangement>
c01 level=series”>
<did>
<unittitle>XYC President’s Records, Minutes of Meeting</unittitle>
<unitdate type=”inclusive” normal=”1980/2010”>1980-2010</unitdate>
<physdesc><extent>20 linear feet (21 boxes) </extent>
</physdesc>
<did>
<scopecontent>
<p>Minutes of meetings of the President’s Council, 1980 to 2010.</p>
</scopecontent>
53. ARCHIVES FUNCTION:
REFERENCE SERVICES AND ACCESS
making records available to users
clear, written statement as to who is
allowed access
what materials are allowed to be
accessed
rules and regulations in the reading area
54. ARCHIVES FUNCTION:
OUTREACH, ADVOCACY AND PROMOTION
Involves raising archives awareness of collections
and services
Promote your archives
Publish a guide (printed, online or both)
Write an article in organization’s newsletter
Mount exhibits
Network with faculty
Conducting seminars, workshops, speaking
engagements
Holding an archives day
Holding competitions, tours
55. ARCHIVES FUNCTION:
PRESERVATION AND PROTECTION OF MATERIALS
Definition:
To prevent, slow down/minimize or stop the
physical and chemical deterioration of materials
To prevent the loss of information content; and
To guarantee the security, safety and survival of the
materials in case of a disaster
(U.S. National Archives and Records Administration)
56. ARCHIVES FUNCTION:
PRESERVATION AND PROTECTION OF MATERIALS
Preservation and Protection components include ...
Emergency and disaster management
Response
Recovery
Conservation
Restoration programs
57. DIGITIZATION ...
Is one method for media preservation; and
It is also a way to promote archives
58. CHALLENGES TO DIGITIZATION ...
Software and format obsolescence
Media obsolescence
Hardware obsolescence
Costs
Expertise
Risks
59. MANAGEMENT OF ARCHIVAL PROGRAMS
Angelika Menne-Haritz wrote in “Archival
Training in a Changing World”:
“Archives are the memories of a nation or
a people ... Archival work consists of the
management ... of materials in
unchanged shape as the basis for
constantly changing memories.”
60. NCCA NATIONAL COMMITTEE ON ARCHIVES
1ST NATIONAL ARCHIVES CONGRESS 2009: RESOLUTIONS
In furtherance of RA 9470 or the NAP Act
Establishment of archives and records centers in
institutions
Creation of an Archives management committees in
institutions
Creation of distinct positions of archivists and records
officers or managers; and possible subsequent
professionalization of the profession.
Develop a distinct formal course or degree on
archives and records management.
Acquire and collect information on the various
opportunities, ways and means on archives and records
management education, training, seminars and
workshop.
61. 1ST NATIONAL ARCHIVES 2009:
RESOLUTIONS ... CONTINUED
Acquire and collect information on standards, best
practices and benchmark of archival and records
management theories and practices
Increase and improve communication lines and linkages
about the activities of NAP and its subdivisions.
Develop and create programs and activities for fund
raising
Develop strategic plans of priority actions for capability
and capacity building of archives and records center
Intensive information dissemination of RA 9470, NAP
Circulars and other official issuances of the NAP
Executive Director.
End.
62. SOURCES
American Archivist.
http://archivists.metapress.com
Archival Issues.
www.midwestarchives.org
ARMS Archives and Records Management Section. United
Nations.
http://archives.un.org
Ashe, Carolyn and Chynette Nealy. Records Management.
New Jersey: Pearson Education, 2004.
Canadian Council on Archives
http://www.cdncouncilarchives.ca
63. SOURCES ...
Baldridge, Steven W. Granite Mountain Record Vault. Enclopedia of
Mormonism. Vol. 2.
http://www.lightplanet.com/mormons/daily/family_history
/granite_mountain_eom.htm
Benjamin, Tom. “Adaptation of Underground Space.” March 1999.
http://www.archives.gov
Boles, Frank. Selecting and Appraising Archives and Manuscripts. Chicago:
Society of American Archivists, 2005.
Dearstyne, Bruce. Leading and Managing Archives and Records Programs.
New York: Neal-Schuman Publishers, Inc., 2008.
Describing Archives: A Content Standard. Chicago: Society of American
Archivists, 2004.
Ellis, Judith, editor. Keeping Archives. Port Melbourne: D.W. Thorpe and
Society of Australian Archivists, 1993.
64. SOURCES ...
Hunter, Gregory S. Developing and Maintaining Practical Archives.
Chicago: Society of American Archivists, 2000.
International Council on Archives.
http://www.ica.org
ISO 15489
Jones, Maggie and Neil Beagrie. Preservation Management of
Digital Materials: A Handbook. London: British Library, 2002.
A Manual for Small Archives. Vancouver: The Association of
British Columbia Archivists, 1988.
Muller, Samuel, J. A. Feith and R. Fruin. Manual for the
Arrangement and Description of Archives. SAA Archival Classics
Series. Chicago: Society of American Archivists, 2003.
65. SOURCES ...
National Archives of Australia
http://www.naa.gov.au
National Commission for Culture and the Arts
http://www.ncca.gov.ph
O’Toole, James M. Understanding Archives and
Manuscripts. Chicago: Society of American
Archivists, 1990.
Parker, Elizabeth. Managing Your Organization’s
Records. The Successful LIS Professional. London:
Library Association Publishing, 1999.
66. SOURCES ...
Pearce-Moses, Richard A. A Glossary of Archival Records
Terminology. Chicago: Society of American Archivists, 2005.
Primer on Establishing a Records and Archives Management
Program for Local Government. Pasig City: Philippines-
Canada Local Government Support Program (LGSP), 2004.
Pugh, Mary Jo. Providing Reference Services for Archives and
Manuscripts. Chicago: Society of American Archivists, 2005.
Reyes, Maita Maronilla, Chemist Art Conservator and Stone
Conservation Specialist
Ritzenthaler, Mary Lynn and Diane Vogt-O’Connor.
Photographs: Archival Care and Management. Chicago:
Society of American Archivists, 2006.
67. SOURCES ...
Robek, M.F., G.F. Brown and D.O. Stephens. Information and Records Management:
Document-Based Information Systems. New York: Glencoe, 1995.
Robertson, Guy. Paper Crazy No More: Records Management for Library Chaos Junkies.
http://provenance.ca/2002-vol4/articles/RM-robertson2002.html
Roe, Kathleen. Arranging and Describing Archives and Manuscripts. Chicago: Society
of American Archivists, 2005.
Safaddy, William. Managing Electronic Records. Prairie Valley, KS: Association of
Records Managers and Administrators, 2002.
Sample Forms for Archives and Management Programs. Chicago, Illinois: ARMA
International and Society of American Archivists, 2002.
Schellenberg, Theodore R. Management of Archives. New York: Columbia University
Press, 1965.
Yale University
http://yaleuniversity.edu
68. SOURCES ...
Society of American Archivists
http://archivists.org
Stewart, Jeffrey R., Judith Scharle and Judith A. Hickey. Records and
Database Management. Ohio: Glencoe/McGraw-Hill, 1989.
Taylor, Arlene G. The Organization of Information. Englewood,
Colorado: Libraries Unlimited, Inc., 1999.
UNESCO
http://www.unesco.org
The U.S. National Archives and Records Administration.
http://www.archives.gov
Wikipedia
http://en.wikipedia.org
69. END.
Everyone is welcome to the Archives!
Questions?
Florbella S. Bongalos
April 15, 2011