Draft of 2006 College and University Archives Guidelines

This document dates from 2006 and will need updating before it can be approved by Council later this year. 

The Section leadership is posting this document as a draft and is calling on Section members for comment.  You may post your comment at the Add new comment link at the bottom of this page.

DRAFT:  SAA College & University Guidelines

Preamble

These guidelines for college and university archives provide a model for archivists and administrators at academic institutions who seek to establish institutional archives programs, as well as a point of reference for archivists and administrators who seek to strengthen or modify existing programs and policies.

The guidelines are neither prescriptive nor regulatory   Archives programs will vary according to each institution’s administrative structure, size, culture, and available resources.

Definition

The archives serves as the institutional memory of a college or university.  In doing so, it supports the educational, research, and service missions of the parent institution by providing an informed context for current and future decisions that govern the ongoing operation of the organization.

To fulfill its role, the archives identifies, acquires, preserves and maintains access to records of enduring value, in all forms, that chronicle the institution and support its continued existence.

Constituents

As its primary audience, the archives serves the college or university administration, faculty, and students.  In addition, the archives serves an extended audience of alumni/ae, researchers, and the interested public.

Authority

An effective archives program requires a mandate from the institution’s president or governing board.

Methods

In support of their mission, college and university archives:

 Identify and acquire records of enduring historical, evidential, legal, fiscal, and administrative value to the institution

• Consult with records creators and custodians to foster sustainable recordkeeping practices
• Preserve records of enduring value
• Provide access to records of enduring value
• Promote and facilitate the use of records of enduring value

In carrying out these activities, college and university archives operate according to professional standards and in compliance with all applicable legal regulations.

In addition, archival programs seek opportunities to collaborate with related programs and services (e.g. information technology, libraries, internal audit and legal counsel) in order to maximize benefits to the parent institution.

Core Archival Functions

College and university archives programs encompass the following core components: acquisition, arrangement and description, preservation, collection management, access and outreach.

• Acquisition is the process of identifying and acquiring through transfer, donation or purchase, institutional records and related materials having enduring historical, evidential, legal, fiscal, and administrative value to the institution.  Acquisition decisions are based on the information needs of the parent institution and an established collecting policy.
• Arrangement and description is the process of preparing collections for access.  The arrangement and description of materials are based on national and local standards at a level commensurate with institutional support for the program.
• Preservation is the long-term management and care of materials to ensure enduring availability for research use.  It encompasses activities ranging from management of the storage environment and disaster preparedness, to item level, conservation treatment and reformatting.  Preservation activities employ methods based on professional standards at a level commensurate with support for the program.
• Collection management is the daily or programmatic management of collections and includes accessioning, housing and storage, security, handling, and circulation.
• Access and outreach activities facilitate and promote use of records.  Access and outreach decisions are based on professional standards for open access in conjunction with the policies of the parent institution and all legal regulations that apply.

Related Issues:

There are numerous related issues that college and university archives must face in the context of their programs:

• The role of records management.
• Infrastructure, facilities, equipment and supplies, including: building security and climate control, computer equipment and networks, preservation and office supplies.
• Financial support and funding including internal budget operations, fundraising and grant writing, fees to users and cost recovery, donor relations, and the use of “Friends” groups.
• Legal issues including those related to copyright and intellectual property; and confidentiality and privacy versus freedom of access to information.
• The role of technology including the use of automation for collection management and access; integration in institutional systems; changing information formats/media; and electronic records issues.

Institutional support

To ensure the ongoing function and success of the archives program, the college or university is expected to provide support for the following:

• professional staff to implement and manage the program
• facilities to house staff and collections in a stable and secure environment
• equipment and supplies that meet the needs of the program
• a technologically current environment