Executive Summary

A. Definition

The archives serves as the institutional memory of the college or university and plays an integral role in the management of the institution's information resources in all media and formats. To fulfill the responsibilities of that role, the archives identifies, acquires, and maintains records of enduring value that chronicle the development of the institution and ensure its continued existence. The archives documents the process of institutional evolution by retaining both the evidence which shapes decisions and the decisions themselves.

B. Mission

The archives takes its mission from the mission of the institution, to educate:

• by supporting and enabling the administration which provides and maintains the overall structure;
• by determining what evidence is essential, ensuring that the institution creates such evidence, and making that evidence accessible to users regardless of location or format;
• by preserving essential evidence of the institution;
• by providing information that promotes the mission of the institution internally and to the extended community;
• by supporting teaching and enhancing the curriculum as appropriate;
• by supporting the research of the faculty, students, and other scholars through access to information;
• by promoting further understanding through discovery and dissemination of knowledge.

C. Constituents

1. The archives primarily serves users throughout the institution.

a) Administrative units have ready access to the permanent record, which includes: 

• documents in whatever form and from whatever time, which provide evidence of transactions and decisions essential to the functions of the institution, preserved on a stable environment for those offices which may require them (e.g., president's office, board of trustees, dean of students office, registrar, financial offices, facilities management, provost);
• materials which define and enhance the image of the institution, essential to the activities of offices responsible for fundraising and outreach (e.g., advancement office, public relations, admissions);
• materials and memorabilia which support significant interaction with past graduates (e.g., by the alumni/ae office, which is principally responsible for retaining those ties) by making available archival materials, which evoke as well as document the undergraduate and postgraduate experiences.

b) Students connect with the institution by learning about its history and placing themselves within that context. Access to archival materials that support curriculum and introduce them to the excitement and rigors of original research enhances their educational experience.

c) Faculty use the archives for research in collections that provide unique materials, which document the wide range of intellectual history; chronicle the contributions of individuals; and record processes as reflected in the records of the institution.

2. The Archives serves an extended community.

a) Alumni/ae maintain old ties and build new ones with their institution from ready access to the materials which document their connections. The archives refreshes their knowledge about the history and mission of the institution which are perceived by many alumni/ae as a significant factor in their development. The archives is, in addition, important as a place, relatively unchanging in the midst of constant change, to which they are able to return physically, to confirm their memories.

b) Researchers—those who are writing their first source paper in graduate school as well as established scholars with extensive publications—benefit from the richness and reliability of archival collections. By supporting an archival component within its educational mission, an institution can reach and serve a more broadly based research community.

D. Organizational Structure

An effective archival program requires a mandate from the president or governing board that authorizes the archivist to identify records of enduring value, document their physical location, preserve them, and establish methods of control that provide ready and consistent access to archival holdings.

To meet these criteria, the institution must provide resources that support the ongoing function of the program:

• professional and support staff to manage and implement the program;
• facilities to house staff and collections in a stable and secure environment;
• financial resources to fund personnel, equipment, and supplies;
• a technologically current environment.

Administrative Relationships

A. Mission

The archives takes its mission from the mission of the institution, to educate:

• by supporting the administration which provides and maintains the overall structure;
• by determining what evidence is essential, ensuring that the institution creates such evidence, and making that evidence accessible to users regardless of location or format;
• by preserving essential evidence of the institution;
• by providing information that promotes the mission of the institution internally and to the extended community;
• by supporting teaching and enhancing the curriculum as appropriate;
• by supporting the research of faculty, students, and other scholars through access to information;
• by promoting further understanding through discovery and dissemination of knowledge.

B. Goals

The basic goal of academic archives is to aid the institution in its survival and growth by supporting the institution's education mission. To fulfill the responsibilities of that role, archives share the following goals:

• To acquire or identify records of long-term historical, evidential, legal, fiscal, and administrative value to the institution and to preserve and provide access to them so that the archives is visible as a resource that:
  —promotes knowledge and efficient operation of the institution which it serves,
  —supports and nourishes teaching and learning at that institution and in the wider intellectual community.

C. Implementation

Academic archives will fulfill their mission and goals by focusing both the tangible and service components of the program on meeting these responsibilities. This means that:

• Acquisition decisions will be based on professional appraisal standards.
• Arrangement and description of materials will employ responsible professional practices and adapt them appropriately to the needs and culture of the institution.
• Facilities for storage, use, and service will provide a physical environment that protects the full range of the archives' record materials, and assures security from misuse and theft.
• The archives' preservation, arrangement, and individual conservation procedures will employ current professional standards.
• Staff will facilitate access to materials and provide information that will ensure teaching and learning to support the institution's operation.
• Staff and records will constitute a resource which
  —promotes knowledge and understanding of the institution's origins, mission, and goals,
  —contributes to its ongoing development through a range of services and by fostering and facilitating records management and information resource programs.
• Archives will publicize their resources to encourage their use by members of the institution and by the intellectual community beyond it to
  —support the curriculum,
  —stimulate teaching,
  —serve research, scholarship and intellectual exploration.
• Archival programs will
  —remain flexible in adapting to the rapidly changing institutional environment,
  —maintain a technologically current environment.

D. Administrative Authorization

A document authorizing the archives' existence and conferring the authority to accomplish its mission should define the archives program. The authorizing document should have the official approval of the highest appropriate governing official, such as the president or chancellor, and governing body, such as the board of trustees, administrators, or regents of the institution. This authorizing document provides the rationale, focus, authority, and continuity for the archives program.

While administrative placement, structure, and governance will reflect institutional differences and cultures, the status of the archives program should reflect the following considerations:

• This authorizing document should define institutional records, establish them as institutional property, and designate a single, central archives as their long-term repository or access point whether the institution occupies one or a number of campuses;
• The authorizing document should establish the archivist's authority to undertake all activities necessary to serve the program's mission according to current professional standards. The document should provide the authority to survey records, including those considered confidential, and determine their appropriate transfer from offices and departments;
• The administrative structure should provide the resources to maintain adequate personnel, facilities, equipment, and security levels to enable the archives to fulfill its current responsibilities to the institution and to keep pace with evolving technology and other changes;
• The administrative location and status of the archives should be unambiguous to permit effective interaction and cooperation with other units within the institution;
• The administrative structure should facilitate service to the archives' diverse constituents.

E. Personnel

Academic archives require appropriate professional and support personnel to manage a viable archival program. There should be a flexible administrative structure which allows fiscal and personnel adjustments to meet growth and changes of archival functions. Personnel should have the authority to accomplish the range of responsibilities and services that meet the archival program's established goals. Position descriptions, educational requirements, and scholarly credentials should reflect current professional standards.

1. Professional staff.

Professional staff should include a full-time, permanent director who is a professional archivist with strong professional credentials, such as certification. The director should have strong management skills for effective interaction with administrators, faculty, students, alumni, and the public. Because of their broad responsibilities, directors should have an administrative rank that provides authority to carry out the program's mission.

Additional professional staff may include other archivists, professionals with advanced degrees in related fields (e.g., preservation, library science, records management, or relevant academic disciplines), and consultants with credentials and experience in any of these areas.

2. Support staff.

Support staff should include paraprofessionals or nonacademic staff to provide reference, technical, and administrative assistance. These staff members must be able to handle minimal reference and supervisory duties when the archivist is absent, as well as having demonstrated technological and organizational skills.

Active archival programs in both the large and small institutions will need additional full-time and part-time personnel. Institutional factors and preferences will determine specific functions and position descriptions, but may include some of the following:

• Professional staff, employed as assistant or associate archivists, who are specialists in an archival field and can act for the director when the latter is absent and handle appraisal, public service (reference), arrangement and description, preservation, and outreach responsibilities;
• Processing/technical support staff assigned to prepare archival acquisitions and access tools for administrative and reference use may also handle public services that do not involve policy making, as well as plan and prepare exhibits;
• Reading room attendants, if the volume of activity requires, should have the requisite interpersonal skills for public service. Processors or full-time administrative personnel may assume reading room duties and supervision on a rotating basis;
• Administrative staff will have primary responsibility for operational activities, including office management, correspondence, archives' administrative files, and other duties facilitated by technical proficiency including word processing and database management;
• Student workers, working under adequate supervision, will fill varied roles, depending on the practices of the archives program. Students may retrieve, file, and reshelve materials, or process non-sensitive materials. Students can also perform duplication duties and support access to materials through new technologies;
• With adequate supervision, volunteers may serve flexibly in many capacities, including performing receptionist duties, serving as processing assistants, providing clerical support, and directing outreach activities such as exhibits;
• Interns being trained in professional school programs can be useful in the archives to perform archival, clerical, and public service duties. Because of the necessity for adequate coordination of program guidelines and supervision, use of student interns will depend on the commitment of the program director and professional staff.

F. Justification for Expanding Archival Programs

Academic archives may be called upon to justify their existence, promote their programs, and work toward expanding them. One way to evaluate program needs and areas for improvement and growth is to regularly gather data such as the:

• Public service activities including the number and complexity of inquiries;
• Number of reference requests and/or daily registrations;
• Volume and nature of additions to the collection;
• Frequency and complexity of records management responsibilities including records inventories and analysis, and scheduling;
• Volume and complexity of inaccessible records and those which do not need professional standards;
• Expanding outreach activities, including institutional celebrations, and fundraising activities;
• Impact of technological changes on demands for archival services and the program's ability to meet those needs.

Records Management

A. Introduction

Many college and university archival programs include records management. This section outlines basic considerations and components of records management programs either within or organizationally separate from archival programs. See also the suggested readings in Appendix II.

B. Records Management Objectives

• Protect institutional information resources throughout their life cycle. This includes complying with state and federal laws and regulations, identifying vital records, and implementing strategies for preserving information and records of long-term value.
• Improve the flow of information in the organization.
• Establish a records management component in institutional information resource policy and planning.
• Provide for adequate data collection and information access and retrieval; including institutional positions on privacy and confidentiality.

C. A Policy Statement:

• defines what "record" means within the context of the institution's mission and administrative rules, state and federal laws;
• specifies ownership of institutional records;
• designates records management responsibilities and roles in areas such as systems development and maintenance, information architecture design, and standards development;
• defines records management roles and responsibilities at all levels of the institution;
• indicates how to develop, approve and implement retention and disposition policies and who will do them;
• explains how to provide internal and external access to institutional records and information; this policy should address state and federal laws that may be appropriate, especially privacy and open records laws, as well as institutional administrative rules;
• specifies policies and practices that will make wise use of information technology to ensure the right tools for the right applications.

D. Organizational Relationships

The administrative relationships must facilitate a systems approach to records management; i.e., analyze and appraise all components of an information systems as a unit. This approach requires coordinated and cooperative organizational relationships to bring together and address the needs of the records creator, information technology staff, records management, archives and others. Organizational relationships should:

• provide authority for program staff to operate on an institution-wide basis including authority for the archivist/records manager to negotiate directly with campus offices regarding all facets of the records management program;
• ensure access to appropriate campus offices and staff;
• include a working relationship with campus legal and audit staffs;
• foster effective working relationships with information technology staffs and others involved in information policy and planning and systems design;
• provide a structure for cooperation and communication between the institution's archival and records management program personnel, in cases where the records management program is organizationally separate from the Archives.

E. An Advisory Body Can:

• provide guidance to the records manager;
• promote greater institutional support for records management program activities;
• act as the policy approval and advocacy body in the review and approval of institutional records retention and disposition schedules and standards.

Appropriate members of this body include: the institution's archivist and records manager; along with representatives from legal services, internal audit, each of the major organizational units, and the institution's information technology unit.

F. Components of a Records Management Program May Include:

• policy and procedure development;
• records inventory, appraisal, retention, and disposition;
• inactive files management and control (records center);
• helping develop or dealing with digital information systems, data collection (forms management), management of active files, correspondence, reprographics, micrographics, reports, mail, and vital records; and establishing training and outreach programs.

Fundamental areas of a basic records management program include:

1. Policy and procedure development.

Policies should provide authority and define parameters of the program, define relationships with other institution units (See C. above), and denote levels of responsibility and services provided. The records manager/archivist should produce a records management manual to specify the institution's records program policies and procedures.

2. A records retention and disposition program.

a) Inventory and appraise records to gather basic information about the organization's records to facilitate records appraisal, to establish retention and disposition schedules, to achieve economies in the storage and disposition of inactive records, and to identify the institution's vital records.

b) Develop schedules to define retention and disposition responsibilities. During the schedules' development, they must incorporate legal, audit, administrative and historical values of the institution's records and information. The archivist should consult the institution's legal counsel and internal auditor while reviewing or approving these schedules. This review can be the responsibility of the advisory group described in D. above.

c) Records managers/archivists can use a variety of methods to implement retention and disposition policies.

—Make them available to those in the working offices; i.e., office administrative staffs.
—Publicize them using the most accessible communication vehicle; e.g., administrative manuals, Web pages or other online communication technologies.
—Share retention and disposition policies with information technology staffs and with those responsible for the institution's information resource planning.
—Implementation should also include provision for periodic audits and reviews to insure that the retention policies are up to date and that campus offices are implementing them appropriately.

3. Data collection/forms management.

• Systems analysis and design should improve information flow, ensure that data collection supports the business applications of the organization, streamline data collection instruments and systems, enhance the use of collected data, ensure that state and federal rules and regulations regarding data collection are satisfied, and select appropriate tools for data collection.
• Forms and inventory control should maintain control of official institutional forms and document revisions to them, eliminate duplicate forms, ensure that all forms representing the institution have been officially approved, and control printing supplies and costs.
• Increasingly, institutions will purchase e-forms (electronic forms) software packages to support institutional processes. These packages, while useful, greatly encourage the proliferation of unofficial forms. The records manager should be involved in the development of specifications for software, so that the objectives in place for paper forms will also be applied to the electronic systems. This involvement will also help appropriately define official records and deal with retention and disposition issues during the design process.

4. Active records management.

• Develop filing systems and file naming standards. The records manager/archivist should be prepared to provide advice on types of filing systems appropriate for particular types of processes and records. Some institutions may request the development of file naming standards to support electronic filing systems.
• Deal with electronic information management systems. Adequate protection of institutional information resources and appropriate management of them throughout their life cycle can only be accomplished effectively by the early involvement of records professionals in the systems development phase. Records manager/archivists should be knowledgeable/keep abreast of technological developments in this area on their campuses and maintain ongoing involvement in information systems' growth and development.
• Supervise filing supplies and storage equipment. The records manager/archivist should have the authority to recommend types of file equipment purchases that will support uniformity of filing practices and to request justification for the purchase of highly specialized filing systems.
• Assist with micrographics/imaging. Many colleges and universities maintain micrographics operations; imaging and workflow systems are becoming more prevalent. They can be effective tools to reduce bulk and to preserve information stored on fragile media. If not a part of the institutional archives or records management program, a working relationship must be established and maintained with such operations or systems.

5. Inactive records management.

• Records center management ensures the protection, access and retrieval of institutional records until their retention value has been met. It includes accession and inventory control, security and access provisions, and environmental controls.
• The records manager should work with the data manager and information technology staff to ensure the retention of electronic data in accordance with retention and disposition policies and that data remain accessible and retrievable throughout their life cycle.
• Records disposition ensures the destruction of records in accordance with approved retention policies, appropriate handling of confidential materials, the end of all activity on the records, and the transfer of records designated for permanent preservation to the institution's archives.

6. Training and outreach program.

To be effective, the records manager/archivist will have to rely on others in the institution to assist in carrying out the objectives of the records management program. The training and outreach program should:

• regularly provide workshops and other training which outline basic program policies and procedures and office responsibilities;
• establish a system of records liaisons/coordinators within the major units of the institution to serve as basic contacts for the records management program;
• use other tools which may be helpful, e.g., articles in campus newsletters, brochures on various records management topics, and electronic communication technologies to inform and educate the campus community about the records program.

Core Archival Functions

A. Acquisition

In an institution with a records management (RM) program, the archivist monitors the incoming records to insure that all records series arrive on time; periodically reviews the program to ensure that it adequately documents the school's operations as functions and units change; and seeks to acquire the records of student and other groups outside the formal program. If the school has no RM program, the archivist must perform some RM functions (see the section above) to obtain the records of enduring value.

Archivists will pay special attention to the development of digital records and work closely with units, offices, and computer centers to preserve and make these records accessible. This may require the archivist's involvement with systems design and implementation. Archivists will base their appraisal, acquisition, and retention of records of enduring value on the archives' mission statement, which is a function of the institution's mission. Through appraisal, archivists determine which records belong in the archives, based on their long-term administrative, legal, fiscal, and research value.

• Archivists should give priority to official records and publications, especially those reflecting the development, policies, and activities of offices, units, or committees that:
  —involve more than one department;
  —formulate of approve campus-wide or division-wide policy;
  —document administrative, faculty, student, and external involvement in those activities.
• Records of departments, individuals, groups, or programs which substantially influenced the institution's development or reputation also belong in the archives.
• Archives may:
  —accept other records in imminent danger of loss or destruction pending a decision on their ultimate accession or disposal;
  —house vital records and microfilm or digital, duplicate, security copies of records.

Through acquisition, archives obtain those records which meet the appraisal criteria. (See Appendix I for types of college and university archival records.)

Using their appraisal criteria, each archives should develop:

1. A regularly updated, written acquisitions policy, including:

• an analysis of the archives to identify any gaps or areas of weakness by unit or chronological period;
• a statement that outlines the archives' acquisition responsibility;
• definitions of acceptable donor restrictions indicating circumstances under which they may be imposed—for set time periods, if possible;
• descriptions of copyright and literary rights, which should be assigned to the institution or its appropriate governing board.

The Society of American Archivists' self-evaluation document may be helpful here and in other archival activities.

Archivists should:

• consider federal and state laws and institutional policies while balancing freedom of information rules (where applicable) and researchers' need for access with personal privacy or confidential matters;
• accept as few restrictions on records as possible, consistent with the legal rights of all concerned. Restrictions may be necessary on executive decision processes, personnel and student records, certain financial or institutional proprietary matters; and decisions on discipline, termination, promotion, rank and tenure. Archivists may have to accept other restrictions from the office creating the records or the donor of personal papers. Both the donor/creator and the archives should retain written copies of such restrictions. Only the donor, office of origin, or an executive officer/board may grant access to some restricted material. The officer or person granting access should sign these permission documents which then become part of the archives' permanent records. Restrictions should not discriminate among potential users. Limits should be for a fixed time period, not for anyone's lifetime. Avoid any provision which may be difficult or impossible to administer.

2. A written plan to improve documentation of weak areas by establishing acquisition priorities to target the records of key offices and groups.

3. A contact or "pursuit" file on every office or individual with which the archivist has discussed transfer of records or the donation of papers; this file should record dates of contact, agreements on transfers or donations, the current status of contracts, and supporting correspondence or phone memoranda.

4. A short brochure outlining archival services and records transfer procedures for campus offices.

B. Processing Archives

Processing includes all the archivist's activities to accession, arrange, describe, preserve, and make available the documents in the archives.

Through accessioning, the archivist usually takes physical control of records by transferring them to the archives repository and begins establishing intellectual control. In the case of some digital records, other campus offices (e.g., the computer center), may maintain the physical records while the archives provides access through systems of intellectual control.

A holistic approach, i.e., remembering that all archival functions are interconnected while performing each activity, is important throughout archival work. The following sections emphasize this interdependence of archival functions.

1. Accession record.

Archivists create an accession record—noting the records' date, title, bulk, condition, transferring office or donor, conservation needs, and access restrictions—when records come into the archives. This record is not functionally unique to accessioning. It also includes elements of rudimentary arrangement, description, and preservation. The form of the accession record, especially if recorded in a database or other digital format, may become the base or platform for the later functions of arrangement and description.

2. Preservation is also not just a one-time procedure when records "come of age" as they arrive in the archives.

• Archivists must ensure that incoming records are free of dangerous or bulky, extraneous matter such as metal fasteners, acidic or otherwise unstable or fragile containers, mould, dampness, vermin, or their remains.
• Preservation may even begin before a record's "birth," as archivists help plan systems to ensure the long-term existence and accessibility of digital records.
• Preservation both begins before and continues throughout the records' life when archivists
  —design and maintain the archival building or area to provide security and access;
  —provide adequate shelving, alkaline-buffered containers, and control of humidity and temperature;
  —ensure conservation treatment of damaged or fragile materials;
  —reproduce records for display or to extend their life.
• Preservation even gives records "new life" after the "death" of their original medium by migration of records from one medium to another, e.g., photocopying to alkaline-buffered paper, microfilming or digitizing records, or periodic re-copying of film-based or digital records.
• While all archivists perform basic preservation functions, such as those noted above, they should pay special attention to two areas of caring for documents:
  —Archivists should consult or employ trained specialists for document conservation, such as deacidification, repair or reinforcement, aqueous treatment, or fumigation.
  —Archivists must use special techniques for preserving and providing access for non-print items, such as film or tape. Even more care may be necessary in dealing with digital/electronic records.

The preferred procedures for dealing with such items often change and are too specific and detailed to describe here. (See Ritzenthaler in Appendix II, as well as the National Media Lab, AIIM, and SAA Web sites for guidance in this area.)

Through arrangement, archivists deal with records according to the principles of provenance, respect des fonds, and original order to maintain the records' context and natural, organic order to document the transactions of their creating or assembling office or individual in the office's or person's regular, daily activities.

If the materials have no discernible order or have been re-arranged or mixed, the archivist should first try to re-establish their original order. If this is not possible or if the items have no original order, e.g., posters or publications of ad hoc or transitory campus groups or other ephemera, the archivist may arrange the materials in whatever order would best facilitate their use.

The final arrangement of materials will usually be alphabetical or chronological within record groups or series, showing the hierarchical relationship of each fond (creating office or individual) to the institution's other fonds. Archivists should clearly label all folders and containers of records, papers, and other materials to show their proper location within the record groups or series.

Through description, archivists use a variety of finding aids to:

• inform users of the contents of the archives;
• permit archivists to retrieve requested documents or information.

Description begins during accession as the archivist develops the basic record for each incoming unit of materials. This record usually includes the title, bulk, inclusive dates, condition and restrictions on the record group, series, or collection of personal papers arranged by title in the institution's organizational structure and placed on a computer list, database, or other format to permit quick, easy access to relevant information. A finding aid for each archival unit should be available to researchers on external, even worldwide networks, in the campus online public access computer, and at the archives. The detail in the finding aids will vary depending on:

• funding;
• the extent of network or other digital access;
• the archivist's judgement of the importance of the records, their potential volume of use, and whether or not the records have been processed or are available for immediate use.

Full record description is one of the most complex and challenging archival tasks. It may by the most rapidly changing and developing area of archival theory and practice in the 1990s; so only a brief summary is possible here. (See also Miller in Appendix II.)

As Miller notes, the full description includes information about:

• records' intellectual content and access and their physical description and access;
• records' origins and and context;
• archivists' actions and descriptive control.

Archivists usually present this information on several levels:

• general guides describe the repository;
• they refer or provide electronic links to more specific, detailed finding aids on record groups;
• these refer or offer links to series finding aids which provide even more specific information.

While this is probably the most common structure of description, Miller outlines a system without repository guides or record group finding aids. This system focuses on the basic archival unit, the series; then uses electronic linking to indicate hierarchy and context and electronic finding aids to provide access.

Influenced, if not driven, by computer and network—Internet and World Wide Web—technology, archival description in the 1990s has focused on standardization of language and information, authority control, and ways of presenting information through such formats as MARC (machine-readable cataloging) and EAD (Encoded Archival Description).

Arrangement and description need not be to the same extent or level for all materials. Archivists must keep careful, constantly updated, permanent records of both the intellectual arrangement and physical location of all items, processed or not, as long as they are in the archives and, especially, if items are temporarily removed, e.g., for copying or exhibition.

While these principles should guide the intellectual arrangement and organization of archival materials, practical considerations may determine records' physical arrangement within the archives. Once the archivist has established intellectual control of the records:

• special format materials; e.g., digital, film, map, audio, or audio-visual, blueprint, poster or other oversized items; may be physically removed from their record groups or series—with proper notice of where they may be found—and placed where they may be best preserved;
• all records may be physically placed to take maximum advantage of existing space or to most conveniently retrieved them for use.

C. Controlling and Promoting the Use of Archives

1. Controlling Archival Use.

• Archivists should consider possible theft and preservation when planning procedures for the use and storage of archives.
• Access to unrestricted archival materials should be on equal terms to all persons who abide by the archives' rules and regulations. (See the section on Accessioning for details on access to restricted items.)
• Before persons use materials, archivists should:
  — inform users of the archives' policies and rules and have users sign a form agreeing to follow these rules;
  —require users to provide identification (including a photograph) and complete a standard registration form recording the user's name, address, and the records requested. These forms should be permanently retained in case of theft or misuse of items and for the archives' statistics.

Policies for using archives should include items such as:

a) Researchers may:

• use materials only in the supervised reading room;
• bring only a pencil and note paper into the reading room after storing all coats and bags near the entrance; (Some archives provide paper and check it before users leave.)
• use only one folder or box at a time
• not smoke, eat, drink, or use audio equipment which would disturb others.

b) Archivists should:

• return each container to the stacks or to a restricted, temporary storage area immediately after its use;
• limit photocopying, photographing, or scanning of archival documents to ensure preservation and security, respect copyright law, and best utilize their limited resources;
• permit only staff to enter the stack area.

Maintaining statistics of use and records of entrance/exit interviews is important for reports and publicity, as well as for evaluations and planning future policies and practices. (See also Pugh in Appendix II)

2. Promoting Archives: Outreach Through Service and Publicity.

Archivists may use a variety of methods of outreach to inform resource allocators, campus units, and potential donors and users about the value and contents of archives and to facilitate their use. In a sense, everything archivists do—including all the sections above and documents such this—are aspects of outreach. The areas of service and publicity deserve special consideration.

D. Service

Academic archives provide administrative, research and educational services. By performing these functions, archives clearly establish their role in contributing to the information needs of their institutions and those of the larger research community.

1. Administrative Service.

Academic archives perform several basic services to administrators, faculty, student governing bodies, and other campus units, e.g., alumni, development, physical plant, and public relations:

• providing answers to questions about the history, policies, procedures, and decision-making processes of the institution, its academic and support programs and services, and individuals while they were there;
• providing copies of documents, images, and other items;
• providing finding aids to facilitate access to specific information;
• retrieving and returning segments of record series to their office of origin;
• In institutions without formal records management (RM) programs, the archives may provide some basic RM functions;
• Academic archives should provide all offices with information about the nature and extent of the archives' documentation, access, and reference service policies and procedures.

But academic archives are not only information sources. They also help sustain colleges and universities by serving as a repository for treasured items from former students' school days; by providing students, alumni, and their friends and relatives with unique items, images, and information; and by helping celebrate anniversaries to strengthen emotional ties to their college or university.

2. Educational and Research Services.

Archives should serve all interested persons as a source of images and information about the institution. The scope of reference service will vary with the amount and type of requests; but should, at least, provide guidance on possible sources of information and on how to use them. Academic archives should also serve as an educational laboratory where students may learn about:

• a particular subject;
• the different types of available resources;
• the proper procedures and techniques for using primary archival resources in their research projects.

(The level and availability of educational and research services will differ in private and public institutions. For other appropriate restrictions see "Access" above.)

3. Publicity and Public Programs.

There are many possible types of outreach. Each archives' resource and archivist's imagination and ability will shape how they use opportunities such as:

• general or subject handout brochures on the archives;
• attractive and clear directional signs to guide users to the archives;
• meetings and programs by "Friends of the Archives" groups, if space permits;
• exhibitions or displays of subjects or items in the archives and exhibit brochures, especially when the exhibit can be associated with key anniversaries or celebrations. Such displays can also serve archives' service and educational functions. They could be mounted in the student union or other highly visible campus locations as well as in the library or near the archives;
• campus broadcast media (radio or television) or publications, e.g., catalogs, directories, newspapers, library handbooks, and other media to describe the archives' holding and services or provide historical sketches;
• networks (such as campus, Internet, World Wide Web—especially establishing an archives Web site); statewide, regional, and national databases, like RLIN and OCLC; public access television or library, historical, or archival journals for publicizing bibliographic records, repository guides, finding aids, or notes on accessions or on discoveries in or publications using the archives.

Facilities and Equipment

Space requirements and facilities will vary with the size of the institution and the development of the archival program. Planning for archival facilities should include consideration of the potential types of media to be stored, the archives' organizational environment, the potential clientele for the archives to support and serve, and the types of functions and services the program will provide. The following recommendations are for minimal facilities and equipment for the proper functioning of an academic archives.

A. Facilities for Academic Archives

1. General considerations.

• The archives should be in a fire-resistant or fireproof building and equipped with an appropriate heat/fire detection and suppression system, including smoke and heat detectors and fire extinguishers. Local fire codes and regulations may dictate the final choice of these items. Archivists should consider their specific needs, resources, and the range of system alternatives before selecting one.
• Maintain constant temperature and humidity conditions. Since most archives store a variety of materials together, each with different optimum storage conditions, it will be impossible to provide ideal conditions for all materials. Archivists should be familiar with professional and industry standards for their range of record storage media. Suggested ranges are—temperature of 60-70ºF. (16-21ºC.) and relative humidity of 40-50%. It is especially important to minimize fluctuations within the suggested ranges.
• A security system should protect the archives. All archives areas should have locks. Only authorized personnel should ever have access to the keys or combination to these areas' locks.
• All windows and fluorescent lighting in the archives should have appropriate ultra violet light filter screens, particularly display areas and areas where archival material is on open shelves.
• Archives should have convenient access to a loading dock and elevators as required.
• Archives should have direct access to running water and sinks.
• In a multi-story building, archivists must ensure that floor load capacities will support appropriate shelving and records loads.
• Protect or locate archives away from environmental or structural hazards such as leaky pipes or wet basements.
• Adequately wire the archives for computer and communications services.

2. Other considerations.

a) Administration: Provide adequate space for staff and standard office equipment and supplies.

b) Work areas: Provide separate space for examining and processing records. This area should be large enough to accommodate large tables, computing equipment, and other equipment for processing records.

c) Reference/research area: This space should be separate from, but convenient to, storage and work areas. It must be:

• supervised and restricted;
• large enough to accommodate several users;
• well lighted;
• furnished with appropriate furniture and accommodations for lap top computers and other electronic devices if the archives' reference policies permit their use.

It should provide:

• a separate space and facilities for checking bags, briefcases, and coats;
• space for user registration;
• an area for discussing researchers' needs without disturbing other researchers;
• space for reference collections and finding aids.

d) Storage areas: Only archives' personnel should have access to the stacks. The area should be large enough to:

• accommodate present holdings;
• permit the future growth of the archives. Determination of future space needs will depend on several factors, but reviewing annual accession rates will provide some guidance.

e) Other areas: The functions provided by the archives program will determine the space for other areas. Space needs may include areas for;

• exhibits and public programs;
• special media, such as microforms, photographs, oversized items, and emerging electronic media.

B. Equipment and Supplies

Archives should have enough shelving for present holdings and for five to ten years of projected growth. It should be constructed of material that is safe for archival records with adjustable shelves to accommodate the types of materials and containers used for storage.

Archives must provide appropriate storage equipment for oversized items, photographs, maps, and other items which may vary in size or types of media. Major types of necessary equipment and supplies include:

• computers, word processors, printers, photocopiers, and other electronic equipment as appropriate;
• equipment appropriate for transporting boxes and other archival materials;
• folders, document cases, boxes, or other containers appropriate for the long-term preservation of archival materials;
• standard office supplies.

Special equipment required will depend upon the types of records and their potential uses. Other items to consider include microform reader/printers, public access and network computer terminals and printers, and a scanner.

Supporting Services

Supporting services will vary, depending upon the types of materials within the archives and the kinds of services and functions provided. Supporting services may include access to:

• photographic and sound duplicating equipment or services;
• a range of preservation and conservation services, such as fumigation and appropriate item repair;
• automation support;
  —hardware and software support for the archives' internal computing needs,
  —support for access to and retrieval of electronic data designated for archival preservation that may be physically stored outside the archives.
• Multimedia equipment for exhibit and public programming needs.

Appendix 1: Types of Academic Records

The following list of types of records in most academic archives is suggestive, not exhaustive. The relative importance of such records will vary with each institution in accordance with the institution's and archives' mission statements. Documentation need not be restricted to these types, nor should archivists substitute this list for analysis of their institutions' archives. (See also Samuels in Appendix II.)

1. Legal or constituting documents (e.g., charters, constitutions, by-laws), vital records or security copies produced by any campus vital records program, policy statements, and reports (along with their supporting documents), minutes, substantive memoranda, correspondence, and subject files of the institution's:

• governing board;
• chief executive, academic, legal, financial, student affairs, and administrative officers;
• heads of units operating with a high degree of independence, e.g., branch campuses, universities' colleges, medical and law schools, and research institutes;
• major academic and administrative committees, including the faculty senate.

2. Reports of:

• self-studies and accreditation visits;
• annual budgets and audits;
• offices of admissions, institutional research, university relations—public relations both on- and off-campus—and development (fundraising);
• research projects, including grant records.

3. Records of:

• departments, e.g., minutes, reports, syllabi, faculty vitae, and sample test questions;
• retired, resigned, terminated, or deceased personnel the school employed;
• the registrar, e.g., calendars and class schedules, noncurrent student transcripts, enrollment records, graduation rosters, and other reports issued on a regular basis;
• academic, honorary, service, and social organizations of students, faculty, administrators, and staff on campus.

4. All publications, newsletters, posters, or booklets about or distributed in the name of the institution or one of its sub-units, e.g., books, posters, magazines, catalogs, special bulletins, yearbooks, student newspapers, university directories and faculty/staff rosters, alumni magazines, and ephemeral materials.

5. Special format materials documenting the operation and development of the institution, such as:

• audio, audiovisual and multi-media productions—still photographs, slides, and negatives, motion picture films, audio and audiovisual cassettes;
• oral history interviews with their transcriptions;
• maps, blueprints, and plot plans of the campus and its buildings.

6. M.A. and Honors theses and dissertations.

7. Digital and other electronic records or lists of where such items are maintained and finding aids for accessing them.

8. Artifacts related to the institution if space permits and the institution has no museum.

9. Vertical files of primary and secondary materials for quick responses to general reference questions. Vertical files of secondary materials may be in the reading room for researchers.

10. Records and papers produced by school-related organizations, groups, and individuals while actively connected with the school, such as private papers of faculty members produced while working with or for the school; as well as manuscript collections related to the school—unless the archives is in a division with a manuscripts department. Some archives have greatly increased the documentation of their institutions by having all records and papers produced by school personnel in the course of their profession during their employment at the school, excepting personal correspondence, lecture and research notes, and products declared official school records.

Appendix 2: Select Bibliography for Academic Archivists

Periodicals — American Archivist and Archival Outlook (Society of American Archivists), Archivaria (Association of Canadian Archivists), Archival Issues (Midwest Archives Conference), Provenance (Society of Georgia Archivists), and Records and Information Management Report (Greenwood Publishing Group).

• Birnbaum, Robert, How Colleges Work: The Cybernetics of Academic Organization and Leadership, (San Francisco: Jossey-Bass Publishers, 1989).
• Craig, Barbara L., ed. The Archival Imagination: Essays in Honour of Hugh A. Taylor (Ottawa, Ontario, Canada: Association of Canadian Archivists).
• Dojka, John and Sheila Conneen, "Records Management as an Appraisal Tool in College and University Archives," (19-59) in Peace, Nancy E., ed., Archival Choices: Managing the Historical Record in an Age of Abundance (Lexington, MA: Lexington Books, 1984).
• Ham, F. Gerald, Selecting and Appraising Archives and Manuscripts (Chicago: Society of American Archivists, 1993).
• Maher, William J., The Management of College and University Records (Metuchen, NJ: The Society of American Archivists and Scarecrow Press, Inc., 1992).
• Miller, Frederic M., Arranging and Describing Archives and Manuscripts (Chicago: Society of American Archivists, 1990).
• O'Toole, James M., Understanding Archives and Manuscripts (Chicago: Society of American Archivists, 1990).
• Penn, Ira A., Records Management Handbook (Brookfield, VT: Ashgate, 1994).
• Pugh, Mary Jo, Providing Reference Services for Archives and Manuscripts (Chicago: Society of American Archivists, 1992).
• Ritzenthaler, Mary Lynn, Preserving Archives and Manuscripts (Chicago: Society of American Archivists, 1993).
• Robek, Mary F., Information and Records Management (New York: Glencoe, 1995).
• Skupsky, Donald S., Records Retention Procedures and Recordkeeping Requirements (Denver: Information Requirements Clearinghouse, 1994).
• Stephens, David O. and Roderick C. Wallace, Electronic Records Retention: An Introduction (Prairie Village, KS: ARMA International, 1997).
• Whaley, John H., Jr., "Digitizing History," American Archivist 57:4 (Fall 1994): 660-72.
• Wilsted, Thomas and William Nolte, eds., Managing Archival and Manuscript Repositories (Chicago: Society of American Archivists, 1991).
• Yakel, Elizabeth and Laura L. Bost, "Understanding Administrative Use and Users in University Archives," American Archivist 57 (Fall 1994): 596-615.

 

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