Why do we collect archives and manuscript collections?
David Mearns wrote: “It is as original sources for the reconstruction of the past, for the interpretation of parallel experience, for the impeachment of false or mistaken or perverted testimony, for the clarification of blurred report, for the detection, identification, and dismissal of fable, and the recovery of reality that they are sought and brought together.”Essential steps to setting up an archive
Institute a Records Management policy
Develop records retention and disposal guidelines
Determine how records designated for permanent retention will
be maintained
I. Records Policy Provisions:
- Records are defined as all documents, regardless of form
or characteristics, created,received and maintained as evidence and information
by any agency, officer or employee of institution, organization or association in
pursuance of legal obligations or in the transactions of business.
- All records produced or received by an agency, employee
or agent of an institution, organization, or association in the transaction of
business are institutional property and subject to policy of that institution for
retention or disposal.
- The Archives is the repository for all non-current,
inactive records that have sufficient value to warrant their permanent preservation.
- Until such time as a electronic records management (ERM) protocol is available to preserve e-records, all records born digital (including email) that are designated for permanent retention must be transferred to the Archives in one of the following formats: paper, microfilm, microfiche.
II. Records Retention and Disposal
Types of Records that should be transferred to the Archives:- Constitutions and by-laws
- Minutes, memoranda, correspondence including email, and reports
of the governing board
- Articles of Incorporation
- Correspondence including email, administrative subject files, and reports of the
chief executive or officers
- Correspondence including email, subject files, and reports of the chief
administrative officer
- Correspondence including email, subject files, and reports of the chief
officer of all units operating with a high degree of independence such as,
heads of committees and the editor n chief of a publication
- Minutes, memoranda, and reports of all administrative committees
- Annual budget and audit reports
- Membership records including member lists
- All publications, newsletters, or booklets distributed in the name of the
organization or association, including: catalogs, special bulletins, directories,
and officer/committee rosters
- Audiovisual materials documenting the development of the institution such as
still photographs and negatives, motion picture films, oral history interviews,
and audio and videotapes
- Reports of research projects, including grant records
Types of records that should not come to the archives:
- All records designated by the record schedules for disposal at whatever date
- Routine records of specific financial transactions such as invoices, receipts,
and reimbursement vouchers
- Routine letters of transmittal and acknowledgement
- Non-personally addressed correspondence such as “Members” and memoranda
(except for one record copy from the issuing officer)
- Requests for publications or information after the requests have been filled
- Replies to questionnaires if the results are recorded and preserved in a published
report
- Artifacts and memorabilia. The archives does not collect non-documentary objects related to the association/organization’s history except in cases of great importance and manageable physical size and condition. In that circumstance contact the archivist to discuss options for preservation of such objects
Sample records management guideline for a standard scientific organization:
General Files of Officers/Committees- alpha, subject, administrative, and chronological correspondence containing original incoming and copies of outgoing correspondence, email**, reports, memoranda, statistics, proposed programs, minutes, policy and procedure statements, special projects, and substantive data concerning the operation of the office/committee that maintains it.Retention: Material with continuing administrative or legal value to be kept in paper by creating officer/committee for 3 years beyond date file declared inactive. Non-current material deemed to have historical value should be transferred to the Archives. Remaining material to be destroyed (See records to be transferred to archives above).
**Email that is to be retained permanently in the archives should be printed out and sent to the archives in paper form. It is recommended that any significant email be printed and placed in a file along with other correspondence at least once a year.
Executive Board Meeting Minutes – policy issues and other data relating to the organization of historical significance
Retention: Retain for 3 years then send to Archives
Budget Files – Including email, correspondence, memos, notes, and printed reports
Retention: Screen annually and destroy that material for which no further reference is required. Documents with continuing administrative value to be kept in paper for 5 years, then send to archives
Accounting Records – Audit reports, honoraria payments, contract items, revolving fund, checkbook data, special payments, membership payments, periodic financial reports, telecommunication service and equipment bills, budget items including amendments and estimates, and other data
Retention: Retain for 3 years and until audit requirements are met, send annual audit and financial reports to archives then destroy remaining documents
Organization/Committee Publications – newsletters, directories, technical reports, brochures, meeting programs and abstracts, annual reports, and other materials published by any officer/committee in the organization
Retention: Forward a copy of the publication to the Archives for permanent retention. Screen annually and destroy remaining material for which no further reference is required
Human Resource Records:
- Timekeeping Records – individual sheets that show leave taken and hours
worked for paid staff
Retention: Retain for 3 years and until audit requirements are met, then destroy
- Employee Leave Balances – leave balances for employees Retention: Retain final leave balance for 3 years after termination of employment, then destroy. During time employee is active, retain ongoing balances for 3 years for audit purposes
Retention: Retain for 3 years after termination of employment and then destroy
Performance Review and Development Files – evaluations that indicate employee performance factors, performance ratings given by the employee’s supervisor, and employee development plans
Retention: Retain for 3 years after termination of employment and then destroy
Search Committee Files – search committee materials. Consists of advertisements, final recommendation of the committee, meeting minutes containing final recommendation data, voting results, top candidate resumes (top 5 or 2 only – depending on size of search), and all information on appointed candidate
Retention: Retain listed material for 10 years, then destroy. Other material to be destroyed after 1 year
Payroll Records – journals, one pay certification cards, check register, W2 forms, journal vouchers, payroll entry forms, and other internal adjustment forms
Retention: Retain for 3 years and until audit requirements are met, then destroy
Purchasing Records – internal account records, including copies of requisitions, invoices, and packing slips
Retention: Retain for 3 years and until audit requirements are met, then destroy
Contract and Grant Files – records that document contracts and grants received by any committee from any source, including applications, proposals, agreements, research reports, publicity notices, acknowledgements and transfer of funds records, controlling rules and regulations, copies of periodic reports, correspondence, and memoranda
Retention: Retain state contracts and grants for three years after the close of the contract, then send on copy of contract or grant to archives and destroy remaining documents. Federal contracts/grants over $25,000 are to be retained for 6 years, 3 months after the close of contract, then send on copy of contract or grant to archives and destroy remaining documents. Please note that OMB Circular No. A-110, Subpart C requires that federal contract/grant records be retained for three years from the date the final expenditure report is submitted. If litigation, claims, or audits are started before the three-year period ends, the records must be retained until final action is taken. Records for real property and equipment purchased with federal funds should be retained for three years after final disposition
Inventory Material – records identifying non-capitol and capitol equipment and related material including: manual sheets, inventory adjustment forms, replacement of inventory tag forms, equipment loan forms, and disposal of surplus property forms
Retention: Retain for 3 years and until audit requirements are met, then destroy
III. Options for Maintaining Permanent Records
The appropriate choice is dependant on what the individual institution intends to accomplish and the amount of money they are willing to spend.- Off site storage: If the goal is simple preservation and infrequent access will be required, there are businesses that specialize in records storage. They provide boxes, storage space, a minimal access service that includes retrieving files when requested within a 3 – 5 day period. Costs vary depending on the quantity of materials and number of retrieval requests. Reasonable fees are charged on a monthly basis.
- On site archives: This option is the most costly but allows the institution to have complete control of their records. It requires the space and equipment to maintain the records, the preservation materials to house them, and a trained archivist to maintain them and make them available to patrons either within or outside the institution. Whether a full or part-time archivist is needed will depend on the level of preservation and access institution wants to provide.
- Donate records to another institution: This is the most commonly chosen method for archiving the records of small to medium size institutions.
- Records are arranged, described, preserved, and maintained by the institution to which they are donated.
- Access to the records is created through finding aids on the web and through records in online public access catalogs.
- The records are made available for study through the institution’s reference services in a library setting.
- The records become the property of the institution to which they are donated.
- Costs are limited to requests for funds to help pay for preservation materials and processing.
