Archives accreditation standard discussion draft jan 2012

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Archives accreditation standard discussion draft jan 2012

  1. 1. Draft: Archives Accreditation SchemeThe UK standard for archive servicesJanuary 2012 v.2This document is intended as a DISCUSSION draft only and does not represent a completedstandard. It is intended to enable the discussion of format, content and efficacy at the co-creation stage. The final document is intended to be used as an digital document, with ”learn more” and “evidence” text boxes being pop-ups or similar.To enable the close cooperation of the two schemes, the archives accreditation draft hasbeen built on the basis of the Museums Accreditation 2011 standard module headings andobjectives, as decided in Stages 1&2 of the accreditation preparation work. These headingsand objectives were then supplemented to meet the needs of archive services using theexisting archival standards and guidance documents. We have further supplemented thiswith a few examples of how a system of grading or levels might work. E.g. 1.4
  2. 2. Archives Accreditation Co-creation Draft January 2012Requirements for AccreditationModule 1: Organisation Health‘Accredited archive services are responsible, responsive andresilient’ 2|Page
  3. 3. Archives Accreditation Co-creation Draft January 20121.1 Clear statement of purposeObjective: All work and policies are aligned to the archive service’s statement of purpose,and it is consistent in what it does and how it does it.Standard: The archive service is guided by a statement of purpose that defines why theservice exists, who it is for and which services it aims to provide. It should be approved bythe governing body and understood by its workforce. Learn more….. A statement of purpose communicates why the organisation exists, what it does and who it serves. It is usually located within its governance document. It will also appear within key policy and planning documents such as the Forward Plan and Collections Development Policy. The statement of purpose should be formally approved by the governing body, or its appointed council, board or committee and then made publicly available through the appropriate channels. If the service already has a statement of purpose it should be reviewed in order to ensure that it still represents the service’s mission and the work it undertakes. Local authority archive services may be guided by several statements of purposes which reflect the aims of different levels within the organisation. For example, there may be a statement of purpose guiding the Council’s cultural strategy (or equivalent), as well as a statement of purpose drawn up to support the archive service’s own objectives. For university archives, the statement of purpose may be found within then university library statement of purpose. Evidence…..  Publicly available statement of purpose  Formal aims and objectives  Mission/vision statement  Vision statement  Forward plan  Collections development policy 3|Page
  4. 4. Archives Accreditation Co-creation Draft January 20121.2 Acceptable constitution for the governing bodyObjective: The archive service is a long-term organisation that exists to benefit the publicand protect the collectionsStandard: The archive service has an appropriate and acceptable constitution for thegoverning body Learn more….. The archive service should be covered by an acceptable constitution. In some circumstances governance is complicated and multiple organisations are involved in a partnership. Archive services are expected to demonstrate a good understanding of their governance arrangements. It is possible that the name of the governing body and the name of the archive service may not be the same, however, the names that are used should be clear within the governance, policy, planning documents and marketing materials. The name provided for the governing body should be the same as that on the governing document. Examples of acceptable constitutions deemed acceptable are in the evidence box below. However, if the service’s source of authority is set out in a formal minute which cannot be located, an alternative declaration by the most senior figure in the governing body, stating the powers under which the service is operated, should be provided. Evidence…..  Act of Parliament  Royal Charter  Charitable Trust Deed  Charitable constitution and registered charity number  Constitution of Local Authority Joint Committee  Formal Local Authority minute  Formal University Council minute  University Charter 4|Page
  5. 5. Archives Accreditation Co-creation Draft January 20121.3 Appropriate management arrangementsObjective: The interests of stakeholders and collections are served through theresponsible management of the archive service.Standard: The archive service is an effective organisation that is well managed and able toprovide evidence of the requirements outlined below.1.3.1 The service has a satisfactory management structure from the governing body to the user Learn more….. It is understood that management structures may range from the straightforward to the very complex: some archive services will be managed directly by their governing body; in other cases the governing body may have delegated day-to-day management to a management executive committee, or a tiered workforce. For local authority archive services, management arrangements can be complex and will vary significantly between local authorities. Assessment should establish a clear line of authority from the governing body (Council) to archive service’s activities. University archive services may also be complex. The ultimate governing body will typically be the university council or university senate, and not individual departments. Assessment should establish a clear line of authority from the governing body (university senate or council) to archive service’s activities. Information about the archive service’s management structure can be provided in the form of a diagram illustrating the structure from the governing body (whether Council, cabinet, committee or trustees) to archive service activities. Where the governing body has contracted a separately constituted organisation to manage the museum, any agreement should identify who is responsible for what functions and who pays for what, as well as any monies generated are directed. Evidence…..  Corporate structure  Staff structure  Committee structure  Lines of reporting 5|Page
  6. 6. Archives Accreditation Co-creation Draft January 20121.3.2 There are effective relationships within the management structure which enable the appropriate professional influence on decision making and policy Learn more ….. In most instances, it is hoped that a senior archive professional will have a direct input into both policy development and decision making. This may be accomplished by an effective line of communication between the senior archive service professional and the governing body and/or the archive service professional’s position within the overall administrative structure. It is understood that for some archive services these lines of communication are not always in place and/or the archive service professional’s position within the administrative structure may be some steps removed from policy makers. Despite this, some senior archive professionals are able to influence policy making through effective relationships with members of the governing body who are not in their direct line of reporting. These relationships may be established through project work with key personnel from different departments, or simply targeted and effective networking within the organisation. Where an archive professional cannot rely on effective line of communication, these relationships are an important mechanism by which archive professionals can influence policy and decision making. Evidence….. Whilst the management structure provides details of direct lines of reporting, this is an opportunity to provide details of less tangible, though equally important, effective relationships that may exist between archive service professionals and members of the governing body. For example: Following a successful collaboration on electronic records management between the archive service and the Head of IT, the County Archivist is regularly consulted on matters of IT policy. 6|Page
  7. 7. Archives Accreditation Co-creation Draft January 20121.3.3 The governing body has delegated powers to the most senior position within the archive service to manage the repository and approve documents such as forward plan and collecting policy. Learn more…..[Type a quote from the document or the summary of an interesting point. You can position the text The governing body should delegate to the most senior position within the archivebox anywhere in the document. Use the Text Box Tools tab to change the formatting of the pull service powers to manage the repository, negotiate independently with all ownersquote text box.] and depositors, and develop and implement policies related to the service, under the governing body’s general direction. Evidence…..  Local Authority minute  Job description  University Council minute  Formally recorded minute of governing body Resources..... Resources….. Relevant resources listed here 7|Page
  8. 8. Archives Accreditation Co-creation Draft January 20121.3.4 Approved agreement under which a separate organisation runs or shares the archive service Learn more….. In some instances the organisation managing the archive service is separately constituted from the body which owns the collections, or shares its services. Examples of this situation might be a shared local authority archive service, providing services for more than one council or borough. Evidence….. Where the organisation managing the archive service is separately constituted from the body which owns the collections, a copy of the formal signed agreement between the relevant parties should be provided. 8|Page
  9. 9. Archives Accreditation Co-creation Draft January 20121.4 Effective Forward PlanningObjective: The archive service has a clear, agreed objective directing its current andfuture workStandard: The archive service plans effectively for long-term success and to make sure itcan adapt in a changing environment in order to survive.Its approved forward plans should include or cover the following:1.4.1 the archive service’s statement of purpose1.4.2 a review of the preview forward plan (if applicable)1.4.3 an analysis if the environment in which it exists1.4.4 its key aims1.4.5 the specific objectives beneath each key aim1.4.6 how it will achieve its objectives1.4.7 a resource plan showing the people and money available to meet its objectives1.4.8 the date the plan will be reviewedRequirements for level 1Example: The plan includes a consultation and analysis of users and non-users Learn more….. Forward Planning is a key part of ensuring long-term success and a prerequisite of good management. The Forward Plan should be approved by governing body and made publicly available. If the archive service’s specific objectives are contained within a larger corporate plan and expressed in only general terms, as might be the case in a university or local authority, the archive service should supply in addition a copy of a more precisely focused document which it uses for its own management purposes. Forward plans will vary considerably between archives services of different types and size, therefore, it is expected that the length and complexity of the plan will be commensurate with the scale of the archive service’s operation. At the point of application the Forward Plan should cover the current planning year and the subsequent year. It is understood that figures going beyond the current financial year may not have received formal approval by the governing body at the time of application, but projected resources should still be provided. Evidence…..  Annual plan  Business plan  Forward plan  Long-term strategy1.5 Secure occupancy of all premises containing collections 9|Page
  10. 10. Archives Accreditation Co-creation Draft January 2012Objective: A secure and long-term future for the archival collections has beenestablished.Standard: The terms under which the archive service occupies the buildings or sites arebe long-term (at least 5 years) and sufficient to keep collections secure and enableeffective forward planning. Learn more…. Applicants should provide a list of the buildings utilised that contain collections and provide details of tenure (whether freehold, leasehold, tenanted or licence), or a plan of action if the current arrangements are for less than 5 years. Evidence….  Leasehold or tenancy agreements  Copy of licence  Proposed building programme for new site  Statement of freehold status 10 | P a g e
  11. 11. Archives Accreditation Co-creation Draft January 20121.6 Demonstration of financial basisObjective: The archive service has a sound financial basis and is fully accountableStandard: The archive service is able to show that it is financially stable and that it meetsthe relevant financial regulations or constitution. It has enough funds available to operateeffectively, and collections should not be used as security for a loan.Requirements for level 1Example: The archive service has a distinct budgetRequirements for level 2Example: The archive service has an endowment Learn more….. Applicants should provide details of the current annual budget and that of the previous financial year. Archive services which are constituted as charities need to submit audited accounts for the last two years available, in the form required by charity law. If the archive service’s finances are consolidated within a larger organisational or departmental financial system, the service needs to supply an estimated summary of archive service expenditure for the last two years. Evidence…..  Audited accounts  Annual reports  Financial statements  Published budgets 11 | P a g e
  12. 12. Archives Accreditation Co-creation Draft January 20121.7 Appropriate workforceObjective: The interests of an archive service’s collections and stakeholders are met by anappropriate workforceStandard: The archive service has an appropriate workforce, in numbers and experience,to run it effectively, including both paid and unpaid/volunteer colleagues. It has effectiveemployment procedures and roles in place to meets its responsibilities.1.7.1 The archive service demonstrates that an appropriate workforce - commensurate with the extent, nature and intensity of use of the records held - exists to deliver the full operation of the archive service. Where the service does not employ an archive professional to meet these needs, it should demonstrate that it seeks regular advice and guidance from an archive professional or organisation.Requirements for level 1Example: The archive service employs one professional archivist and has access to conservationexpertise Learn more….. It is understood that in some instances, the archive service may not employ a professionally qualified archivist: the service may be managed and staffed by volunteers or heritage/information professionals from another field, such as museum curators or librarians. In order to reach the minimum standard, the archive service should be able to demonstrate that it has access to professional advice and guidance from an archive professional or The National Archives. When referring to an archive professional, it is expected that the person has the relevant qualifications and recent experience of the principles and practice of archive service operation and management. Information needs to be provided regarding workforce posts and approximate hours, key duties, whether paid or unpaid, outsourced or carried out by another department of a larger organisation. Procedures and work allocations should ensure that the service’s responsibilities are carried out at all times, including times of staff leave or unavoidable absences. The appropriate number of people and their areas of work will depend on the archive service’s scale and responsibilities. In many cases a few individuals will carry out a Evidence….. of roles. and may be sorted by, or ex wide range Please provide a staff structure which shows paid and volunteer staff, their hours, and key duties and responsibilities. Information should also be provided about vacant or frozen posts. Where the service needs to demonstrate access to professional archival and/conservation expertise and advice, the following evidence can be used:  Service level agreements  Contracts  Additional evidence to support applications by services without archive professionals, includes active membership of appropriate organisations, participation in training opportunities, and the use of appropriate use of 12 | P a g e consultants
  13. 13. Archives Accreditation Co-creation Draft January 20121.7.2 Each member of the workforce needs to have a clearly articulated agreement, outlining their roles, responsibilities and expectations Learn more….. The term workforce in this context refers to both paid staff and volunteers. Archive services should ensure that they meet all their legal requirements regarding employment and provide each member of the workforce with a clear agreement, outlining their roles, responsibilities and expectations. Evidence…..  Job descriptions for each position in the archive service1.7.3 The service needs formal induction procedures for new recruits to ensure that all members of the workforce have basic information about the archive service and understand their role in it Learn more….. A full induction of new staff is an essential part of their development and ensures that they have the basic information about the archive service and their role in it. The archive service should ensure that all new members of the workforce receive induction, and that induction is also available to new members of the governing body. Evidence…..  Handbook for new staff  Induction procedures for new staff  Induction procedures for new members of the governing body 13 | P a g e
  14. 14. Archives Accreditation Co-creation Draft January 20121.7.4 Workforce development is essential to ensure a broad base of the requisite skills and knowledge. Applicants should provide information about the development opportunities provided and planned for the workforce. Requirements for level 1 Example: Every member of staff attended at least one day’s professional/external training in the past year Requirements for level 2 Example: The service has a paid post for a pre-qualification intern Learn more….. Continuous training and staff development is an essential part of ensuring that all staff have a broad range of requisite skills and knowledge to fulfil their responsibilities. The archive service need to provide information about the training provided to its staff and the training which is planned for the future. Information should also be provided about the mechanisms in place for assessing the training needs of all their staff, both professional and unprofessional. As with the Forward Plan, the scale of training provision will commensurate with the size and scale of the archive service and its operation. Not all forms of training have direct costs attached some such as mentoring, shadowing and visits to organisations and/or professionals who have a particular expertise, are all relevant and worthy forms of training. Evidence…..  Workforce development policy and strategy  Annual training budget  Job description of pre-qualification interns  Training programme for the previous and current year  Policies and procedures for cascading knowledge after training 14 | P a g e
  15. 15. Archives Accreditation Co-creation Draft January 20121.7.5 Volunteers are a valuable part if the workforce and should be provided with the appropriate level of responsibility, training and development opportunities. Requirements for level 1 Example: The archive service has a Volunteering Policy Requirements for level 2 Example: The service uses volunteers to work with users and not just documents Learn more….. Archive services thrive on the invaluable support of their community and volunteer workers. For the purposes of Accreditation, volunteers are defined as ‘someone who works for an organisation, without being paid, undertaking some form of activity involving archives’. They may be:  An unpaid intern gaining experience prior to undertaking a course in archival management or conservation  A ‘Friend’ of the service  A retired archive professional  A school age student on work experience  An interested member of public For some archive services, volunteers may make up the entire workforce; for others, volunteers enable them to undertake projects which may not be considered essential, but which are equally enriching. Information should be provided about the recruitment, training and celebration of its volunteers Evidence…..  Volunteer policy  Volunteer training programmes  Job description of a post clearly identified with responsibility for volunteers  Celebration events 15 | P a g e
  16. 16. Archives Accreditation Co-creation Draft January 20121.8 Clear, workable emergency planObjective: The archive service is able to respond to emergency or disaster situations andprotect its workforce, visitors and collectionsStandard: The archive service is able to respond effectively to emergency or disastersituations. It should have an emergency plan, relating to all buildings that housecollections and services.The plan should refer to:1.8.1 arrangements for the workforce, visitors and collections1.8.2 risk assessments of threats1.8.3 information about how you authorise, maintain, communicate, tests and provide access to plans for staff and emergency procedures1.8.4 evidence of how the archive service works with emergency services, and of any other relevant emergency plans1.8.5 and effective procedure for reviewing the emergency plan Learn more….. Archive services should have an emergency plan (otherwise known as a disaster plan) which outline the procedures in place for dealing with an emergency and assess the risk of threats such as fire, water, theft, vandalism or other such disasters. Archive services should review the emergency plan at least every five years, though ideally it should be reviewed every three years, as the risk of threats may have changed significantly within that time. For instance, a rise in water table may have made a service significantly more susceptible to flood than previously thought. Evidence…..  Emergency plan  Emergency manual  Emergency training programme for the workforce  Active membership of a regional emergency response group 16 | P a g e
  17. 17. Archives Accreditation Co-creation Draft January 20121.9 Organisational approach to environmental sustainabilityObjective: The archive service minimises its impact on the environmentStandard: The archive service is guided by a policy statement about its approach toenvironmental sustainability. The policy statement is appropriate to its statementpurpose. Learn more….. Archive services are under pressure to become more environmentally sustainable. In trying to respond to such pressures, the archive service should have a policy statement about its approach to environmental sustainability. It should set out its commitment to a reduction in energy, costs and carbon emissions and outline how these commitments are to be honoured. Evidence…..  Environmental sustainability policy  Carbon strategy 17 | P a g e
  18. 18. Archives Accreditation Co-creation Draft January 2012❷ Collections‘Accredited archive services manage collections effectively andmake them available to everyone’ 18 | P a g e
  19. 19. Archives Accreditation Co-creation Draft January 20122.1 Satisfactory arrangements for the ownership of the collectionsObjective: The ownership and legal status of collections is assured.Standard: The archive service has procedures in place for obtaining written evidence ofthe ownership and intellectual property rights of collections transferred to the archiveservice.Requirements for level 1Example: Archive services keep in contact with depositors in relation in order to maintainaccurate copyright holder information and ensure later accruals are deposited with the service. Learn more….. The archive service should be able to provide information about the procedures for establishing the rightful ownership of collections, and associated intellectual property rights, and the terms of deposit under which they have been transferred to the archive. Any risks relating to collections on loan to the archive service should be dealt with through forward planning. Evidence…..  Deposit agreements for gift and loan  Proof of purchase and authenticity for bought collections  Signed transfer of copyright forms 19 | P a g e
  20. 20. Archives Accreditation Co-creation Draft January 2012Collections management policies2.2 Collections development policyObjective: The archive service is guided by a clear policy setting out what material itshould collect and whyStandard: The archive service has an approved collecting policy for developing collections.The policy should include:2.2.1 a statement of purpose2.2.2 an overview of current collections2.2.3 themes and priorities for future collecting2.2.4 themes and priorities for future rationalisation and disposal2.2.5 information relating to the legal and ethical framework for acquisition and disposal.2.2.6 if records in different media are to be acquired, that the repository is in possession of, or has plans to acquire, the necessary equipment to allow their consultationRequirements for level 1Example: The archive service assesses where there are gaps in the current holdings and activelysolicits material to ensure that their collections are an accurate reflection of its history and/orlocality.Requirements for level 2Example: The archive service is establishing relationships with key potential depositors andadvising on the care of their record, both paper and electronic, with a view to their final depositwith the service Learn more….. A collecting policy is a critical element of collections management. The policy should reflect the nature of the archive service and provide a clear statement of the governing body’s intentions in developing (acquiring and disposing) its collections. It should be approved by the governing body and made publicly available. The policy should contain assurance that records will be acquired ethically and that no records will be acquired or disposed of in contravention of the terms of any current legislation or ruling (in particular the Public Records Act, the Manorial and Tithe Documents Rules and the Parochial Registers and Records Measure in the Church of England). Efforts should be made to ensure that the policy avoids conflict and duplication with the collecting policies of other archive services. Evidence…..  Collection development policy  Acquisitions policy 20 | P a g e
  21. 21. Archives Accreditation Co-creation Draft January 20122.3 Preservation and conservation policyObjective: The long-term preservation of physical collections is ensured.Standard: The archive service has an approved policy statement to guide its approach tothe preservation and conservation of its physical holdings Learn more….. The preservation and conservation policy should communicate the principles that guide the preservation activities of the archives service. It should outline the current conservation provision of the service and identify a preservation and conservation strategy. The policy should be in proportion to resources available and the wider forward plan. Evidence…..  Preservation policy  Conservation policy 21 | P a g e
  22. 22. Archives Accreditation Co-creation Draft January 20122.4 Digital preservation policyObjective: The long-term preservation of digital records is optimisedStandard: The archive service has an approved policy statement to guide its approach tothe preservation and conservation of its digital records Learn more….. The digital preservation policy provides a mandate under which an archive service can collect, manage and preserve born-digital material. It should identify a digital preservation strategy and outline responsibilities within the organisation for the strategy and its implementation. Evidence…..  Digital preservation policy 22 | P a g e
  23. 23. Archives Accreditation Co-creation Draft January 2012Collections management plans and strategies2.5 Collections cataloguing plansObjective: Access to collections is improved through the significant reduction incataloguing backlogsStandard: The archive service has plans in place to improve access to its uncataloguedcollections.Requirements for level 1Example: The archive service has reviewed the backlog and prioritised collections for cataloguingbased on its likely demand for access and the service’s conception of its historical significance.Requirements for level 2Example: The archive service has assessed its existing finding aids and is undergoing a programmeof retrospective improvement Learn more….. Cataloguing backlogs are a barrier to access and archive services should have a strategy in place to reduce any that may exist. The strategy should be informed by a survey of uncatalogued collections which prioritises collections for cataloguing based on criteria such as likely demand for access, historical significance and Freedom of Information. Where this survey has not been already been undertaken, it should form part of the cataloguing strategy. Where there is no backlog, the archive service should aim to prioritise finding aids for retrospective improvement; either by ensuring catalogues are compliant to relevant standards, or by enabling remote access to the catalogue. The strategy can also help to guide the allocation of resources in forward planning. Evidence…..  Cataloguing strategy  Logjam survey and report  List of cataloguing priorities 23 | P a g e
  24. 24. Archives Accreditation Co-creation Draft January 20122.6 Preservation and conservation strategyObjective: The archive service has strategies in place to manage the preservation andconservation of its physical collectionsStandard: The archive service has plans to help deliver improvements to collections careand conservation in line with the preservation and conservation policy Learn more….. The purpose of a preservation and conservation strategy is to ensure the continuing preservation of an archive service’s holdings. It identifies preservation issues which may be currently affecting archival material and guides the preservation and conservation practice of the service. It is a particularly useful document when dealing with issues that may affect the preservation and conservation of holdings, such as moving to a new building, changes in conservation provision, or dealing with the aftermath of an emergency. The strategy can also help to guide the allocation of resources in forward planning. The depth and detail of the strategy will depend upon the size and type of archive service. Evidence…..  Preservation and conservation strategy  Preservation Advisory Centre Preservation Assessment Survey and report 24 | P a g e
  25. 25. Archives Accreditation Co-creation Draft January 20122.7 Digital Preservation StrategyObjective: The long-term preservation of digital collections is optimisedStandard: The archive service has a strategy to help deliver the preservation of digitalcollections Learn more….. A digital preservation strategy is a critical part of the ensuring the accessibility and authenticity of digital records in the future. It documents the archive service’s approach to digital preservation and outlines the responsibilities, actions and processes required to manage and preserve digital records. The strategy should respond to the problems engendered by technical obsolescence and the fragile nature of digital media and take into account current standards and guidelines. The strategy can also help to guide the allocation of resources in forward planning. Evidence …..  Digital preservation strategy 25 | P a g e
  26. 26. Archives Accreditation Co-creation Draft January 2012Collections management procedures2.8 Accessioning proceduresObjective: The archive service holds detailed, pertinent information on record about all ofits collectionsStandard: An accession register is kept (either manual or computerised) in which essentialaccession information is recorded.The following information should be available for inspection on request:  date and terms of transfer  name and address of depositor  collection reference  location  brief collection scope and content  any Data Protection, copyright or other access implicationsRequirements for level 1  90% of accessions are completed within the recommended times prescribed by the archive service. Learn more….. Accessioning plays a critical part of archive collections management. Essential information needs to be recorded at the point of accession as it can prove difficult to obtain retrospectively. The archive service’s accessioning should be recorded in a procedural manual for staff reference Evidence…..  Accessioning procedures manual  Examples taken from accession register 26 | P a g e
  27. 27. Archives Accreditation Co-creation Draft January 20122.9 Cataloguing proceduresObjective: Collections are made accessible through consistent and accurate finding aidsStandard: All records are clearly described in publicly available finding-aids. All newcatalogues should be adhere to national and international standardsRequirements for level 1Example: An in-house cataloguing manual has been produced for the workforce to ensureconsistent catalogue descriptionsRequirements for level 2Example: Catalogues exist for 95% of its holdings Learn more….. Finding aids are a critical part in enabling access to archival material. All records which are open to the public should be clearly described in publicly available finding aids. All newly created finding aids should be compatible with approved national and international standards. They should also be appropriately indexed. Archives services should aim to create new finding aids in an appropriate archive cataloguing software programme which is capable of creating electronic catalogues which can be accesses through the service’s website. The archive service should aim to provide collection level descriptions of its entire holdings in accordance with the appropriate cataloguing standards. Services without an in-house cataloguing manual should considering producing one in order to ensure consistent catalogue descriptions. Evidence…..  Cataloguing manual  Example catalogues 27 | P a g e
  28. 28. Archives Accreditation Co-creation Draft January 20122.10 Expert assessment of security arrangementsObjective: Collections are secure at all times, irrespective of their locationStandard: The archive service obtains expert security advice for stored collections at leastevery five years, and earlier if needed. It should plan to act on the advice over time Learn more….. Arrangements for the security of collections are an integral part of collections care. The archive service should obtain the appropriate expert advice e.g. from a crime prevention officer or specialist security adviser on the security arrangements of the service. The expert can be an external adviser, or from with the governing body. Security advice should cover all archive service premises, their immediate locations and the collections. Where the archive service holds collections in off-site storage facilities, the security arrangements there should also have received expert advice. The archive service should have strategies in place to respond to the recommendations made by the security expert. Most archives services will rely on the services of their local police unit. However, where an archive service’s governing body has in-house expertise, such as a council or university security team, their advice may also prove beneficial. Evidence…..  Security assessment  Security strategy  Security policy 28 | P a g e
  29. 29. Archives Accreditation Co-creation Draft January 2012Storage and preservation2.11 Storage provisionObjective: The standard of storage is sufficient to ensure the long-term preservation of allits physical collectionsStandard: Buildings inhabited by repositories, whether single occupancy or shared,broadly conform to PD 5454 in the following elements:• The storage environment for archival materials• Storage repository site• Storage repository construction• Fire precautionsRequirements for level 2Example: 100% of a service’s storage conforms to PD5454 Learn more….. Storage facilities should protect archival material from physical environmental damage, fire, theft, flood and vandalism. It is understood that many archive services are housed in old buildings and utilise off-site storage facilities that may not be compliant to PD 5454. In the interests of ensuring the long-term preservation of documents, the minimum standard requires that the primary archive-holding site (which stores key collections) broadly conforms to the above elements of PD 5454. Where the service falls short in meeting PD 5454, it should have a strategy in place to reach the standard required and ensure that the future of its collections is assured. Services with off-site storage that fails to meet the standard should also have a strategy in place to meet PD 5454. Where an archive service is housed in a new, purpose built repository, it is expected that all on-site storage should meet PD 5454 in its entirety. Evidence….. Information should be provided about the extent to which service’s storage facilities conform to PD 5454. Information will need to be provided for each separate storage site, indicating the type of material held within, and its compliance with the standard. If new repository is currently being planned and/or built, evidence should be provided of its compliance to PD 5454 29 | P a g e
  30. 30. Archives Accreditation Co-creation Draft January 20122.12 Conservation arrangementsObjective: The long-term preservation of collections is ensured through access toconservation expertiseStandard: Suitable provision is made either within the repository, or by appropriatearrangement elsewhere, for such conservation as the records may require. Learn more….. Suitable provision is classed as the employment within the archive service of a fully qualified and/or accredited conservator working within an appropriately equipped conservation studio; or the out-sourcing of conservation work to another archive service, or commercial enterprise, employing suitably qualified and/or accredited conservators. Any conservation involving remedial treatment should only be carried out by suitably qualified and/or accredited conservators. In order to reduce the risk of damage to archival material, the workforce and users should receive basic training in document handling. Evidence…..  Service level Agreements/contracts with conservation providers  Job descriptions of in-house conservation staff  Document handling procedures  Object conservation records 30 | P a g e
  31. 31. Archives Accreditation Co-creation Draft January 20122.13 Digital preservationObjective: Procedures are in place to help deliver the preservation of digital archivalmaterialStandard: Where a repository retains electronic records, archives ensure that they arepreserved in line with the appropriate standards and guidelines, including BS 4783 and BSISO 17799.The repository should be able to demonstrate:  appropriate choice of storage media  robust back-up and concomitant storage regimes have been established  migration procedures are in place which capture the appropriate metadata  all systems are fully auditable for actions carried out on electronic records, including:Requirements for level 1Example: The archive service is actively involved with key depositors at the creation stage. Thisincludes providing advice where necessary and contributing to electronic records managementpoliciesRequirements for level 2Example: The archive service has a dedicated team member concentrating on electronic recordsmanagement and preservation issues. Learn more….. Digital preservation should aim to protect a record’s integrity, authenticity and longevity. However, by its very nature digital media is unstable and technological obsolescence and the limited life span of media makes permanent preservation challenging. Some of these challenges can be mitigated by compliance with the appropriate standards, such as BS 4738 and BS ISO 177799. In meeting these standards, the archive service will ensure that appropriate storage media is used; robust back-up procedures are in place; obsolete software is migrated to more stable platforms; and that all systems are fully auditable. All such procedures should significantly improve the sustainability of digital records. All of archive service’s procedures and practices related to the management of digital records should be outlined in the Digital Preservation Strategy. Evidence…..  Procedures  Manual  Digital preservation strategy 31 | P a g e
  32. 32. Archives Accreditation Co-creation Draft January 2012❸ Users and their experiences‘Accredited archive services are welcoming and accessible. Theyenable access to information and provide innovative andengaging learning experiences for a broad range of users’ 32 | P a g e
  33. 33. Archives Accreditation Co-creation Draft January 20123.1 Good quality service development and provisionObjective: The archive service provides a stimulating experience for its usersStandard: The archive service offers and develops good-quality, stimulating services forusers and potential users, in order to get the best out of its collections and resources.3.1.1 The archive service is able to demonstrate an understanding of its users and non-usersRequirements for level 1Example: The archive service surveys its physical users on an annual basis via user/focus groupsand open meetingsRequirements for level 2Example: The archive service tries to gain a better understanding of its remote/online usersthrough a variety of methods Learn more….. Users of an archive service are all those who may derive benefit from the services it provides, by visiting it, using its services directly or remotely, or in any way involving themselves with its activities, services or facilities. The archives service should demonstrate that it has a clear awareness of current users and stakeholders; it should also have methods in place for identifying non-users and the barriers to participation. The archive service should have a process for consulting its users in relation to services provided and users’ needs. Consultation with users and non-users can be undertaken in a number of ways, for example, focus groups, panels, citizen panels, market research, open-meetings, visitor books, comments cards and questionnaires. User and non-user consultation may take place in a variety of locations (not just at the archive service) and may include access to community groups, on the street consultation with local people, contact with local charities, contact with local schools etc. Users and stakeholders include a wide range of people in addition to the archive visitor, for example, the local community, archive service workforce, trustees, board members, funders, local charities and interest groups, educational bodies, local businesses, donors or anyone that will be or is affected by the museums actions directly or indirectly. The depth and detail of consultation will depend on the size and type of archive service. A smaller service may rely on simpler methods of consultation such as the annual visitor survey, visitor book, comments cards etc. Larger services should consider formal consultation such as regular focus groups from various sections of users and non-user communities. Local authority and university archive services will also link to the governing body’s consultation and public engagement requirements. 33 | P a g e
  34. 34. Archives Accreditation Co-creation Draft January 2012Evidence…..  Participation in PSQG surveys.  Market research  Examples of visitor survey results  Monitoring of website users  Forward plan  Audience development plan 34 | P a g e
  35. 35. Archives Accreditation Co-creation Draft January 20123.1.2 The archive service evaluates and analyses information to assess users’ needsRequirements for level 1Example: Results of analysis are disseminated to appropriate bodies within the governing body Learn more….. A key part of any consultation exercise is establishing what views users have on its service. Once these views have been gathered, archive service should have in place a mechanism for analysing and responding to the results of the consultation. The results of the analysis should be published and disseminated to the appropriate bodies within the governing body. An action plan outlining steps to address user feedback should accompany the results. Evidence…..  Registration with PSQG  Published reviews of visitor feedback 35 | P a g e
  36. 36. Archives Accreditation Co-creation Draft January 20123.1.3 The archive service devises plans to broaden its range of usersRequirements for level 1Example: The results of consultation exercises form part of published plans and strategies aimedat developing its audiencesRequirements for level 2Example: The service implements changes of service to meet needs of physical and remote users Learn more….. Using the results of consultation with users and non-users, the archive service should devise plans to broaden its range of users. Where there are barriers to access, the service should implement ways and means to overcome these barriers, such as increasing altering opening hours, or undertaking more targeted outreach opportunities designed to appeal to the non-users identified through the consultation process. The archive service’s proposals to increase its range of users should be set down in a publicly available strategy or plan, which provides details of the changes it intends to implement and the resources required to do so. Evidence…..  Audience development plan  Examples of changes in service provision to suit non-users, such as changes in opening times, or increased number of digital copies available remotely  Relationships with community partners and advisors  Exhibitions and outreach events designed to appeal to non-users 36 | P a g e
  37. 37. Archives Accreditation Co-creation Draft January 20123.1.4 There is a culture of customer care, with arrangements in place to make sure all users aretreated with courtesy and careRequirements for level 2Example: The archive service has achieved customer service excellence Learn more….. The Archive Service should have appropriate arrangements in place to ensure that their visitors and remotes users are treated with courtesy and care. Users should be able to identify staff responsible for the delivery of the archive services. If a service has achieved customer service excellence, it will already have evidence this requirement, so additional information will not be needed. Evidence…..  Investors In People  Chartermark  Customer Service Excellence 37 | P a g e
  38. 38. Archives Accreditation Co-creation Draft January 20123.1.5 The service is guided by a policy statement setting out a commitment to give access to itsservices, collections and facilities Learn more….. The archive service should have a clear policy in relation to access. It should identify its stakeholders and set out a commitment to give access to its services, collections and facilities. The policy should be informed by consultation with its users and non- users, and as far as possible, take account their needs. Where applicable, it should notify users on restrictions to access and provide clear information as to why restrictions have been put in place. The policy should also include access statements related to its commitment to remote access. The Welsh Language Act 1993 establishes the principle of language equality and notes specific steps to be followed by public bodies such as local authorities, health boards and government agencies – including organisations outside Wales that provide services to people in Wales. The Access policy should be formally approved by the archive services and subject to regular review. Evidence…..  Access policy  User charter 38 | P a g e
  39. 39. Archives Accreditation Co-creation Draft January 20123.1.6 Respond to tourism and local priorities where appropriate Learn more….. Archive Services can make an important contribution to local priorities and tourism. Evidence….. 39 | P a g e
  40. 40. Archives Accreditation Co-creation Draft January 20123.2 User-focused experienceObjective: All visitors are able to access and use the appropriate archival services andfacilitiesStandard: The archive service provides a welcoming, accessible environment, withappropriate services and facilities.3.2.1 The archive service has adequate and accessible facilities to service the anticipated rangeand number of users, including a designated study area sufficient to satisfy normal demand forrecords and suitable for their inspection under constant invigilation. The opening hours of theservice should endeavour to take account of their users.Requirements for level 1Example: The service is open at least one evening a weekRequirements for level 2Example: The service is available at least two evenings a week Learn more….. In addition to the requirements outlined above, the designated study area should provide any technical equipment required for the consultation of records held in different formats. Appropriate provision should be made for users to safely store their belongings. Reasonable measures should also be taken to meet the needs of disabled users. The facilities should be available at times which endeavour to reflect user needs and are appropriate to the nature and location of the archive service. It is understood that many services will be unable to provide additional opening hours, but services should endeavour to meet user needs and open at least once a month outside of normal service provision times. Remote electronic access is a useful means of providing additional access, but it is not sufficient alone to satisfy demands for more flexible access. If the archive service does not provide a range of accessible public facilities such as toilets, refreshments and parking, it should provide information of the location of such facilities Evidence…..  Leaflets highlighting facilities, opening times and basic access arrangements  Timetable of additional services offered outside of normal opening times  Letter of confirmation from local disability group 40 | P a g e
  41. 41. Archives Accreditation Co-creation Draft January 20123.2.2 Users should be able to easily able to locate and travel to the archive service.Requirements for level 1Example: The service is located near a busy transport link, such as a bus or tram stopRequirements for level 2Example: The service is located at the heart of a city, town or community with a variety oftransport links close by Learn more….. The archive service should be located in a convenient location and accessible to users. Inevitably, location will be influenced by factors out of the service’s control; nonetheless a service which serves its local community should be easily accessible to its local community. Information on the location of the service should be communicated by maps, written instructions and external signage. It is understood that external signage may not be within the control of the archive service, but it should demonstrate that measures have been taken to ensure that appropriate information about its location is available to users elsewhere, such as tourist information centres, libraries, museums etc. Maps and written instructions should be available on the website, or on request. Evidence…..  Maps  Written directions  Timetables of local transport links and services 41 | P a g e
  42. 42. Archives Accreditation Co-creation Draft January 20123.2.3 The service communicates effectively with users and potential users through a range ofaccessible marketing and promotional activities, linking with other sectors where appropriate e.g.tourism Learn more….. Archive services should produce a range of accessible marketing and promotional material, which communicates effectively with its users and potential users. It should be available in the languages of its local community and provide salient details about the service and its location. Evidence…..  Leaflets  Posters  Links to website homepage 42 | P a g e
  43. 43. Archives Accreditation Co-creation Draft January 20123.2.4 Responsibilities surrounding the use of archival material should be clearly communicated tousers. Learn more….. Users need to be made aware of rules, regulations and other codes of conduct which apply to the use of the service. This should be communicated in such a way as to make users feel empowered by the information provided, rather than alienated. Users should feel that they are a valued part of the preservation process Evidence…..  Programme of induction for new users  Regulations 43 | P a g e
  44. 44. Archives Accreditation Co-creation Draft January 20123.3 Positive user experiencesObjective: Users are able to access the information they needStandard: Enabling access to information is a core purpose of an archive service. This is atthe heart of all service provision and reflected in all elements of the service’s work.3.3.1 The archive service ensures that practical information relating to service provision is madeavailable to users Learn more….. Practical information related to service provision should be clearly communicated to its users, specifically:  Address and contact details  Opening hours  Location  Transport links  Access for disable users  Booking arrangements  Service standards  Document ordering  Copying service and prices  Complaint procedures This information should be made available in a variety of formats, including on the archive service’s website. Evidence…  Information Leaflets  Link to website home page 44 | P a g e
  45. 45. Archives Accreditation Co-creation Draft January 20123.3.2 The archive service ensures that users feel confident when using the service, particularlyusers visiting for the first timeRequirements for level 1Example: There is a regular programme of introductory sessions on how to use the archiveservice Learn more….. In contrast to museums or libraries, archive services require a greater degree of user expertise. It is important that there is help and guidance available to users, to enable them to feel empowered when using the service. There should be mechanisms in place for identifying new and first time users, so that the appropriate level of assistance can be provided. Services should undertake formal induction of new and occasional researchers. Evidence…..  User guides  Schedule of induction events 45 | P a g e
  46. 46. Archives Accreditation Co-creation Draft January 20123.3. The archive service provides access to the collections for research purposes and otherforms of engagement by means of accurate finding aidsRequirements for level 1Example: There are collection level descriptions for all its holdingsRequirements for level 2Example: The majority of the service’s holdings have finding aids which conform to national andinternational standards. Learn more….. Finding aids are a critical part in enabling access to archival material. All records which are open to the public should be clearly described in publicly available finding aids. All newly created finding aids should be compatible with approved national and international standards. They should also be appropriately indexed. Archives services should aim to create new finding aids in an appropriate archive cataloguing software programme which is capable of creating electronic catalogues which can be accesses through the service’s website. The archive service should aim to provide collection level descriptions of its entire holdings in accordance with the appropriate cataloguing standards. Services without an in-house cataloguing manual should considering producing one in order to ensure consistent catalogue descriptions. Evidence…..  Cataloguing manual  Links to online catalogues 46 | P a g e
  47. 47. Archives Accreditation Co-creation Draft January 20123.3.4 The archive service provides facilities for making copies of records in accordance withcopyright legislation. This facility can be provided on site or by appropriate arrangementelsewhere Learn more….. The archive service should provide facilities for making copies of records. This facility can be provided on site, by arrangement elsewhere, or by allowing the use of digital cameras. When providing the copies the archive service should:  communicate copying charge to its users  make users are aware of the terms under which copies are made  ensure that appropriate copyright declaration are signed by user prior to copying  provide clear, consistent explanations when copying requests are declined Suitable arrangements should be made for the authentication of copies for legal purposes. Evidence…..  Copyright Declaration form  Copying charges  Contracts with external services providing copying  Copyright policy 47 | P a g e
  48. 48. Archives Accreditation Co-creation Draft January 20123.4 Effective and engaging learning and outreach experiencesObjective: Users have engaging and stimulating learning experiencesStandard: Archive serves deliver engaging and innovative learning experiences to learnersof all ages.3.4.1 Archive services demonstrate that they exhibit collections using a variety of interpretativemethodsRequirements for level 1Example: The archive service mounts occasional profession level interpretative displays forspecific eventsRequirements for level 1Example: The archive service has a regular programme of professional level interpretativedisplays Learn more ….. Interpretative exhibitions are those which require a greater degree of context to explain the items being displayed. They enable new and existing users to engage with original material in an accessible way and are an important outreach tool for archive services. The depth, size and professionalism of displays will depend on the scale of the archive service’s activities, though all displays should contain clear, relevant contextual information. When using original material, exhibitions should be mounted in accordance with relevant conservation standards and guidelines on the display of archival documents. Displays mounted using facsimile material should be of a suitable reprographic quality. Evidence …..  Programme of exhibitions planned during the year of application  Exhibition marketing material  Extracts from user evaluations  Copies of captions and signage  Photographs of exhibitions  Conservation guidelines for displays 48 | P a g e
  49. 49. Archives Accreditation Co-creation Draft January 20123.4.2 The archive service provides learning opportunities, for both schools and adult learners,either directly or jointly with one or more other servicesRequirements for level 1Example: The archive service has established a regular programme of educational outreachevents with schools in the community, which are targeted at Key Stages within the nationalcurriculumRequirements for level 2Example: At least one of the staff involved in providing our educational service has an educationalqualification. Learn more ….. Archive services offer unique learning experiences. To make these experiences meaningful, archive services should aim to provide learning opportunities to meet the needs of its learning community. The level of resources and facilities available to meet these needs will depend on the scale of the archive service’s activities. Where applicable, these needs may be met by delivering learning opportunities remotely. Where an archive service has an education service in place, it can be provided solely by the archive service, or run jointly with one or more services. The education service should cater to the needs of education providers, and respond to the Key Stages within the National Curriculum. It should also have an understanding of the wider lifelong learning agenda and cater to the needs of these learners. The work of the education service should be informed by an education policy, which sets out its commitment to delivering education programmes for learners of all ages. Evidence …..  Education policy  Job description of dedicated education staff  Examples of study packs and education resources  Feedback from education and outreach events  Programme of outreach events directed at lifelong learning  Programme of education events directed at schools in the community 49 | P a g e
  50. 50. Archives Accreditation Co-creation Draft January 20123.5 Service provision for remote access.Objective: Users are able to access the majority of services remotelyStandard: Archive services ensure that their remote service provision is being maintainedand developed to satisfy a broader range of users3.5.1 The archive service defines and publicises its service provision for remote access Learn more ….. Remote usage of archive services is a growing trend with users having a high level of expectation of remote service provision. Archive services should ensure that they define exactly what services they offer and provide service standard response times. Service provision for remote access includes managing postal, email, telephone enquiries, as well as ensuring that the service’s web presence meets user needs and expectations. Evidence …..  Information leaflets outlining remote service provision  Links to relevant pages on the service’s website c 50 | P a g e
  51. 51. Archives Accreditation Co-creation Draft January 20123.5.2 The archive service has an ongoing, regularly updated web presenceRequirements for level 1Example: The website includes online cataloguesRequirements for level 2Example: The website includes online exhibitions Learn more ….. There is a growing user expectation that archive service have a regularly updated website. At the very least it should contain essential information about the archive service, including its location, opening times, holdings and contact details. If at the point of application, the archive service is designing a new website to meet the growing expectations of remote users, information should be provided about the new site and what services it will offer. In addition to the archive service’s website, regularly updated web presence can also mean the use of Web 2.0 technology, such as Facebook and Twitter. Archive services should provide information about how these technologies are being used and the perceived efficacy of these tools, including numbers of followers/friends. Evidence …..  Links to the archive service’s homepage  Links to Twitter, Flickr, Facebook and other relevant pages c 51 | P a g e
  52. 52. Archives Accreditation Co-creation Draft January 20123.5.2 Archive services should endeavour to digitise key archival collections, particularly thosefor which there is a proven high demandRequirements for level 2Example: The archive service operates a digitisation on demand facility on demand, Learn more ….. Digitisation can play a key part in delivering remotes access to archives. Its provision can vary from the supply of digital copies for school education packs, to the digitisation of archival material on demand. Given the cost considerations of digitisation, the amount of digitised should be appropriate to the levels of demand. Digitisation should be undertaken in accordance with copyright legislation, and only if the condition of the documents is such that they can withstand the digitisation process. Where applicable, information should be provided about any funding that has been received to undertake digitisation of key collections Evidence …..  Digitisation strategy  External funding for digitisation  Links to website where digital surrogates are available 52 | P a g e
  53. 53. Archives Accreditation Co-creation Draft January 20123.6 Legal obligations in relation to accessObjective: The archive service meets its legal obligations in relation to accessStandard: Archive services ensure that they manage archival records in accordance with currentlegislation governing access to information legislations. Any restrictions on access should beclearly conveyed to its users3.6.1 The archive service has prepared policy statements on restrictions based on access toinformation legislation Learn more ….. General restrictions on access, such as statutory or time-limited closures, should be clearly communicated to users via policy statements and/or the access policy. Restrictions related to individual collections or files, should be clearly marked in finding aids and on document packaging. All statements related to general access restrictions should be published and made available on the service’s website. Archive services should ensure that restrictions are consistently applied across the service. Evidence …..  Access policy  Restriction policy statements 53 | P a g e
  54. 54. Archives Accreditation Co-creation Draft January 20123.6.2 Repositories ensure that records are managed in accordance with current Data Protectionand Freedom of Information legislation. Any restrictions on access should be clearlycommunicated to users.Requirements for level 1Example: Catalogue entries have been amended to reflect the requirements of the DataProtection Act 1998 and Freedom of Information Act 2000. Learn more ….. Archive services should ensure that policies and procedures are in place to ensure compliance with the Acts. Records covered by the Freedom of Information Act should be accessible through the production of clear, accurate finding aids. Where there are cataloguing backlogs, priority should be given to collections covered by Freedom of Information legislation. Services should ensure that collections and finding aids containing personal information are processed fairly. General restrictions on access engendered by either Act should be clearly communicated to users through policy statements. Restrictions related to individual collections or files, should be clearly marked in finding aids and on document packaging. Archive services should also ensure that procedures are in place for dealing with requests made under either Act and that they are answered within the prescribed times. Evidence …..  Access policy  Examples of finding aids emended with relevant information related legislation  Policy statements on r legislation 54 | P a g e
  55. 55. Archives Accreditation Co-creation Draft January 20123.6.3 Archive service ensure that they meet the requirements of the Environmental InformationRegulations 2004 Learn more ….. Where applicable, archive services should ensure that they meet the requirements of the Environmental Information Regulations 2004. In particular, finding aids and catalogues should be amended to reflect the requirements of the regulations. Evidence …..  Sample of amended catalogue entries showing Environmental Information Regulations 55 | P a g e
  56. 56. Archives Accreditation Co-creation Draft January 20123.6.4 Archive services ensure that copyright legislation is adhered to when providing copies ofdeposited records and that the appropriate Learn more ….. Archive services should ensure that copyright legislation is adhered to when providing copies. Failure to do so could have serious implications for the service. The appropriate procedures and documentation should be in place to ensure that copies are made lawfully Evidence ….. Copyright declaration forms 56 | P a g e

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