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Archival Policies / Procedures + the
Record’s Life-Cycle
In this webinar, we’ll highlight the importance of librarians and
archivists working together to accomplish goals. Attendees will
learn basic archival policies / procedures and the record’s life-
cycle, a management model for North American archivists since
the 1960s.
Image: John M. Conyers collection (S0292), Rare Books and Manuscripts, Indiana State Library
Bethany Fiechter
Rare Books and Manuscripts Supervisor
Indiana State Library
315 West Ohio Street
Indianapolis, Indiana 46202
317-234-8621
bfiechter@library.IN.gov
Library today
Image (above): Rare Books and
Manuscripts Reading Room, 2013
Image (below): Rare Books and
Manuscripts Reading Room, 2015
Image (left): Rare Books and Manuscripts Vault
Before/After, 2013
Image (right): Rare Books and
Manuscripts Vault, 2016
Images: IU Bloomington School of Informatics and Computing (https://tinyurl.com/y7c5qdck); ACA (
http://www.certifiedarchivists.org/) and SAA (http://www2.archivists.org/glossary/terms/c/certified-archivist).
Image (right): Governor
Holcomb and State Library
Staff, 2016
Image (left): Rare Books and
Manuscripts Staff, 2015
Image (bottom): State
Library Supervisor Meeting,
2014
Image (left): Carla Hayden, ACRL 2017, American Libraries website (https://tinyurl.com/y7nvvzmr).
Image (right): David Ferriero, National Archives website (https://www.archives.gov/press/press-releases/2010/nr10-23.html)
Image (left): Carla Hayden, ACRL 2017 Keynote Speaker
Image (right): David Ferriero, National Archives
Library of Congress
 Established 1800
 American Library Association
(ALA) founded in 1876
National Archives
 Established 1934
 Society of American Archivists
(SAA) founded in 1936
ALA existed 60 years prior to SAA. The Library of Congress was created 134 years before the National Archives.
Images: loc.gov; archives.gov
Archival Policies and Procedures
 Mission Statement
 Collection Development
Policy
 Deed of Gift / Donor Form
 Reading Room Procedures
[archival policies / procedures + the record’s life-cycle: introduction]
Record’s Life Cycle
 Acquisition
 Surveying
 Processing
 Arrangement and Description
 Finding Aid Creation
 Online Access
 Digitization
 Disposition
[archival policies / procedures: mission statement]
Does your institution have a mission statement or statement guiding policies and
procedures? Does it mention your archive or special collection, perhaps the relation it
has to the overall institution?
 Do the goals of the institution include the following?
 Acquire, preserve and provide access to rare and unique resources
 Identify, collect and preserve materials that have enduring historical value
 Regulations regarding use
 Should your mission statement include archival terminology?
 Access: finding aids; locating and retrieving; legally established restrictions
 Archives: a place that preserves historical materials
 Collection: a group of materials with a unifying characteristic
 Preservation: materials protection from deterioration; loss of information
Image: Clip Art Panda (http://www.clipartpanda.com)
[archival policies / procedures: collection development policy]
Clientele Served by Collection
 Provide access and preserve materials for patrons, subject to the appropriate care
and handling of the materials by the researcher. Patrons include… Individuals under
the age of 18 may use selected materials when accompanied by parent or guardian.
Priorities / Limitations of the Collection
 Actively collects material related to Indiana's people, places and events. Collections
reflecting aspects of Indiana life are most heavily sought. We will not collect material
focusing on non Hoosier events except those dealing primarily with a Hoosier's‑
experience in lieu of the event. We will not accept material from a collection found in
other repositories. Collections over ten cubic feet require approval of the Rare Books
and Manuscripts Supervisor.
 Strengths/Weaknesses
Subject Areas and Formats
Image: Can Stock Photo (http://weclipart.com/policies+and+procedures+clipart/d/1425443)
[archival policies / procedures: deed of gift]
A deed of gift or donor form is a formal / legal agreement between the donor of a collection
and the institution accepting the materials. The deed of gift is the most important document
because it explains future access and use.
We encourage donations adhering to our collection development policy. All donations must
be accepted with supervisory approval.
Donations should be assessed offsite before approval.
Create a procedure for offsite and onsite donations. Make sure staff understand the risks
involved with accepting an unknown donation.
[archival policies / procedures: deed of gift]
All materials donated to Rare Books and Manuscripts
become property of the library.
Failure to complete a Deed of Gift will result in the
material being returned to the donor.
The form includes a detailed description of the
materials; the donor’s contact information; date of
donation; restrictions (if applicable); copyright
information, and the signature of the donor and acting
representative.
Staff produce a box-level inventory within 180 working
days of receipt of the Deed of Gift form.
[archival policies/procedures: reading room guidelines]
[archival policies/procedures: reading room guidelines]
The copyright law of the United States (Title 17, United States Code)
governs the making of photocopies or other reproductions of
copyrighted material. Under certain conditions specified in the law,
libraries and archives are authorized to furnish a photocopy or other
reproduction. One of these specific conditions is that the photocopy
or reproduction is not to be “used for any purpose other than private
study, scholarship, or research.” If a user makes a request for, or later
uses, a photocopy or reproduction for purposes in excess of “fair use,”
that user may be liable for copyright infringement. This institution
reserves the right to refuse or accept a copying request if, in its
judgment, fulfillment of the order would violate copyright law.
[record’s life-cycle: acquisition / accessioning]
Basic Accession Record
 Donation Type
 Extent
 Container Summary
 Date Expression
 Deaccession Information
 Condition
 Donor Information
 Acknowledgements
 Restrictions
 Processing Tasks
Be sure to provide a “thank you”
letter to the donor.
[record’s life-cycle: surveying]
[record’s life-cycle: preservation]
Some conditions require immediate attention. Wet or moldy
materials or those with actively flaking media have high
priority. If you notice pressure sensitive tapes and labels, brittle
mat board, or changes in condition such as tears, detached
hinges, or disfiguring stains, contact a conservator trained to
address the special needs of works of art and artifacts on paper.
Rebecca Shindel
Conservator
Indiana State Library
315 West Ohio Street
Indianapolis, Indiana 46202
317-503-9941
rshindel@library.IN.gov
Image: Rebecca Shindel, Martha Wright
Conservation Lab, 2016
[record’s life-cycle: processing plan]
Remember: it can take anywhere from 3-10 hours to process one cubic foot box.
Processors are given a writing tablet, pencils, erasers and a workstation equip with a
computer, an internet connection, pencil sharpener and miscellaneous preservation
supplies.
Staff are provided adequate time to develop a processing plan based on several
criteria, including:
 Physical condition and original order
 Obligations to donors/and researchers OR potential research value
 Record format/s
 Availability to work on the project
Processing Plan 101
I can do this!
[record’s life-cycle: arrangement + description]
Matthew E. Welsh papers
Series 1: Personal documents, 1944-1960
Series 2: Political correspondence, 1960-1971
Series 3: Speeches, 1940-1972
Series 4: United States Chairman, International Joint Commission documents, predominately 1965-1970
Subseries 4.1: Correspondence, 1965-1970
Subseries 4.2: Manuals and speeches, 1965
Series 5: Post-administration documents, circa 1970s
Matthew E. Welsh papers
Series 1: Personal documents, 1944-1960
Series 2: Political correspondence, 1960-1971
Series 3: Speeches, 1940-1972
Series 4: United States Chairman, International Joint Commission documents, predominately 1965-1970
Subseries 4.1: Correspondence, 1965-1970
Subseries 4.2: Manuals and speeches, 1965
Series 5: Post-administration documents, circa 1970s
Typically, there are levels of arrangement: repository; collection
or record group; series; subseries; folder and item.
folder
[record’s life-cycle: arrangement + description]
[record’s life-cycle: finding aid]
Each collection is described in a detailed record called a finding aid, which
provides both an overview of the intellectual organization of the collection and
a detailed list of items within the collection.
Indianapolis Union Railway Company Finding Aid Link
[record’s life-cycle: finding aid]
Archivists’ Toolkit (AT), an archival content management system, is
used to create our finding aids and etc. It’s no longer supported but
can still be downloaded, here: http://www.archiviststoolkit.org.
We’ll be transitioning from AT to ArchivesSpace, hosted by LYRASIS,
you can find more information, here: http://www.archivesspace.org.
Note: the archival profession has mentioned using “guide”
instead of “finding aid” when helping patrons.
[record’s life-cycle: online access]
[record’s life-cycle: digitization]
Indiana State Library Digital
Collections
[record’s life-cycle: disposition]
Rare Books and Manuscripts must provide a justification as to why the collection should be
deaccessioned. Any pre-existing conditions identified within the “Deed of Gift” or other
documentation giving ownership to the library must be verified.
Materials not wanted by other heirs, assignees or institutions will be disposed of by
established means within the guidelines of the State Government Center Complex.
If deaccessioning, record the following information:
 date of deaccession
 detailed description of items
 disposed of/transferred information
Keep any correspondence/notes leading to the decision. Documentation is key!
Image: Delaware Solid Waste Authority website (http://dswa.com/wp-content/uploads/2015/08/889-h_main-w.png)
Thank you!
Please feel free to contact me if you have any
questions about assessing, collecting,
organizing, preserving, maintaining physical
and intellectual control, or providing
access to rare books, manuscript collections
or records.
Bethany Fiechter
Rare Books and Manuscripts Supervisor
Indiana State Library
315 West Ohio Street
Indianapolis, Indiana 46202
317-234-8621
bfiechter@library.IN.gov
Image: Edward Pierre collection (L611), Rare Books and Manuscripts, Indiana State Library

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Archival Policies Procedures & the Record's Life Cycle

  • 1. Archival Policies / Procedures + the Record’s Life-Cycle In this webinar, we’ll highlight the importance of librarians and archivists working together to accomplish goals. Attendees will learn basic archival policies / procedures and the record’s life- cycle, a management model for North American archivists since the 1960s. Image: John M. Conyers collection (S0292), Rare Books and Manuscripts, Indiana State Library
  • 2. Bethany Fiechter Rare Books and Manuscripts Supervisor Indiana State Library 315 West Ohio Street Indianapolis, Indiana 46202 317-234-8621 bfiechter@library.IN.gov
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  • 6. Image (above): Rare Books and Manuscripts Reading Room, 2013 Image (below): Rare Books and Manuscripts Reading Room, 2015
  • 7. Image (left): Rare Books and Manuscripts Vault Before/After, 2013 Image (right): Rare Books and Manuscripts Vault, 2016
  • 8. Images: IU Bloomington School of Informatics and Computing (https://tinyurl.com/y7c5qdck); ACA ( http://www.certifiedarchivists.org/) and SAA (http://www2.archivists.org/glossary/terms/c/certified-archivist).
  • 9. Image (right): Governor Holcomb and State Library Staff, 2016 Image (left): Rare Books and Manuscripts Staff, 2015 Image (bottom): State Library Supervisor Meeting, 2014
  • 10. Image (left): Carla Hayden, ACRL 2017, American Libraries website (https://tinyurl.com/y7nvvzmr). Image (right): David Ferriero, National Archives website (https://www.archives.gov/press/press-releases/2010/nr10-23.html) Image (left): Carla Hayden, ACRL 2017 Keynote Speaker Image (right): David Ferriero, National Archives
  • 11. Library of Congress  Established 1800  American Library Association (ALA) founded in 1876 National Archives  Established 1934  Society of American Archivists (SAA) founded in 1936 ALA existed 60 years prior to SAA. The Library of Congress was created 134 years before the National Archives. Images: loc.gov; archives.gov
  • 12. Archival Policies and Procedures  Mission Statement  Collection Development Policy  Deed of Gift / Donor Form  Reading Room Procedures [archival policies / procedures + the record’s life-cycle: introduction] Record’s Life Cycle  Acquisition  Surveying  Processing  Arrangement and Description  Finding Aid Creation  Online Access  Digitization  Disposition
  • 13. [archival policies / procedures: mission statement] Does your institution have a mission statement or statement guiding policies and procedures? Does it mention your archive or special collection, perhaps the relation it has to the overall institution?  Do the goals of the institution include the following?  Acquire, preserve and provide access to rare and unique resources  Identify, collect and preserve materials that have enduring historical value  Regulations regarding use  Should your mission statement include archival terminology?  Access: finding aids; locating and retrieving; legally established restrictions  Archives: a place that preserves historical materials  Collection: a group of materials with a unifying characteristic  Preservation: materials protection from deterioration; loss of information Image: Clip Art Panda (http://www.clipartpanda.com)
  • 14. [archival policies / procedures: collection development policy] Clientele Served by Collection  Provide access and preserve materials for patrons, subject to the appropriate care and handling of the materials by the researcher. Patrons include… Individuals under the age of 18 may use selected materials when accompanied by parent or guardian. Priorities / Limitations of the Collection  Actively collects material related to Indiana's people, places and events. Collections reflecting aspects of Indiana life are most heavily sought. We will not collect material focusing on non Hoosier events except those dealing primarily with a Hoosier's‑ experience in lieu of the event. We will not accept material from a collection found in other repositories. Collections over ten cubic feet require approval of the Rare Books and Manuscripts Supervisor.  Strengths/Weaknesses Subject Areas and Formats Image: Can Stock Photo (http://weclipart.com/policies+and+procedures+clipart/d/1425443)
  • 15. [archival policies / procedures: deed of gift] A deed of gift or donor form is a formal / legal agreement between the donor of a collection and the institution accepting the materials. The deed of gift is the most important document because it explains future access and use. We encourage donations adhering to our collection development policy. All donations must be accepted with supervisory approval. Donations should be assessed offsite before approval. Create a procedure for offsite and onsite donations. Make sure staff understand the risks involved with accepting an unknown donation.
  • 16. [archival policies / procedures: deed of gift] All materials donated to Rare Books and Manuscripts become property of the library. Failure to complete a Deed of Gift will result in the material being returned to the donor. The form includes a detailed description of the materials; the donor’s contact information; date of donation; restrictions (if applicable); copyright information, and the signature of the donor and acting representative. Staff produce a box-level inventory within 180 working days of receipt of the Deed of Gift form.
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  • 21. [archival policies/procedures: reading room guidelines] The copyright law of the United States (Title 17, United States Code) governs the making of photocopies or other reproductions of copyrighted material. Under certain conditions specified in the law, libraries and archives are authorized to furnish a photocopy or other reproduction. One of these specific conditions is that the photocopy or reproduction is not to be “used for any purpose other than private study, scholarship, or research.” If a user makes a request for, or later uses, a photocopy or reproduction for purposes in excess of “fair use,” that user may be liable for copyright infringement. This institution reserves the right to refuse or accept a copying request if, in its judgment, fulfillment of the order would violate copyright law.
  • 22. [record’s life-cycle: acquisition / accessioning] Basic Accession Record  Donation Type  Extent  Container Summary  Date Expression  Deaccession Information  Condition  Donor Information  Acknowledgements  Restrictions  Processing Tasks Be sure to provide a “thank you” letter to the donor.
  • 24. [record’s life-cycle: preservation] Some conditions require immediate attention. Wet or moldy materials or those with actively flaking media have high priority. If you notice pressure sensitive tapes and labels, brittle mat board, or changes in condition such as tears, detached hinges, or disfiguring stains, contact a conservator trained to address the special needs of works of art and artifacts on paper. Rebecca Shindel Conservator Indiana State Library 315 West Ohio Street Indianapolis, Indiana 46202 317-503-9941 rshindel@library.IN.gov Image: Rebecca Shindel, Martha Wright Conservation Lab, 2016
  • 25. [record’s life-cycle: processing plan] Remember: it can take anywhere from 3-10 hours to process one cubic foot box. Processors are given a writing tablet, pencils, erasers and a workstation equip with a computer, an internet connection, pencil sharpener and miscellaneous preservation supplies. Staff are provided adequate time to develop a processing plan based on several criteria, including:  Physical condition and original order  Obligations to donors/and researchers OR potential research value  Record format/s  Availability to work on the project Processing Plan 101 I can do this!
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  • 27. [record’s life-cycle: arrangement + description] Matthew E. Welsh papers Series 1: Personal documents, 1944-1960 Series 2: Political correspondence, 1960-1971 Series 3: Speeches, 1940-1972 Series 4: United States Chairman, International Joint Commission documents, predominately 1965-1970 Subseries 4.1: Correspondence, 1965-1970 Subseries 4.2: Manuals and speeches, 1965 Series 5: Post-administration documents, circa 1970s Matthew E. Welsh papers Series 1: Personal documents, 1944-1960 Series 2: Political correspondence, 1960-1971 Series 3: Speeches, 1940-1972 Series 4: United States Chairman, International Joint Commission documents, predominately 1965-1970 Subseries 4.1: Correspondence, 1965-1970 Subseries 4.2: Manuals and speeches, 1965 Series 5: Post-administration documents, circa 1970s Typically, there are levels of arrangement: repository; collection or record group; series; subseries; folder and item. folder
  • 29. [record’s life-cycle: finding aid] Each collection is described in a detailed record called a finding aid, which provides both an overview of the intellectual organization of the collection and a detailed list of items within the collection. Indianapolis Union Railway Company Finding Aid Link
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  • 32. [record’s life-cycle: finding aid] Archivists’ Toolkit (AT), an archival content management system, is used to create our finding aids and etc. It’s no longer supported but can still be downloaded, here: http://www.archiviststoolkit.org. We’ll be transitioning from AT to ArchivesSpace, hosted by LYRASIS, you can find more information, here: http://www.archivesspace.org. Note: the archival profession has mentioned using “guide” instead of “finding aid” when helping patrons.
  • 34. [record’s life-cycle: digitization] Indiana State Library Digital Collections
  • 35. [record’s life-cycle: disposition] Rare Books and Manuscripts must provide a justification as to why the collection should be deaccessioned. Any pre-existing conditions identified within the “Deed of Gift” or other documentation giving ownership to the library must be verified. Materials not wanted by other heirs, assignees or institutions will be disposed of by established means within the guidelines of the State Government Center Complex. If deaccessioning, record the following information:  date of deaccession  detailed description of items  disposed of/transferred information Keep any correspondence/notes leading to the decision. Documentation is key! Image: Delaware Solid Waste Authority website (http://dswa.com/wp-content/uploads/2015/08/889-h_main-w.png)
  • 36. Thank you! Please feel free to contact me if you have any questions about assessing, collecting, organizing, preserving, maintaining physical and intellectual control, or providing access to rare books, manuscript collections or records. Bethany Fiechter Rare Books and Manuscripts Supervisor Indiana State Library 315 West Ohio Street Indianapolis, Indiana 46202 317-234-8621 bfiechter@library.IN.gov Image: Edward Pierre collection (L611), Rare Books and Manuscripts, Indiana State Library