3. Introductions – Archives Accreditation
team
• Archives Accreditation Workstream – The National
Archives, National Records of Scotland, Arts Council England, Archives and
Records Association, Cymal, PRONI, Scottish Council on Archives &
Archives and Records Council Wales.
• Janice Tullock Associates – Janice Tullock
• National Trust – Katrina Thomson
• The National Archives – Melinda Haunton &
Jane Shillaker
4. Introductions – participants include
• Unilever Archives
• Glamorgan Archives,
• The National Archives,
• Bowes Museum,
• National Library of Wales
• Exeter Cathedral Archives
• PRONI
• Cumbria Archives Service
• University of Reading
Special Collections/Museum
of Rural Life,
• Southwark Local History
Library
• The Presbyterian Historical
Society of Ireland
• Chatsworth House
• Network Rail Corporate
Archive
• Swansea University
• Media Archive of Central
England
• Worcestershire Archives
• Tyne and Wear Archives and
Museums
5. Aims of the day
• To introduce Archive Service Accreditation, its
aims, purpose and development to date
• To provide pilot services with the information
necessary to confidently work towards Archive
Service Accreditation
• To provide an opportunity to ask the Archive
Service Accreditation team any initial questions
• To pilot and assess the type of training future
Archive Service Accreditation applicants may
require
6. What will this pilot do?
• Test the standard and guidance, showing what
works and what doesn’t and identifying gaps
• Test the mechanics of the application form
• Test our plans to assess the applications
• Evaluate the training we provide today
7. Timetable for pilots
• Submissions by end of 2012
• Evaluation returns mid January 2013 at latest
• Assessment the first 2 weeks in Jan 2013
• Validations by end of Jan 2013.
• New draft to workstream by start of March
2013 and amended by end of March 2013
• Scheme in operatation financial year 2013/14
8. Exercise
• Divide into pairs
• Each pair will be give two questions
• Please introduce yourself and interview each
other using the questions
• Note the responses on the sheets and we will
take a poll to gauge the answers across the
group
• Results will be posted on the walls for all to
read later
9. Background to Archive Service
Accreditation
• Archives in the 21st Century recommendation
• Scoping study examined c28 existing models
• Led to the production of a model for Archives
Accreditation
• Co-creation of the Archive Accreditation
Standard and scheme through workshops and
online dialogue
• Led to the production of a draft Archive
Service Accreditation Standard and Scheme
10. Aims of Archive Service Accreditation
• Aligned with other relevant quality assurance schemes, improvement tools and
data gathering processes.
• Affordable, authoritative and highly visible
• Purpose built for the archives sector
• Able to be standalone and withstand political changes
• An integral part of the work of The National Archives and partners, seamlessly
blending into work such as the appointment of Places of Deposit for Public
Records and allocation of archive collections Accepted in Lieu of Inheritance Tax
• Accessible to cross-domain organisations and should not be dependent on
achieving either the standard in museums or archives.
• Accessible and relevant to a wide range of archive services and types of service
across the UK
• Focused on current and future community needs and acknowledge local, regional
and national priorities.
• A full acknowledgement the preservation and conservation needs of the
collections
• Produced by a process of co-creation with the sector
11. Archive Service Accreditation
• Archive Service Accreditation is a process not
just a badge
• The standard has a golden thread of the
mission of the archive service
• The standard is driven by a clear definition of
community which is defined by each archive
service
12. Definition of Community
The standard is based upon the concept of a
community which the archive service is
constituted to serve
– Not just population of a physical unit
– Not just a single community
– Not just an external or an internal community
– Embraces both stakeholders and users
– Is defined through the stated purpose of the
archive
13. The scheme documentation
• Eligibility document
• Scalability table
• Standard
• Guidance
• Glossary
• Application form
• Action plan
• Evaluation and feedback form
14. The standard – overall structure
• 3 Sections:
– Organisational Health
– Collections
– Stakeholders and their experiences
• Headline Requirement
• Outcome
• Sub-requirement (in some cases)
15. The standard – structure of
requirements
• Policies
• describe the overall intentions and directions of an
organisation as formally expressed by top management
• Plans
• are forward looking documents that set out the objectives of
the organisation and identify actions needed to achieve
these objectives, in line with the organisation’s policies and
in order to deliver its mission
• Procedures
• describe a specified way to carry out an activity or process in
order to deliver a particular output or outcome
16. The guidance document
• General guidance
• Scaled guidance
• Information and supporting documentation
needed
• Where evidence may be found
• Questions to consider when formulating
responses
• Tools and resources
17. The application form
• Consists of applicant details and questions
relating to each section
• We aim to only ask for information that is
essential to assessing the application
• Anonymised data will be analysed by
assessing bodies and may be published
• Applicant details – information required based
on the requirements of CIPFA stats for Archive
Services
18. Approaching archive service
accreditation - options
• Task a member of staff to “do” accreditation
• Pay a consultant to “do” accreditation
• Form a team to plan, discuss and direct your
journey towards accredited status
Do this one!
21. 1.2 Governance and management
structures
• Allows us to test your governance and
management arrangements
• Would particularly like more suggestions on
guidance required and evidence here
22. 1.3 Forward planning
• Note that we don’t specify in detail what your
forward plan should look like – we want it to
be effective for you
• Note also the required link back to the mission
of the organisation as a whole
• Show us how you are achieving our desired
outcome
23. 1.4 Resources: Buildings
• Terms of occupancy
• Arrangements to keep collections secure
• Arrangements for forward planning re
buildings
24. 1.5 Resources: Finance
• Demonstrate a sound financial basis
• Archive Service managers have appropriate
input to relevant budget setting
• We would like more suggestions as to what is
appropriate for each scale of service
25. 1.6 Resources: Workforce
• Resources to be appropriate in experience and
numbers to carry out the service’s responsibilities
and plans.
• Requires a workforce chart to be submitted
• Scaled guidance is important in ensuring
professional staff are employed where required.
• Some documentation is not submitted but is
available on request
• Also looks at development provisions
26. Exercise
• In your packs you have an action plan
template
• Individually for 10 minutes consider what your
action plan should be for section 1
• Then in pairs discuss your action plan and
exchange suggestions
28. Collections
2.1 Collections
management
policies
2.1.1 Policies on
collections
development
2.1.2 Policies on
collections
information
2.1.3 Policies on
collections care
and conservation
2.2 Collections
management
plans
2.2.1 Collections
development plan
2.2.2 Collections
information plan
2.2.3 Collections
care and
conservation plan
2.3 Collections
Management
procedures
2.3.1 Procedures
for core collections
information
processes
2.3.2 Procedures
for routine
preventive
conservation
2.3.3 Procedures
and plans for
disaster and
recovery
29. 2.1 Collections management policies
• Split into :
– Collections development
– Collections information
– Collections care and conservation
• If your policy has a different name but fulfils
the same function that is ok
30. 2.2 Collections management plans &
planning
• This requirement looks at the plans that are in
place to continuously improve:
– Collections development
– Collections information
– Collections care and conservation
31. 2.3 Collections management
procedures
• The key is clear and documented procedures
that are understood and applied by the
workforce
• Remember its scaled to your community and
mission
• Specific requirement around disaster recovery
plan and procedure – based upon a risk
assessment and scaled
32. Exercise
• Each group should divide into pairs or threes
to look at one sub-requirement.
• You are asked to :
– Individually look at the sub-requirement, guidance
and application form. What is your action plan for
this area?
– Share this with your partner.
33. Stakeholders and their experiences
3.1 Collections
Access Policies
3.2 Collections
Access Plans and
Planning
3.2.1 Understands
community and has
effective methods of
consulting stakeholders
3.2.2 Effective methods
to analyse and evaluate
existing and potential
stakeholder needs and
interests
3.2.3 Documented plans
to improve access in
response to identified
needs and interests of
its community
3.3 Collections
Access Information
and Procedures
3.3.1 Practical
Information on how to
access archive services
3.3.2 Procedures for
user access process and
standards
3.3.3 Access information
and procedures regularly
reviewed and updated
34. 3.1 Collections Access Policies
• We need help from the private and third
sector – have we got this section right for you?
• Take note of the definitions of Stakeholders
and Community
• Levels of collections access should be
appropriate to the organisation’s mission
statement and the nature and scale of its
collection
• Access is not just for the public
35. Collections Access Plans and planning
• Organised into:
– Understanding your community
– Analysing stakeholder needs and interests
– Documented plans to improve access
36. Collections Access Information &
Procedures
• Organised into:
– Practical information on how to access collections
and services
– Procedures for user access processes and
standards
– Access information and procedures are regularly
reviewed and updated
37. Exercise
• In your packs you have an action plan
template
• Individually for 10 minutes consider what your
action plan should be for section 3
• Then in pairs discuss your action plan and
exchange suggestions
38. Submission ! What next?
• Assessment by the relevant team in each
nation
• Validation visits in a small number of cases
• Report issued to each pilot providing feedback
on each submission
39. Support and feedback during the
application process
• We are aiming to have monthly telephone
calls with each pilot organisation
• Email queries to Melinda at TNA
• Record queries on the evaluation form and
discuss during these calls
40. Evaluation and feedback log
Document Requirement
of the
standard
(section,
requirement)
Query Note Improvement Suggested
guidance
needed
Suggested
questions to
ask
Suggested
Evidence
Guidance 2.3.3 Please
provide
guidance on
how often to
test disaster
plan. We
suggest
annually.
41. Evaluation and feedback
• Evaluation & feedback log to maintain during
the process
• Questionnaire regarding today by email
• Evaluation questionnaires at the end
• Small number of follow-up telephone
interviews
Firstly thank you for your help
We know we haven’t got this right yet and we’re so pleased to have your help in making this a strong useful tool for the archive sector
Value to them of testing and thinking about their service as part of the pilot without the pass/fail element at the end – but with support and feedback
The monthly call to talk things through and chance to network with other pilot services
The value of their views as they work through the questionnaire and guidance, regardless of whether they can fully complete the process (if they drop out, we still want feedback)
That finding gaps is a trigger for positive change, not for feeling downcast!
Active day – not all chalk and talk
Slides will be available on Slideshare or via email if you aren’t able to access that site
Please feel free to ask any questions as we go along with the day. It may be that we don’t have the answers at the moment or that we don’t have the time to deal with the answer in the busy day, but we will make a note and get back to you all if that is the case.
Wide range of organisations
Big and small, those at the top of their game and those with some way to go. Those in the midst of change and those embarking or seeking change. Designated collections, multi site organisations, accredited museums, national bodies. Those with lots of experience of standards and those without.
Private and public sector
This range is wide because the constituency for Archive Service Accreditation is wide. So please bear with us as we run training and design a scheme to meet the needs of all these organisations
What I won’t do is go through every page of the standard or the guidance documentation – too boring!
Sorry if there are some wordy slide, but these will need to act in my stead for those not able to attend today
To return to our evolving principles
You will see in the guidance notes, particularly in the Stakeholders section, we refer to activities being “in line with the organisation’s mission” This enables both our scalability and our ability to have one standard that meets the needs of both public/private sectors, internal/external facing archive services
The action plan is a document designed to help you prepare for accreditation and to provide an aide memoire when we ask you for feedback. it is just a useful aid and doesn’t have a formal status
We will have all these documents in an online environment for the final version, but at this stage we need to draft a paper version. The application form and process will also be online. We are aiming for you to be able to deposit documents in this online enivronment, but of course this isn’t yet available so the process will be different.
Chosen deliberately to mirror those of museums accreditation, to assist in those organisations seeking both
Designed to dovetail with existing standard and frameworks e.g. Standard for Access for Archives (NCA PSQG), PAS 197 code of practice for cultural collections management, museums accreditation 2011
So what will we be requiring you to achieve to secure Archive Service accreditation? Its summed up in the Requirements
Why are we requiring this? See the outcomes
Turn to page 20 in the standard. This shows a structure chart of the Section 3 stakeholders and their experiences, with requirements and sub requirements
If you turn over to page 21 you will can see as an example two requirements and their outcomes, one of which has a sub requirement, 3.2.1
Turning back to page 20 and the overview of Section 3, how have we organised the requirements?
Follows the recommended structure for an integrate Collections Management Framework in PAS197 i.e. Policies Plans and Procedures with this being most obvious in sections 2 and 3
Policies:
Provide a framework for organisational planning and action
Can be written in the form of a statement
Require the endorsement of the organisation’s governing body
See glossary when a term seems unusual – e.g. Top management
Plans:
e.g. Strategies, business plans, action plans – can be varying timescales
Procedures:
e.g. Handbooks, guides, manuals, instructions
Arranged by requirement. Suggest may wish to file your printed copy with the standard by requirement
Enables us to scale our requirements according to specific archive types and scale – We will be requiring more of the National Archives than smaller organisations, or those with different missions. Also allows us to specify specific requirements of places of deposit or publicly funded archives
Guidance is therefore divided into General and scaled guidance – scaled guidance is arranged according to the scalability table. You should assess yourself on the table as a priority
Information and supporting documentation – these are your evidence that you meet the requirements – they aren’t a conclusive list, especially at this stage, so if you have any additional suggestions please submit them.
If your evidence doesn’t have the same name as we use, or it is not a stand alone document, that is ok. We want you to be able to reuse plans policies and procedures for our purpose.
Sorry the document doesn’t have page numbers, My mistake!!
Now its a good point to consider how you will reach the point where you can submit an application under the pilot accreditation procedure
Although CIPFA is a local authority only survey there are so many archive services collecting this information its best to use this data.
This data allows us to assess whether you have judged your scalability correctly and provides assessors with vital information. It looks at scalability factors and the size and usage of the collection
Its important to note here that the vast majority of assessments for archive service accreditation will be entirely desk based. A small number will have additional validation check visits. You will need to convey all the information necessary to assess your service against the standard through the application form.
There are a number of ways you could approach archive accreditation
The last of these, the team could consist of staff &trustees where appropriate. It could involve staff from a variety of different sections in different organisations. Some organisation may seek a co-operative group with other archive services. You may even find it useful to use an independent consultant on this team to drive the process forward, keep to a timetable and to provide a critical independent eye.
I’m giving myself away a bit, but its the last of these options that we are recommending. Experience with other standard schemes, notably museums accreditation is that this brings most success. Will help to review developments and plan ahead using a national framework.
We are heading towards lunch and I ask you to bear with me as the sandwiches approach. As I talk through each section you may wish use the action plan template to record your steps to accreditation and to look at the application form and consider how you could show that you have met the requirements of the section
This is the overall structure of this first section. As I mentioned earlier the whole section, indeed the whole standard is linked together by that golden thread of mission and purpose.
This section looks at issues such as governance, finances, buildings, workforce and planning in 6 main requirements
A clear example of our attempts at scalability is in the guidance document.
Its an easy question to start – Why are you here?
Standard for record repositories used to talk about the archivist having a direct line to the chief executive . We recognise that this is outdated and we need to check the governance and management structures in detail
We ask you to confirm that your plan covers a series of areas. THESE WILL BE VARYING IN SCALE!
One area where there is a quite markedly different slant to museum accreditation is here. Rather than just concentrating on the security of tenure we ask for different information to assess whether collections are responsibiliy housed
Again the figures we ask for relating to holdings are aligned to the CIPFA stats which local authority archives already collect.
Important to note we need 2 years relevant accounts to demonstrate this. AGAIN its what its appropriate to your arrangements that will help us to assess whether you have reached the requirements.
We ask you to decide what is appropriate and will enable us to make the assessment but there are some suggestions. Read Scalability
Key point is appropriate to what you are aiming to do. By this point in the application form the assessor should have an understanding of the service and its aims. It will not be possible to accredit a service that does not have the workforce to meet its ambitions or is not being ambitious enough!
Read out scaled guidance re professionally qualified staff requirements
Some useful checklists for smaller organisations without HR departments on signed contracts etc
Using any notes that you have written as you have listened to me
We will go through the same procedure as with the first section, highlighting some areas then looking at how you would tackle the module
Here the relation to the recommended structure for an integrate Collections Management Framework in PAS197 i.e. Policies Plans and Procedures is clear. We are looking at collections and have divided the requirements into policies plans and procedures for each. To remind you :
Policies
describe the overall intentions and directions of an organisation as formally expressed by top management
Plans
are forward looking documents that set out the objectives of the organisation and identify actions needed to achieve these objectives, in line with the organisation’s policies and in order to deliver its mission
Procedures
describe a specified way to carry out an activity or process in order to deliver a particular output or outcome
Policies on collections development analyse the principles of collecting archives, stating the scope, priorities and limitations on collecting. It describes how, when, why and by which mechanisms archives are transferred to the archive service. It should also identify gaps for future collecting.
Policies on information: Here we look at the policy on collection information and finding aids, their quality and comprehensiveness. This section covers all information written and gathered about collections, whether during the transfer or accessioning processes, during cataloguing or subsequently. It should specify what information is gathered and created and which standards are followed in cataloguing.
Collections care and conservation: A collections care and preservation policy should outline the strategic approach to preserving and conserving archive collections, explaining how the archive service intends to act and why. It should explain the preservation philosophy and any analysis behind collection care decisions.
Definitions:
Collections Care :Range of activities intended to safeguard a collection NOTE These activities can include organizational policies, security, storage, cleaning, maintenance, handling, scientific investigation, environmental monitoring and control, exhibitions and loans, conservation, provision of surrogates and emergency planning.
Collections Development :Collecting new items, researching and reviewing the existing collection and removing items in accordance with the collecting organisation's policies and priorities
Collections Information : Information an organisation collects, creates, holds and maintains about its collections and/or collected items (NB collections information can include a broad range of knowledge, such as interpretations, stories, research and conversation)
The collection development plan specifies how the archive service will appraise and rationalise collections and identify gaps and priorities for future collections.
The collections information plan should describe how the archive service will implement the collections information policy described in 2.1.1 above. It should identify priorities for action and provide a plan for their implementation over a time limited period.
The collections information plans should cover:
An assessment of the current state of cataloguing in your organisation, including any legacy issues and how they occurred.
How you plan to improve existing collection information
Plans for collections information about newly acquired collections
How you plan to manage information about collections long held without complete catalogues (backlog collections)
How you plan to collect and maintain information regarding collection status (ownership, intellectual property rights and specific record keeping legislation/guidelines)
The plan describes how the collections care and conservation policy will be delivered. It is the result of the policy statement combined with an assessment of the collection care in the archive service.
Issues which may be covered include:
Security
Buildings/Storage
Mitigation of risks due to site of building(s)
Access(reprographics, exhibitions, handling, surrogates)
Treatments/Conservation
Housekeeping
Environmental monitoring
Environmental control
Digital materials
Disaster recovery and continuity
Disaster recovery and continuity plans are of particular importance and should be based upon a risk assessment of the potential threats. Archive services should consider:
Procedures and processes to be followed before, during and after an emergency event
Arrangements for the workforce, visitors, collections and business continuity, on all sites.
How the plan will be developed, disseminated and tested
The procedure for reviewing the disaster recovery and continuity plans
Using any notes that you have written as you have listened to me
Stakeholders : persons, corporate bodies or defined groups with an interest in the present and future activities of the archive service. Stakeholders include those with a financial interest (including tax payers in relation to a public service, office holders (e.g. politicians, committee members), executives, employees, suppliers, customers and the local community. In archive services there are two important additional groups: (1) depositors - the donors or lenders of records; and (2) future users, the purpose of the preservation of records
Community: ‘Community’ - the standard is based on the concept of a community which the archive service is constituted to serve. In its specific sense as a defined term the word ‘community’ does not necessarily refer simply to the population of a political unit or physical area (e.g. a local authority or town). For many archive services the community will extend beyond the formal boundaries of its responsible body (government, educational institution, private or voluntary organisation). The archive will probably serve multiple communities: local, national and international; different communities of researchers and of other types of direct and indirect users and of non-users. Different elements of the community may attract different priorities, types and levels of service. The ‘community’ to be served is defined through the stated purpose of the archive service. Community embraces both 'stakeholders' and 'users'
A policy on collections access (or suite of documents) should show how you meet the requirements relating to access for all stakeholders. It should outline all the methods of access to collections and any restrictions placed upon access as part of collections care. The archive service should also show how this policy is being communicated to its stakeholders.
Policies on collections access should include:
a definition of the community served and a description of how the organisation aims to provide access to its archive services, collections and facilities, in line with its mission statement.
a commitment to identify and comply with relevant legislation and ethical codes in relation to access
includes information on the restrictions and responsibilities surrounding the use of archives and how these are communicated to stakeholders
information on closure, use of surrogates, handling, exhibition and display, copying and reproduction.
a commitment to promoting a culture of customer care, ensuring that all stakeholders are provided with courteous, effective assistance
Archive Accreditation acknowledges that levels of collections access should be appropriate to the organisation’s mission statement and the nature and scale of its collection.
3.3.1 This requirement covers providing access to the content of archive collections and how this is communicated to stakeholders. It examines opening hours, location, service delivery interfaces, public facilities, published information and online presence
Using any notes that you have written as you have listened to me
A version of this table will be sent to you following today
