archives accreditation discussion document - headlines

Draft: Archives Accreditation SchemeThe UK standard for archive services

January 2012 v.2

This document is intended as a DISCUSSION draft only and does not represent a completed standard. 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 has been built on the basis of the Museums Accreditation 2011 standard module headings and objectives, as decided in Stages 1&2 of the accreditation preparation work. These headings and objectives were then supplemented to meet the needs of archive services using the existing archival standards and guidance documents. We have further supplemented this with a few examples of how a system of grading or levels might work. E.g. 1.4

Archives Accreditation Co-creation Draft January 2012

Requirements for Accreditation

Module 1: Organisation Health

‘Accredited archive services are responsible, responsive and resilient’

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1.1 Clear statement of purpose

Objective: 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 the service exists, who it is for and which services it aims to provide. It should be approved by the governing body and understood by its workforce.

1.2 Acceptable constitution for the governing body

Objective: The archive service is a long-term organisation that exists to benefit the public and protect the collections

Standard: The archive service has an appropriate and acceptable constitution for the governing body

1.3 Appropriate management arrangements

Objective: The interests of stakeholders and collections are served through the responsible management of the archive service.

Standard: The archive service is an effective organisation that is well managed and able to provide evidence of the requirements outlined below.

1.3.1 The service has a satisfactory management structure from the governing body to the user

1.3.2 There are effective relationships within the management structure which enable the appropriate professional influence on decision making and policy

1.3.3 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.

1.3.4 Approved agreement under which a separate organisation runs or shares the archive service

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Archives Accreditation Co-creation Draft January 20121.4 Effective Forward Planning

Objective: The archive service has a clear, agreed objective directing its current and future work

Standard: The archive service plans effectively for long-term success and to make sure it can 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 reviewed

Requirements for level 1Example: The plan includes a consultation and analysis of users and non-users

1.5 Secure occupancy of all premises containing collections

Objective: A secure and long-term future for the archival collections has been established.

Standard: The terms under which the archive service occupies the buildings or sites are be long-term (at least 5 years) and sufficient to keep collections secure and enable effective forward planning.

1.6 Demonstration of financial basis

Objective: The archive service has a sound financial basis and is fully accountable

Standard: The archive service is able to show that it is financially stable and that it meets the relevant financial regulations or constitution. It has enough funds available to operate effectively, and collections should not be used as security for a loan.

Requirements for level 1Example: The archive service has a distinct budget

Requirements for level 2Example: The archive service has an endowment

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1.7 Appropriate workforce

Objective: The interests of an archive service’s collections and stakeholders are met by an appropriate workforce

Standard: The archive service has an appropriate workforce, in numbers and experience, to run it effectively, including both paid and unpaid/volunteer colleagues. It has effective employment 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 conservation expertise

1.7.2 Each member of the workforce needs to have a clearly articulated agreement, outlining their roles, responsibilities and expectations

1.7.3 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

1.7.4 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 1Example: Every member of staff attended at least one day’s professional/external training in the past year

Requirements for level 2Example: The service has a paid post for a pre-qualification intern

1.7.5 Volunteers are a valuable part of the workforce and should be provided with the appropriate level of responsibility, training and development opportunities.

Requirements for level 1Example: The archive service has a Volunteering Policy

Requirements for level 2Example: The service uses volunteers to work with users and not just documents

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1.8 Clear, workable emergency plan

Objective: The archive service is able to respond to emergency or disaster situations and protect its workforce, visitors and collections

Standard: The archive service is able to respond effectively to emergency or disaster situations. It should have an emergency plan, relating to all buildings that house collections 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

1.9 Organisational approach to environmental sustainability

Objective: The archive service minimises its impact on the environment

Standard: The archive service is guided by a policy statement about its approach to environmental sustainability. The policy statement is appropriate to its statement purpose.

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Evidence…..

Volunteer policy Volunteer training programmes Job description of a post clearly identified with responsibility for volunteers Celebration events


❷ Collections

‘Accredited archive services manage collections effectively and make them available to everyone’

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2.1 Satisfactory arrangements for the ownership of the collections

Objective: The ownership and legal status of collections is assured.

Standard: The archive service has procedures in place for obtaining written evidence of the ownership and intellectual property rights of collections transferred to the archive service.

Requirements for level 1Example: Archive services keep in contact with depositors in relation in order to maintain accurate copyright holder information and ensure later accruals are deposited with the service.

Collections management policies

2.2 Collections development policy

Objective: The archive service is guided by a clear policy setting out what material it should collect and why

Standard: 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 consultation

Requirements for level 1Example: The archive service assesses where there are gaps in the current holdings and actively solicits material to ensure that their collections are an accurate reflection of its history and/or locality.

Requirements for level 2Example: The archive service is establishing relationships with key potential depositors and advising on the care of their record, both paper and electronic, with a view to their final deposit with the service

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Archives Accreditation Co-creation Draft January 20122.3 Preservation and conservation policy

Objective: The long-term preservation of physical collections is ensured.

Standard: The archive service has an approved policy statement to guide its approach to the preservation and conservation of its physical holdings

2.4 Digital preservation policy

Objective: The long-term preservation of digital records is optimised

Standard: The archive service has an approved policy statement to guide its approach to the preservation and conservation of its digital records

Collections management plans and strategies

2.5 Collections cataloguing plans

Objective: Access to collections is improved through the significant reduction in cataloguing backlogs

Standard: The archive service has plans in place to improve access to its uncatalogued collections.

Requirements for level 1Example: The archive service has reviewed the backlog and prioritised collections for cataloguing based 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 programme of retrospective improvement

2.6 Preservation and conservation strategy

Objective: The archive service has strategies in place to manage the preservation and conservation of its physical collections

Standard: The archive service has plans to help deliver improvements to collections care and conservation in line with the preservation and conservation policy

2.7 Digital Preservation Strategy

Objective: The long-term preservation of digital collections is optimised

Standard: The archive service has a strategy to help deliver the preservation of digital collections

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Evidence…..

Collection development policy Acquisitions policy


Collections management procedures

2.8 Accessioning procedures

Objective: The archive service holds detailed, pertinent information on record about all of its collections

Standard: An accession register is kept (either manual or computerised) in which essential accession 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 implications

Requirements for level 1 90% of accessions are completed within the recommended times prescribed by the

archive service.

2.9 Cataloguing procedures

Objective: Collections are made accessible through consistent and accurate finding aids

Standard: All records are clearly described in publicly available finding-aids. All new catalogues should be adhere to national and international standards

Requirements for level 1Example: An in-house cataloguing manual has been produced for the workforce to ensure consistent catalogue descriptions

Requirements for level 2Example: Catalogues exist for 95% of its holdings

2.10 Expert assessment of security arrangements

Objective: Collections are secure at all times, irrespective of their location

Standard: The archive service obtains expert security advice for stored collections at least every five years, and earlier if needed. It should plan to act on the advice over time

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Evidence …..

Digital preservation strategy


Storage and preservation

2.11 Storage provision

Objective: The standard of storage is sufficient to ensure the long-term preservation of all its physical collections

Standard: 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 precautions

Requirements for level 2Example: 100% of a service’s storage conforms to PD5454

2.12 Conservation arrangements

Objective: The long-term preservation of collections is ensured through access to conservation expertise

Standard: Suitable provision is made either within the repository, or by appropriate arrangement elsewhere, for such conservation as the records may require.

2.13 Digital preservation

Objective: Procedures are in place to help deliver the preservation of digital archival material

Standard: Where a repository retains electronic records, archives ensure that they are preserved in line with the appropriate standards and guidelines, including BS 4783 and BS ISO 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. This includes providing advice where necessary and contributing to electronic records management policies

Requirements for level 2

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Archives Accreditation Co-creation Draft January 2012Example: The archive service has a dedicated team member concentrating on electronic records management and preservation issues.

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❸ Users and their experiences

‘Accredited archive services are welcoming and accessible. They enable access to information and provide innovative and engaging learning experiences for a broad range of users’

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3.1 Good quality service development and provision

Objective: The archive service provides a stimulating experience for its users

Standard: The archive service offers and develops good-quality, stimulating services for users 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-users

Requirements for level 1Example: The archive service surveys its physical users on an annual basis via user/focus groups and open meetings

Requirements for level 2Example: The archive service tries to gain a better understanding of its remote/online users through a variety of methods

3.1.2 The archive service evaluates and analyses information to assess users’ needs

Requirements for level 1Example: Results of analysis are disseminated to appropriate bodies within the governing body

3.1.3 The archive service devises plans to broaden its range of users

Requirements for level 1Example: The results of consultation exercises form part of published plans and strategies aimed at developing its audiences

Requirements for level 2Example: The service implements changes of service to meet needs of physical and remote users

3.1.4 There is a culture of customer care, with arrangements in place to make sure all users are treated with courtesy and care

Requirements for level 2Example: The archive service has achieved customer service excellence

3.1.5 The service is guided by a policy statement setting out a commitment to give access to its services, collections and facilities

3.1.6 Respond to tourism and local priorities where appropriate

3.2 User-focused experience

Objective: All visitors are able to access and use the appropriate archival services and facilities

Standard: The archive service provides a welcoming, accessible environment, with appropriate services and facilities.

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3.2.1 The archive service has adequate and accessible facilities to service the anticipated range and number of users, including a designated study area sufficient to satisfy normal demand for records and suitable for their inspection under constant invigilation. The opening hours of the service should endeavour to take account of their users.

Requirements for level 1Example: The service is open at least one evening a week

Requirements for level 2Example: The service is available at least two evenings a week

3.2.2 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 stop

Requirements for level 2Example: The service is located at the heart of a city, town or community with a variety of transport links close by

3.2.3 The service communicates effectively with users and potential users through a range of accessible marketing and promotional activities, linking with other sectors where appropriate e.g. tourism

3.2.4 Responsibilities surrounding the use of archival material should be clearly communicated to users.

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Archives Accreditation Co-creation Draft January 20123.3 Positive user experiences

Objective: Users are able to access the information they need

Standard: Enabling access to information is a core purpose of an archive service. This is at the 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 made available to users

3.3.2 The archive service ensures that users feel confident when using the service, particularly users visiting for the first time

Requirements for level 1Example: There is a regular programme of introductory sessions on how to use the archive service

3.3.3 The archive service provides access to the collections for research purposes and other forms of engagement by means of accurate finding aids

Requirements for level 1Example: There are collection level descriptions for all its holdings

Requirements for level 2Example: The majority of the service’s holdings have finding aids which conform to national and international standards.

3.3.4 The archive service provides facilities for making copies of records in accordance with copyright legislation. This facility can be provided on site or by appropriate arrangement elsewhere

3.4 Effective and engaging learning and outreach experiences

Objective: Users have engaging and stimulating learning experiences

Standard: Archive serves deliver engaging and innovative learning experiences to learners of all ages.

3.4.1 Archive services demonstrate that they exhibit collections using a variety of interpretative methods

Requirements for level 1Example: The archive service mounts occasional profession level interpretative displays for specific events

Requirements for level 1Example: The archive service has a regular programme of professional level interpretative displays

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3.4.2 The archive service provides learning opportunities, for both schools and adult learners, either directly or jointly with one or more other services

Requirements for level 1Example: The archive service has established a regular programme of educational outreach events with schools in the community, which are targeted at Key Stages within the national curriculum

Requirements for level 2Example: At least one of the staff involved in providing our educational service has an educational qualification.

3.5 Service provision for remote access.

Objective: Users are able to access the majority of services remotely

Standard: Archive services ensure that their remote service provision is being maintained and developed to satisfy a broader range of users

3.5.1 The archive service defines and publicises its service provision for remote access

3.5.2 The archive service has an ongoing, regularly updated web presence

Requirements for level 1Example: The website includes online catalogues

Requirements for level 2Example: The website includes online exhibitions

3.5.2 Archive services should endeavour to digitise key archival collections, particularly those for which there is a proven high demand

Requirements for level 2Example: The archive service operates a digitisation on demand facility on demand,

3.6 Legal obligations in relation to access

Objective: The archive service meets its legal obligations in relation to access

Standard: Archive services ensure that they manage archival records in accordance with current legislation governing access to information legislations. Any restrictions on access should be clearly conveyed to its users

3.6.1 The archive service has prepared policy statements on restrictions based on access to information legislation

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3.6.2 Repositories ensure that records are managed in accordance with current Data Protection and Freedom of Information legislation. Any restrictions on access should be clearly communicated to users.

Requirements for level 1Example: Catalogue entries have been amended to reflect the requirements of the Data Protection Act 1998 and Freedom of Information Act 2000.

3.6.3 Archive service ensure that they meet the requirements of the Environmental Information Regulations 2004

3.6.4 Archive services ensure that copyright legislation is adhered to when providing copies of deposited records and that the appropriate

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