ACQUISITION AND APPRAISAL

OF ARCHIVES
JANNATUL IZA AHMAD KAMAL
PUNCAK PERDANA CAMPUS
 FACULTY OF INFORMATION MANAGEMENT
IMR 455: ARCHIVES ADMINISTRATION

At the end of the chapter, students should be:

• able to explain the concept of archival acquisition and archival appraisal

• able to identify archival acquisition policy
• able to explain the archival acquisition methods
• able to describe the purpose and importance of archival appraisal activities
APPRAISAL OF ARCHIVES
 APPRAISAL

• Appraisal can defined as a process of determining two important processes,

there are enduring value and continuing utility. Appraisal also known as
process of evaluation, review and selection.
• Appraisal process requires archivist to determine the value of records/
archives which can be used for future action or for any purpose and it also
will determine the length of period for which that value of record will
continue.
• It is crucial for every archives to carefully and selective in their acquisition
activity in order to identify its necessary collection that suited with archive
policy. Besides, it also will ensure that archives collection is cohesive, compact
and worthy of the resources required to support it.
CONTINUE…

Appraisal of continuing utility of records

Continuing utility is the process where the archivist/ archives officer
has to decide what are the records need to be kept and for how
long these records can support and continue organization activities.

Appraisal of enduring value of records

Enduring value process requires archivist/ archives officer to
determine what records need to be permanently preserved as
archives because of its contain have historical value.
 CONTINUE…
Appraisal of continuing utility and enduring value processes
connect with each other and often happens at the same time.

Situation 1:
The continuing utility and enduring value of the records can be predicted during
the creation phase

Possible to predict how long the

Continuing utility record is needed by their
creators and users

Predictable
(e.g: minute meeting)

Possible to predict how long the

Enduring value
value of record will last
 CONTINUE…
Appraisal of continuing utility and enduring value processes
connect with each other and often happens at the same time.

Situation 2:
The continuing utility and enduring value of the records is not possible to predict. Thus,
second review is highly needed in order to determine the potential archives only being kept.

Not possible to predict how long

Continuing utility the record is needed in the
future

Can not be predicted

(e.g: series of operational files)

Not possible to predict how long

Enduring value
the value of record will last
 CONTINUE… • What the records are (or what
they will be once they are created)
• Who creates them and why
• How they relate to the creating
agency’s function and to other
records
Creation of records • How they are used, when and by
whom

Archivist - determine
Continuing
Enduring future action
utility
value
Destroy the records

Transfer records to
archival institution

Review the records

Once all this information is identified, the

continuing utility or enduring
value of records may be determined
 INEFFICIENT OF RECORDS APPRAISAL
Collapse of records management records systems congested with
system semi and non current records

Increasing of backlog records

Storage furniture and facilities
will become full

Poor retrieval of records

 THE IMPORTANCE OF APPRAISAL

Continuing utility has

expired – disposal
schedule
Destruction
Lead to prompt records
disposal
Archival preservation

Good administration
Balance the disposal of
records in life cycle, neither
not too early nor too late
determine the life
expectancy of records – Too late
Too early
develop records retention
period Valuable records Resources are wasted and
may be destroyed keep non-valuable
records
DISPOSAL SCHEDULE
Product of Disposal schedule
appraisal practice
• Disposal list
• Disposition
schedule
• Transfer
schedule

With continuing
value and
enduring value Records with no
value

Archival Institution

Destroy
 ACQUISITION OF ARCHIVES

Loan Passive approach

(where the archivist/
archives officer wait for the
Transfer materials coming into its
Purchase holding)

Acquisition is the
process of adding up Active approach
materials into archival (where the archivist/
Donation archives officer
collection
actively seek out for
materials)

•It is significant for every archivist to know and understand the organization business and
transaction in order to full secure and keep only archival materials that related to the
organization activities.
•Acquisition process involves the actual transfer of records from their original location to the
archives facility. This process requires great care in making the transfer.
 ACQUISITION POLICY
• Before begin the acquisition process, it is important for archivist to
understand the aims of archival acquisition activity. Therefor,
acquisition policy is needed as a basic document and guidelines for
both archival staff and people who are interested in depositing their
archives.
• Besides act as an initial guidelines, this policy also may help on the
decision making as well as allows the archives to decline any archival
collections that are unsuited with its collection.
• Each acquisition policy should covers the following elements:
 The archives collection
 The limitation of archives collection
 The types of materials are of particular interest
 ACQUISITION POLICY
The final determination of the acquisition
dependent upon the following matters:
policy for archives will be
(CONTINUE)

Resources
 The availability of the proposed collection
 The estimation cost to acquire the proposed collection
Physical formats - which following physical formats are to be acquired and more
importantly, can be managed:
 Unpublished manuscripts and records?
 Printed and published materials?
 Maps, plans and architectural drawings?
 Audiovisual material such as cassettes or video tapes?
Users
 Is there a known demand for the proposed collection?
 Will it serve variety of research interests?
 Will users want copies of material from the collections further study or publication?
ELEMENTS IN ACQUSITION POLICY
General statement of purpose

Statement of authority

Definition of terms

General description of acquisition responsibility

General description of conditions which material must

meet to be acquired

General description of review and de-accessioning of

unwanted material

Information to whom to contact about material for potential

acquisition
DEVELOPING AN ACQUISITION
STRATEGY
What existing commitments must the archivist meet
before accepting new material?

Will priority given to acquisition as opposed to

arrangement and description, preservation and reference
of material already in custody?

What proportion of staff time and resources can be

allocated to the collecting function?

Will the archives seek material extends or complements

existing holdings into new areas?

Will the archives actively pursue material which it wishes

to collect or will it accept records only when they are
preferred?
 ACQUIRING METHODS

Donation
• Generally, donation only involves small archives. It usually come from local
citizens, private institutions, group or associations. However, archives should
avoid accepting inappropriate items and should be based on archives policy.
• Not all individual are willingly to surrender their archives as a gift or
donation to the archives. Due to this fact, every archives institution should
inform the community about the archives existence and its interests and
encourage them to submit their archives to the archives institution.
 ACQUIRING METHODS
Donation (continue..)
• To enrich the collection of archives holding, it is advisable for archives
institution to seek out for materials rather than just wait for it. This can be
done through making some connection with people such as read local
newspaper, attend meeting and social function and also can contact
government officials politicians or businessman to tell them about the
existence of your archives. Indirectly it may help others to promote your
archives as well.
• Beside that to increase the public awareness in depositing their archives,
archives institution need to find out about special events, important people,
anniversaries/celebrations, retirements or death as an effort to encourage the
public participation.
Action and information required
1. Donor’s name
2. Recipient archives’ name
3. Description of materials.
4. The condition of deposit or access restrictions (if any)
5. A statement indicating transfer of ownership (and copyright)
6. Acquisition date
7. Signatures of both the person in-charge / archivist and donor
8. It is necessary to explain about the permanent transfer of ownership to the
potential donors. This is to ensure the depositor fully understand about the
finality of the archives/ gift.
9. Provide a copy of the deed of gift to the donor and keep the original with
the accession record for future use.
10. Send the donor a acknowledge letter after the transfer process is
completely done.
 ACQUIRING METHODS (continue)
Transfer
• This method commonly adopted by government agencies. The selected
archives will be prepared for the transfer and usually based on the designed
disposal schedule. The transfer can be done either regularly or sporadically.
• Both parties which are the original/ creating agencies and archives institution
will involved to ensure the process of transferring is appropriately done
according to the acquisition plan.
• The transfer only can be carried out once the process of analyzing and
evaluating has been completed and the status of archives are appropriately
identified, whether the materials need to be retained, transfer or destroyed.
 ACQUIRING METHODS continue..

Loan
Archives institution also can adopt loan methods to add materials into its
holdings. Loan can be categorized into two ways:
1. Temporary loan
• Generally this loan only for specific purpose, and usually adopted for copy or
use in an exhibition or for specific matters. Once the exhibition completed or
matters resolved, the materials will be returned to the owner.
• Temporary loan use only for a short time period. The usage and period of loan
depends on the agreement has been made between archives and the owner.
• This method requires archivist to provide/ prepare loan form and both parties
need to complete a loan form and make sure the lender signs it twice; 1st when
leaving the items and again indicating their returns.
 ACQUIRING METHODS continue..
Loan (continue..)
2. Indefinite loan
• Avoid receiving indefinite loans as it can give a lot of problems to the
archives. This is because archival institution has limited action on
indefinite loan archives especially for preservation activity. The archives
need to get owner’s permission first before being able to perform any
preservation action on the indefinite archives. If anything happens to that
archives, the archival institution can be blamed.
• Thus, if someone offers to loan material rather than give it to the archives,
archives officer/ archivist has to determine his/her reasons.
• Good explanation about the purpose of archives may lead to the
donation instead of loan.
 ACQUIRING METHODS continue..
Purchase
• Purchase methods is an expensive practice. Thorough investigation is
needed before consider this methods.
• Usually this method will be adopted when there is valuable and necessary
addition to archives materials and the archives can afford the purchase
and still can supply other materials.
• Usually a collection of rare book, influential figure or an original print can
be purchased from collectors or from rare book or manuscripts dealer.
Important to understand that, every considering materials must have
archival value and relates to archives policy.
• Generally, to ensure the considering archives to be purchased meet the
acquisition requirements, designated or outside agency might be helpful to
evaluate its fiscal value.
 PURPOSE OF ACQUIRING
METHODS
The purpose of acquiring and collecting materials are:

1. To ensure the national heritage treasure is permanently preserved

2. To enrich the collection of national heritage not only in the country but
around the globe
3. To promote and encourage the use of archival materials especially among the
young generation
4. To protect and maintain the archives from continually deteriorate and
damage

In this regard, the National Archives is always willing to be contacted for

submitting this historic materials.

Derived materials will be preserved and kept it well within the building
in the National Archives.
 FACULTY OF INFORMATION MANAGEMENT
IMR 455: ARCHIVES ADMINISTRATION

This lesson has explained about the archival acquisition and appraisal which covered the
following aspects:

• the concept of archival acquisition and archival appraisal

• The archival acquisition policy
• the archival acquisition methods

The lesson also has explained the concept of records life cycle and continuum of care. This lesson
also has concluded with the purpose and importance of archival appraisal and acquisition
activities
 FACULTY OF INFORMATION MANAGEMENT
IMR 455: ARCHIVES ADMINISTRATION

References

Bettington, Jackie, 1968- & Australian Society of Archivists (2008). Keeping archives (3rd
ed). Australian Society of Archivists Inc, Canberra, A.C.T
Bradsher, J. G. (1989). Managing archives and archival institutions. Chicago: University of
Chicago Press.
IRMT (1999). Managing archives. London : International Records Management Trust.
IRMT (1999). Managing archives : A procedures manual. London : International Records
Management Trust.
Schellenberg 1903-. (1965). The management of archives. New York: Columbia
University Press.
 FACULTY OF INFORMATION MANAGEMENT
IMR 455: ARCHIVES ADMINISTRATION

Quizzes

Choose TRUE (T) or FALSE (F) for the statements below

1.Physically, the acquisition process includes concern for the actual transfer of records from
their original location to the archives facility. This process is deceptively simple.

2.With the control imposed by the processes of appraisal, current records systems will become
congested with semi and non current records
 FACULTY OF INFORMATION MANAGEMENT
IMR 455: ARCHIVES ADMINISTRATION

Quizzes

1.Identify four (4) archival acquisition methods.

2. identify two (2) purposes of archival acquisition activity.

 FACULTY OF INFORMATION MANAGEMENT
IMR 455: ARCHIVES ADMINISTRATION

Quizzes

Fill in the blanks.

1. ___________ records will develop, storage furniture and facilities will become full and information
will be increasingly difficult to access.

2. _____________ is the basic reference document for both archival staff and people interested in
depositing their papers/ archives