CHAPTER 6.

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 define the concept of the accessioning

• able to explain the processing of accession
• able to describe the accessioning and receipt of material from non-government sources.
• able to explain the accessioning of archival copies
WHAT IS ACCESSIONING?
Accessioning is the process of
controlling records received in
archival or record custody

Legal control Physical control

Intellectual control
 LEGAL CONTROL
It is important to document all transferred materials and to have clearly
understand the unambiguously transfer between two parties. Both parties must
understand all the agreement before committing to the provisions.

Will

Deed
of gift

Transfer Instruments
 PHYSICAL CONTROL
Also known as administrative control. It ensures that all series and items are
accounted for in the repository and can be found and used.
e.g. specific location of records or archives – confidential records etc

Archival repository is responsible to physically control the materials including:

arrange the transportation documenting the Find a suitable

for shipping purposes receipt of materials storage area
 INTELLECTUAL CONTROL

Intellectual control identifies What materials are held?

What subjects they deal with?

Where they are located?

e.g. Finding aids – accession registers, guides to holdings etc

IMPORTANT STEPS IN ACCESSIONING

Preliminary sorting of the accession

(precursor to arrangement and
description)
Record all the selected
accession into accession
register

Providing
storage for new
accession

Accessioning may involves these

three important steps
 THE ACCESSIONS
OVERVIEW SSTEM
OF ACCESSIONING
Time frame for surveying Include in archives
and appraising process program

Prescribed standard or policy

Archives Institution
responsible Acquisition plan
Mission statement

Outside sources
Materials/ accession Transfer Records administration
Creating agency
TYPES OF ARCHIVAL
ACCESSIONING AGENCIES
DOCUMENTATION
Accession number

Information about provenance

Information about materials
(content, format, covering date,
physical type, physical condition,
Quantity, etc)

Conditions of deposit or
access restrictions (if any)

Information about the circumstances of the transfer

• Responsible organization/ individual
• Responsible archives institution
• Date of transfer
PROCESSING ACCESSION

ACCESSIONING PROCEDURES

Do preliminary survey by identifying the

nature and where about of materials

Examine the list of materials before

decided to accept the transfer

Carry out records appraisal process based

on standard disposal policy

Use standard consignment

box to pack the materials
Prepare relevant medium
to accession/ receive
different format
TRANSFER PROCEDURES ARE IMPORTANT TO
ASSIST THE ARCHIVIST TO MANAGE HIS/ HER
HOLDING EFFICIENTLY FOR THE PURPOSE OF
STORAGE AND RETRIEVAL.
 PRELIMINARY SURVEY

Check the number of box received and should

corresponds to transfer list

Check the addition of series

Existing accession/ accrual New accession

Check the documentation Identify the provenance

to identify the relevant
series
Check the physical format
and physical condition of
the materials

Identify the covering dates

ANALYSING MATERIAL TO DETERMINE PROVENANCE
Organization or individual who are created, received or accumulated the records
either by writing them or receiving hem in the conduct of business

Provide services to its Collect archives from variety of sources

parent organization (Individual or organization)
In house archives PROVENANCE Collecting archives

More structured Impossible to carry

process out structured
Routine activity accessioning activity

Infrequently activity
Can be unexpected
transfers if come from Unexpected transfers
branches or unplanned
accessioning
Requires active cooperation
with other records creating
unit, division or department
 PHYSICAL FORMAT AND CONDITION
Archivist should identify Archivist should observe and
the materials and give examine any materials that
appropriate terms such as need to be preserved by
minute meeting, audio noting any possible
tapes etc. conservation action.

Archivist should records any

observation to quantify the future
Immediate dispose the arrangement and description such
materials if both as paper records in box 1 is a same
depositor and archives collection of series with box 11 or
are agreed (e.g. archives audiotapes in boxes 6 is unsorted.
affected by mould).

Archivist should records

any information attach
with the materials before
dispose of any original
packaging material.
 ACCESSIONING RECORDS FROM GOVERNMENT
AGENCIES
TRANSFER
1. Arranging them: Putting files, volumes, bundles or papers into an
intelligible order that facilitates retrieval.

2. Physically protecting them: Making sure that all components of

consignment are tidy and properly packed in their folders or containers. All
ferrous clips and treasury tags should be removed and plastic or brass tags
and clips used to replace them.
 PREPARING ARCHIVAL MATERIALS FOR
TRANSFER (CONTINUE)

3. Describing them: Transfers to the Archives should be accompanied by their

transfer list, or they should be described on the Archives accessions form. This
description is necessarily brief but allows the materials to be brought under control
from the beginning.

In all cases, both transferring agency and the Archives must record exactly what has
been transferred, and the Archives must also record what has been done to the
archives.

Tajuk Upacara Pengisytiharan Kemerdekaan; 31.08.1957

Deskripsi Ketibaan Perdana Menteri, Tunku Abdul Rahman Putra di Stadium Merdeka untuk upacara Pengisytiharan
Kemerdekaan, 31/8/1957. G.401/32 (N.29/80)

Lokasi IBU PEJABAT

No.Penerimaan /
2001/0022979
No.Rujukan

Sumber ARKIB NEGARA MALAYSIA, JABATAN

 ACCESSION FORM AND ACCESSION
REGISTER
• There should be an accessions form for each accession that comes into the
Archives, whether it comes from the records center, direct from a government
agency or from a non- Government source.

• There should be a separate accessions form for each accession into

each series.

• As soon as the accessions form is signed, the Archives assumes responsibility for
the custody, preservation and use of the material in accordance with the
provisions of the relevant archival legislations and the regulations and the
procedures of the Archives.
 ACCESSION FORM AND ACCESSION
REGISTER (CONTINUE)

Accession form

All transfer of materials to the archival institution should be recorded

in accession form
There should be an accessions form for each accession that comes into
the archival institution, whether it comes from the RC, direct from
government agency of from non-government source. Each proposal
to transfer records and all subsequent actions should be entered on
an accessions form.
If the archives arrive from an external source the repository
department staff cannot complete an analysis of their contents
before accessioning, they should complete an accessions form for
the whole consignment, giving enough information to identify the
materials and distinguish them from others.
 ACCESSION FORM AND ACCESSION
REGISTER (CONTINUE)

Accession form 9 (CONTINUE)

There should be a separate accessions form for each accrual to a

series and for each new series
As soon as the accessions form is signed by an authorized
representative of the archival institution, that institution
assumes responsibility for the custody, preservation and use of
the materials, which must now be treated in accordance with
provisions of relevant archival legislation and the institution’s
regulations and procedures
 Archives Accession Form
Accession Number: Depositor:
Transferring Agency:
Is this a transfer from the records centre? Yes  No 

Covering Dates:
Will more items be added to this series? Yes  No 
Quantity (number of items or boxes):
Physical Type (files, volumes etc..):
Physical Condition (note any problems):
Can Records be Opened After [statutory closed period]? (Specify any items to be
opened earlier or later)
Further Information (note any items missing or retained, or containing special
materials such as photographs, maps, coins and so on. Note here any special
conditions of transfer applying to records from external sources):
Proposed for transfer to Archival Institution by
Name:
Position (of representative of agency/depositor/records centre):
Date:
Accepted for transfer to Archival Institution by
Name: Position:
Signature: Date:
 ACCESSION FORM AND ACCESSION
REGISTER (CONTINUE)

Accession register

The accession register is a formal document that records the archival

repository’s acceptance of responsibility
It documents transfer of custody of the archives to the archival
institution.
The AR contains the following information:
 Accession number
 Date received
 Details of archives
 Source (transferring agency or depositor)
 Archival references
 Remarks
 Date action completed
 ACCESSION FORM AND ACCESSION
REGISTER (CONTINUE)

Accession register
The date when any action an accession has been completed so that an
accurate picture of outstanding work can be obtained at any time
The ACTION COMPLETED column in the AR should not be signed off
until all action on an accession has been done.
The accessions register must be labeled clearly and kept securely. When
an accessions register is full, it should be accessioned for permanent
preservation as an archive itself.
A separate accession number should be allocated to each entry in the
accessions register. It should be in the form year/number, starting
again at ‘1’ each January. For example, the first accession in 1998
would be 1998/1, the second be 1998/2 and so on.
The accession register is directly connected to the accession form
 Archives Accession Register
Initials of
Accession Date Details of Records Archival Person
Source or Depositor Remarks
Number Received Received References Receiving
and Date

Figure : Archives Accession Register

 LEVELS OF ARRANGEMENT
• When archives are received by the repository; their original order and origins
should be identified. Archives are organized into levels according to the
principles of provenance and original order. The level of arrangement include
the institution, the fonds or group, the sub group, the series, the file unit and
the item.
IMPORTANT CONDITIONS TO BE CONSIDERED
IN AN ACCESSIONING PROCESS
CONDITION 1:
•An accession received from a records centre or directly from a creator agency may
consist of consignments (accruals) of materials that belong to an existing series
within the appropriate group or subgroup. When accruals come in, acquisition
procedures must ensure that they are linked to their proper series, not treated as
new series.

CONDITION 2:
•An accession may be composed of archives that belong to groups, subgroups or
series not already held. In this case, the archivist documents their receipt and
identifies them as new groups, subgroups or series.
IMPORTANT CONDITIONS TO BE CONSIDERED
IN AN ACCESSIONING PROCESS (CONTINUE)

CONDITION 3:
•Ideally, the accession will only consist of archives from one group or subgroup, but
it may include materials that belong to more than one series. This situation results
in considerable extra processing work for the archival repository. Procedures to
eliminate such accessions should be instituted wherever possible. Methods of
recording complicated accessions are dealt with below in the accessions form section
 STORAGE OF CLOSED ARCHIVES

• Special arrangement should be made for archives that are to be closed for
longer than the usual statutory period. Generally, wherever possible, such
items should be kept in a specially secure area of the repository. It is best to
treat items that contain pages or individual documents that are subject to
extended closure as a whole and to keep the whole item closed.

• A special label should be added to each such item to specify the year it will be
open, using the wording ‘Closed until’. An additional label should be fixed to
the box or bundle to indicate that it contains items closed for longer than the
normal statutory period and how long the closure is.
 STORAGE OF CLASSIFIED ARCHIVES

• If the accession contains items that are classified or a particularly sensitive, they
should be placed in a specially secure area in the repository.

• This area is usually designated the strong-room. In order to be able to find such
items the Archives should adopt the following methods:

 Make a separate entry for the items in the location register.

 Insert dummies in a place of the items, directing staff towards their
location within the secure storage area.
 RECEIVING ARCHIVAL MATERIALS
• Material arriving from sources within the organization should be prepared by the records
center or transferring agency in accordance with current standards.
• If materials are coming from the RECORDS CENTER, the following preparatory work
should be done on them by RECORDS CENTER STAFF:
1. appraisal and selection for transfer according to the disposal schedule.
2. cleaning and tidying
3. removal of ferrous pins, clips, staples, treasury tags, etc., which might rust and
damage the records, and their replacement by a non-ferrous metal, such as
brass, or plastic.
4. insertion of dummies to replace materials that have been selected for transfer
but are missing or have been lawfully retained by the transferring agency.
5. labeling items with necessary identifying information.
6. boxing.
7. listing (at least a summary list, giving the original agency file number and title
and the covering dates).
8. completion of an accessions form.
RECEIVING ARCHIVAL MATERIALS (CONTINUE)

Preparatory work carried out by

RECORDS CENTER STAFF
RECEIVING ARCHIVAL MATERIALS (CONTINUE)

• The records center supervisor will send the summary list, transfer list and
accessions form to the repository ahead of the records and will arrange a
convenient date for delivery.

• If the material are coming directly from a creating agency, rather than the
records center, the same preparatory work should be done by records
management staff. The officer organizing the transfer should liaise with the
repository about the date and time of delivery.
RECEIVING ARCHIVAL MATERIALS (CONTINUE)

• Archives coming from an external sources or private individual may not have
been organized or listed prior to their receipt in the repository. In such a case,
repository staff must make sure that the materials are appraised and the
physical preparation is done before anything is placed in the repository.

• As soon as any archives arrive at the ARCHIVES, REPOSITORY STAFF OF

ARCHIVES should take the following action:
1. check the archives for signs of insect infestation or mold, and notify preservation
department if they need treatment before coming with other, unaffected,
accessions.
2. complete an accessions form, if one has not already been completed, and
obtain a signature from a representative of the agency sending the archives.
3. make an entry in the accessions register identifying the new accession.
RECEIVING ARCHIVAL MATERIALS (CONTINUE)

4. acknowledge receipt of the accession so that the transferring agency has a

record of the transfer.

5. check that the archives are properly labeled.

6. place the records in a secure temporary storage area set aside for new
accessions.

7. check the records against the accessions form, transfer list and/or summary list
to make sure that the paperwork does refer to these materials and that all
items have been included
RECEIVING ARCHIVAL MATERIALS (CONTINUE)

Actions taken by ARCHIVIST in receiving archival

materials

7. Accession
form =
6. Transfer list/
Placement summary
5. Properly of records list
labeled
4.
Acknowled
3. Make an ge receipt
entry
2. Complete
an
1. Check the accessions
archives form
 PROCESSIONG ACCESSIONS

The process of accessioning involves arranging the materials into appropriate

groups, subgroups (where appropriate) and series and allocating to them a
reference code so they can be controlled at all stages

Archival reference code: the archival reference code is the combination of

letters and numbers allocated to groups, series and items in order to identify and
control the materials

•archival codes can help the institution control & retrieve the holdings
•these codes should be allocated & written on labels as early as possible in the
process of accessioning
 PROCESSIONG ACCESSIONS (CONTINUE)

• When materials are being

accessioned, the repository will decide
if they should be added to an
EXISTING SERIES or placed in a
NEW SERIES.

• The archives series register is the

master records of the groups, series
and items of records held in the
archives. This register should be
updated with information about each
new group of series of records
received
 PROCESSIONG ACCESSIONS (CONTINUE)

• If an accession consists of a new series, the repository should allocated the next
available series numbered within the group or subgroup and enter the details in
the archives series register.

• If the materials are being added to an existing series, the first file should be given
the next available number. This number is obtained from the archive series
register, which is then updated to show the new last number.

• A list should be created for each series of archives in the Archives. This list serves
both as an inventory for repository control and as tool to help users find the
archival references for files or items they wish to see.
 PROCESSIONG ACCESSIONS (CONTINUE)

• Ideally, the records center or creating agency would have prepared a summary
list of records, giving the original agency file number and title and the covering
dates of each item, before the records were transferred. In this case, the staff at
the Archives should:

 check the list to see if it serves as an adequate archival finding aid.

 make any necessary improvement.
 add archival references if necessary.
 label the items with their archival reference if necessary.
 add the archival references to the accessions form and register.
 PROCESSIONG ACCESSIONS (CONTINUE)

If no summary list has been prepared by the transferring agency; Archives staff
should:

1. prepare the archives physically.

2. list the archives with archival reference codes and agency file numbers.
3. label the materials with their archival reference and covering dates.
4. add the ‘closed until’ label if necessary.
5. box the items and label the boxes.
6. add the archival reference to the accessions form and register.
 PROCESSIONG ACCESSIONS (CONTINUE)

• Staff should arrange for the final list to be typed, proofread and corrected. The
master copy should be kept securely. Copies should be made and distributed to:
 the search room, for the public reference.
 the responsible creating agency.
 Archives staff to serve as a working and reference copy.

• Staff should up date the archives series register as necessary. They will prepare a
description on the series if it is a new one or emend the existing description if
necessary. Any new information must be added to all copies in current use so
they are up date.
 STORING NEW ACCESSIONS

It is fundamental to archives
administration that all materials
accessioned should be moved into
secure accommodation that
supports their preservation and
use as soon as possible.

Once the archive have been

cleaned, labeled, listed, boxed
and checked, they are ready to be
moved to storage.

Most archives easily fit into

standard storage containers.
Boxing involves packing them,
neither too tightly nor too loosely,
and labeling the boxes with
archival references.
 STORING NEW ACCESSIONS (CONTINUE)

• Records are usually stored by series. Under this arrangement, the whole of a
series should be stored together if possible.

• (IT IS RARELY POSSIBLE TO STORE ALL THE SERIES IN ONE GROUP

TOGETHER.)

• Sometimes it is not practicable to store the whole of a series in one location. If it is

not, the series may be split between more than one location.
 IDENTIFYING THE LOCATION OF
RECORDS
• When the material have been placed in the
repository for storage, their LOCATION should be
entered in the LOCATION REGISTER and the
repository floor plan should be updated to show
that the shelves are no longer free.

• Once the materials have been placed in the

repository and entered in the location register and
a list has been completed, the main processing of
the accession is complete.
 COMPLETING AN ACCESSION
• The final in the accessioning process to ensure that all procedures have been
carried out and that all documentation is complete.

• When all the above action has been completed, appropriate repository staff
should sign the back of the accessions form. The person should then arrange for
the accessions form to be copied and dispatched to the agency responsible for
the records or the depositor in the case of external records.

• The accessions form should be filed with the other accessions forms, arranged by
group and series number. This file constitutes a record of all materials held, in
archival reference order.
RECEIVING RECORDS FROM EXTERNAL
SOURCES
• The Archive’s involvement with the acquisition of records from external bodies
is dictated by the provisions of the relevant legislation or policies, the mission
statement of the Archives and any associated regulations.

• The aim of the legislation and regulation is to ensure that archives of value to
society are preserved and to ensure suitable research facilities are provided for
their use.

• Creators of records may choose to deposit their records in the Archives, which
means they may retain ownership of the records or keep some control over
their use.

Deposit: A deposit is
• The placing of documents in the custody of the archives WITHOUT
TRANSFER OF LEGAL TITLE, or
• The document covered by a single deposit
RECEIVING RECORDS FROM EXTERNAL
SOURCES
There are TWO PHASES to the accession process when accessioning materials
from external sources.

1.Identifying the nature and whereabouts of the materials. This phase may involve
initial planning, followed by some research and a program of surveys. It concludes
with visits to the site and the negotiation of conditions for the transfer.
2.Preparing the materials for transfer. This phase may involve arranging and
describing the materials, cleaning them and carrying out physical preparation,
boxing or packing.

1. Identifying the archives

2. Preparing the materials

 RECEIVING RECORDS FROM EXTERNAL
SOURCES (CONTINUE)

• If the records being considered are actually copies of originals held by other
repositories, the Archives must also ensure that all the terms and conditions
above are confirmed not only with donor but also with the other repositories.

• The Archives is encouraged to acquire full ownership of records whenever

possible.

• In order to enable the archives to administer the materials in its custody, the
director of Archives or his/her delegate needs to negotiate terms and conditions
of deposit with depositors.

• These terms and conditions should be set out on the accession form or in a
separate agreement signed by the depositor and the Archives.
RECEIVING RECORDS FROM EXTERNAL
SOURCES (CONTINUE)

These terms and conditions should address the following issues:

• Is ownership of the materials to remain with the depositor or is it

OWNERSHIP to be transferred to the Archives?

• Will appraisal be done or after transfer, who has authority for

APPRAISAL the final appraisal decisions; and what will be done with
materials not considered worthy of permanent preservation?

• What level of public access will be provided to the Archives, and

PUBLIC ACCESS will any restrictions will be imposed?

• Will copies may be provided for researchers; who retains

COPIES copyright and who may authorize publications?

• Who will have authority over the use and publication of finding
AUTHORITY aids, including copyright?

• May the archives be used in exhibitions and under what

EXHIBITIONS conditions?
 RECEIVING RECORDS FROM EXTERNAL
SOURCES (CONTINUE)

• The Archives should also consider whether it is possible

or necessary to make an arrangement with the donor
concerning compensation from processing costs should
the donor choose to withdraw the materials from the
Archives
 ACCESSIONING COPIES
• It is often part of the program of an
Archives to acquire copies of original
archival materials held elsewhere.

• Copies are usually sought where the

materials contain vital information
pertaining to the nation that the
Archives seek to document from
original sources.

• Microfilm and other copies of original

archives held by other repositories
should be accessioned in the same way
as originals.
 ACCESSIONING COPIES (CONTINUE)

• Staff should set up a specific group to contain these copies. Series and item
numbers can then take place in the same way as accruals to groups and series
of original archives. For example:

 AX1 Copies of archives from PRO (Public Record’s Office).

 AX2 Copies of archives from the Oxford University Archives.

• These materials should be listed and described to the Archives, clearly identified
as copies
ACCESSIONING COPIES (CONTINUE)

Register of Copies of Archives

Group:
Reference
Type of Copy and
Number of Item Number Location
Copy Number
Originals
 ACCESSIONING COPIES (CONTINUE)

The register of copies details or copies made of archives in each group. Information
is it the following columns:

• Archival reference (of the originals)

• Film number (each reel should be given a simple running number

within the series.

• Type of copy (microfilm, photographic negative)

• Location
 ACCESSIONING LIBRARY MATERIALS

In some countries, the Archives, particularly the National Archives, is also a

repository for published material, deposited in accordance with legislation and
policy.

In other cases, the institution regularly receives copies and are to be

recommended. However, such materials are managed separately from archives.
ACCESSIONING LIBRARY MATERIALS
(CONTINUE)

• Printed or published materials used as part of

the records during their active and semi-active
stages should be treated as part of the archives,
if they are selected for permanent preservation.
• Materials that is not part of the registry or
records management arrangements,
particularly series of publications not created by
government agency that holds the records but
acquired from other sources, should be treated
as library material.
• It is of legal requirement and/or common
practice for annual reports of various
departments in the organization to be acquired
by the Archives, even though they may be
published. Researches frequently use these in
conjunction with contemporary archives.
 FACULTY OF INFORMATION MANAGEMENT
IMR 455: ARCHIVES ADMINISTRATION

Chapter 8 has discussed the process of transferring records into the custody of the Archives from
their initial identification until their final placement in the repository. This topic has covered the
following topics

• The accessions system.

• Receiving archival material.
• Processing accessions.
• Accessioning material from non-government sources.
• Receiving records from non-government sources.
• Accessioning copies.
 FACULTY OF INFORMATION MANAGEMENT
IMR 455: ARCHIVES ADMINISTRATION

References

Bradsher, J. G. (1989). Managing archives and archival institutions. Chicago: University

of Chicago Press.
Carolin, W. (2006). Managing archives foundations, principles and practice. Oxford Chandos
Publishing
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.The accession register is directly connected to the accession form

2.All transfer of materials to the archival institution should be recorded in

production form
 FACULTY OF INFORMATION MANAGEMENT
IMR 455: ARCHIVES ADMINISTRATION

Quizzes

1. What are the issues should be addressed in terms and conditions of receiving
records form external sources?

2.Explain the Actions should be taken by archivist in receiving archival materials

 FACULTY OF INFORMATION MANAGEMENT
IMR 455: ARCHIVES ADMINISTRATION

Quizzes

Fill in the blanks.

1.________________________is the act and procedures involved in transfer of legal title

and taking records or papers into the physical custody of an archival agency,
records center or manuscript repository.

2.________________________ is a formal document that records the archival

repository’s acceptance of responsibility.