Documentation Basics:
A Guide to Planning and Managing
Documentation Projects
by John W. Suter
2003
A publication of the New York State Archives (a program of the State Education Department)
and the New York State Historical Records Advisory Board
Publication Number 79
Copyright 2003 State Archives, State Education Department
Why is documentation important?
Why might you undertake documentation work?
SUMMARY of the Documentation Process
Select the Topic, and Plan and Publicize the Project
Select, define, and research the documentation topic
Publicize the documentation effort
Identify Stakeholders and Participants
Work with stakeholders: create an advisory committee
Identify and assign project personnel
Develop and test the survey instrument
Make the information available
Survey follow-up: cultivate future donors of records
Find the Right Home for Historically Valuable Records
For a historical records repository or an institution with its own archives
For an organization without its own archives
Determine Which Records to Save
Appraisal: Decide what to save
Negotiate the donation and transfer of records
Publicize the availability of the records
Keys to a successful documentation project
For More Information and Assistance
Appendix A: New York Documentation Topics Framework (Abridged)
Appendix B: Using a Documentation Guide to Decide What to Collect
Appendix C: Criteria for Prioritizing Topics and Subtopics
Appendix D: Extent and Distribution of Archival Description
Appendix E: Records Management
Appendix F: Sample Forms and Documents
Appendix G: Programs and Services of the New York State Archives
Appendix H: Resources for Documentation in Print and on the Internet
New Yorkers value their heritage. New Yorkers neglect their heritage. Each of these statements is true—and therein lies the challenge.
Diaries of a farm woman, account books from a hardware store, minutes of a local zoning board, an oral interview with a traditional Mohawk basket maker, photos of a Puerto Rican baseball team, and the membership rolls of a Black Baptist church—these are some of the ways New Yorkers preserve their history, their culture, and their collective memory…
More than 2,500 historical societies, libraries, archives, museums, and other organizations in New York State have endeavored to preserve this heritage…Yet many serious issues remain to be addressed. There are significant gaps in our historical documentation, leaving important industries, events, people, cultures, and organizations virtually undocumented, and therefore unknowable for the future…New York’s historical records can and should become an enduring resource for generations to come.
(from Ensuring a Future for Our Past, the ten-year strategic plan for historical records in New York State, published in 1998 by the Governor’s New York State Historical Records Advisory Board)
These lines lay out a challenge for the people and organizations of New York. This manual is part of the State Archives’ answer to that challenge. It is a tool that can help people and organizations think about, plan, and conduct projects that enhance New York’s historical record. Community by community, topic by topic, documentation projects can build a more comprehensive and balanced record of all New York’s peoples and their history.
History starts today!
We tend to think of history as something that stretches back into the past, beginning fifty or a hundred years ago. But history begins each day, each moment. Although historians may not write about today’s events for a few years, the documents on which they will base their accounts are being created every day. Therefore, it is critical that we save our historical legacy right now.
Documentation Basics is written for people in New York who want to learn about the documentation process and how to carry out documentation projects. Most users will fall into two broad groups:
People will bring to this manual varying degrees of knowledge and experience, different perspectives, and diverse needs for information and guidance. Therefore, we urge you to look through the table of contents and go directly to the sections that most interest you. Read the manual straight through if you want the full picture in the order in which we conceived it, or jump around between topics, following your own logic, questions, and trains of thought. You will find a “Glossary of Terms” in Appendix I, beginning on page 73.
Documentation may also involve creating new records to provide context for existing ones or to fill gaps in the historical record. For example, an oral history interview might be recorded to fill in or complete a set of someone’s family papers or an organization’s records. Similarly, photographs of an individual or a building, or a videotape of a community event, may flesh out information on paper, or it may help tell a part of the story that isn’t reflected in the records. Although this manual does not address this aspect of documentation (which cannot be funded by State Archives grants), creating new records might be a component of your project. (Resources on oral history are available on the Web.)" Documentation is the process of identifying, collecting, and making publicly available existing records, such as correspondence, computer files, photographs, etc., that are of enduring historical value. (“Documentation” can also refer to the records themselves—the papers, photographs, etc.—but to avoid confusion, in this manual we use the term only to refer to the process.)
Why is documentation important?
Yet the records of many significant groups and topics are seriously under-represented in New York’s historical records repositories. These include:
Documentation identifies and makes accessible unique records that reveal details of history, evidence that confirms or challenges our beliefs about the past, and narratives and images that bring a human perspective to issues of public policy or large historical events. For example:
Why might you undertake documentation work?
The purpose of documentation is to identify and ensure the systematic preservation of papers and other records that provide information about people, groups, events, and changing political, economic, or social conditions. A documentation project seeks to contribute to the building of a comprehensive and equitable historical record by making unique, original source materials available to researchers and citizens. These materials enable us to better understand the present and to plan more intelligently for the future.
Any organization with an interest in documenting a population group or topic can sponsor a documentation project. The initiative for documentation work generally arises from either repositories that collect records or organizations that generate them.
Historical records repositories
Since the missions of many repositories pertain directly and explicitly to historical records, they are most likely to initiate documentation projects. Repositories range from large educational institutions, corporations, or governments that have archives to small non-profit community organizations. Some examples:
Organizations that generate records
Working with historical records is usually not part of the mission of records-creating organizations, so they are less likely to initiate projects. However, as organizations come to see the historical importance of their accomplishments and the value of preserving their stories, more are becoming active in documentation. Documentation projects may be initiated by
If you represent an organization that generates records that are likely to be historically valuable, your first step might be to contact your Documentary Heritage Program (DHP) Regional Archivist (see “Documentary Heritage Program—Technical Assistance,” page 38). The archivist may be able, through a free consultation, to help you learn about the likely value of your records, the options available for preserving them, and the process of making them available for research. (See also “Find the Right Home for Historically Valuable Records,” page 27).
Partners in documentation
Documentation nearly always involves a partnership between the entity that creates the records and the organization that will care for them and make them available. The partnerships can be initiated and structured in various ways:
When two or more repositories are involved, it is important that they come to agreement regarding which groups of records should go to which repository, based on mission, location, resources, user clientele, or other factors. It is essential that the organization that initiates a project commit the necessary support and encouragement to carry out the project, and that repositories that collect the records commit to their ongoing care and accessibility.
The field of archives and historical records, like other fields, has developed a specialized vocabulary that invests common words with specific technical meanings. You will find a glossary of such terms in Appendix I, beginning on page 73. A few fundamental concepts, however, are central to understanding documentation; these are explained in more detail below.
Record
A record is information in any format created by an organization or received in the formal operation of its responsibilities. The term also includes recorded information created or held by individuals in the course of their daily lives.
Records are found in a wide range of formats, including paper, photographs and slides, motion picture film, audio- and videotape, and computer files.
Records are by-products of what we do as individuals and groups involved in life activities. We create a record to assist with administration, to help us remember something later, to persuade or inform others; we don’t usually create a record to contribute to history. For example:
Historical record
A historical record contains information that will have enduring value. Most historical records are no longer needed for their original purpose, and the person or organization that created them rarely, if ever, needs to consult them. For example, correspondence between the president of an advocacy organization and key legislators discussing the organization’s and legislators’ positions on an upcoming bill was written to influence legislation. A year later, their primary purpose fulfilled, some items may be consulted only occasionally. In a few years, the correspondence may be forgotten altogether, but it may have long-term historical significance and be worth saving. (For more information, see “Determine Which Records to Save” on page 29). Some records, however, are both permanently active and historical (for example, an organization’s articles of incorporation or charter, which will be needed periodically throughout the life of the organization).
Note: Most records (the usual estimate is 95%) are not historically valuable. You can schedule these for recycling when they are no longer needed (see Appendix E, “Records Management,” page 46, for more information).
Many kinds of records may have important historical value:
Three-dimensional artifacts may also tell important parts of the story, and much of the information in this manual will be useful to those planning to collect such objects. Our focus, however, is archival documentation. Organizations in New York State that are committed to collecting artifacts may want to consult with one of the following organizations or other museum professionals for guidance: Museum Association of New York State Lower Hudson Conference of Historical Agencies Upstate History Alliance Western New York Alliance of Historical Associations (For contact information, see www.nysmuseums.org.)
Groups of records: archives, manuscripts, series
Archives (the records of an organization) and manuscripts (generally the papers of an individual or family) are most commonly and most appropriately managed and described at an aggregate level. That is, they are kept and described in the same groupings that were created by the person or organization responsible for the records. Sometimes, when the group of organizational archives or personal papers is small or homogeneous enough, a single description of the records as a whole will suffice. Larger or more diverse groups of organizational records and manuscripts, however, are described based on the groupings, or series, created by the organization or individual. The records of a business or organization—an arts organization, for example—might contain several series, such as newsletters, program files, board minutes, annual reports, personnel records, financial records, and so on. Similarly, the papers of an individual, also referred to as a manuscript group, might contain series containing personal correspondence, diaries, journals, or unpublished writings, files related to organizations in which the person was active, and so on.
SUMMARY of the Documentation Process
Now we move from learning what documentation is, who is involved in it, why it is important, and some central concepts, to a discussion of the process itself—how to carry out the work of documentation. The table below summarizes the steps involved. They are described in detail in the sections that follow.
| The Documentation Process at a Glance |
|---|
|
Select the Topic, Plan and Publicize the Project
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Identify Stakeholders and Participants
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Survey the Records
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Find the Right Homes For Historically Valuable Records
|
Determine Which Records to Save
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Make the Records Available
|
Select the Topic, Plan and Publicize the Project
Select, define, and research the documentation topic
The first step in documentation is to identify a potential group or topic and find the answers to several questions about the topic:
Collecting Policy Every archives, historical society, museum, or other organization that collects historical records should have an acquisitions or collecting policy. An effective policy will state explicitly and in detail the topics that are the focus of collecting, so that the archivist or curator has a basis upon which to make decisions regarding what to accept and what not to accept, what to seek out and what to ignore. (For more information and sample acquisition policies, see Strengthening New York’s Historical Records Programs: A Self-Study Guide listed in Appendix H under “Publications in Print.”)
The following steps will help you answer these questions:
Planning for a documentation project is an ongoing process, because the details of each phase of the project depend on the results of the previous phase. The planning process began when you first sat down to talk about documentation with a colleague or two and jotted down some ideas. It probably took formal written form for the first time as a grant proposal for funding or a presentation to a director or board of directors. It would have included at least an introduction to the topic, a basic outline of the documentation process, and a rudimentary work plan—perhaps with this manual as your guide. But depending on your degree of familiarity with the topic, the organizations and individuals active in it, and the kinds and quantities of relevant records that may exist, this first plan may contain little detail and leave lots of questions unanswered.
For more detailed guidance in planning your documentation efforts, see A Manual for Documentation Planning in New York State, available from the State Archives. Although its focus is on planning for documentation at the statewide and regional levels, much of the information is applicable to local documentation projects. The State Archives has also published guides to documentation in the areas of mental health, environmental affairs, and Latino/ Hispanic history and culture. If your topic is related to one of these areas, be sure to obtain the relevant guide. (See “Resources for Documenta-tion in Print and on the Internet,” Appendix H, page 69.)
At this point you have identified, researched, and refined your topic, and you have consulted, at least informally, with knowledgeable people. You may have begun to develop a contact list and establish relationships with important stakeholders. You should now be in a position to develop a more complete and realistic project plan. This manual describes the basic elements of the documentation process (summarized in the table on page 9) and raises some of the issues and decisions that you will need to consider along the way. You may now be able to determine some parts of the plan in detail; others will require fleshing out or revision as the project unfolds.
The elements of the documentation process are presented in this manual in logical order, but they are not always carried out in strictly chronological order. For example, your repository may already be working with an organization whose records you would like to collect, at the same time that you are defining your topic. Similarly, your community organization, which intends to document the community’s history, may be negotiating with potential repositories before you have even begun to identify the organizations and individuals that may have records to donate. In fact, you may need to do preliminary work on all the elements to sell the project to your agency, your partners, or your funders.
Components of the plan (See “Sample Project Plan,” Appendix F, page 47.)
The project plan has several components. Depending on when during the project the plan is written, some of these components may be fully developed, while others may be only projections. They include:
Organize the project into manageable phases
Documentation is a process that begins with selecting a topic and ends when records have been preserved and made available to the public for use. As you will see, a documentation project entails careful planning and a number of steps, many of which involve building relationships with stakeholders and gaining their trust and active participation. The process often takes more time than one might expect. If the organization conducting the project already has extensive contacts and relationships with the main stakeholders in the topic area, the process may move quickly. If the topic is broad, the number of potential records holders is large, and the stakeholder community is new to the lead organization, the process may take significantly longer. For an organization new to documentation or new to the topic area, it often works best to select a narrow topic and expand it later if time and resources permit.
For example, as a general rule, allow at least two years for a survey project. It is always a good idea to conceive and organize the project into manageable segments or phases. The following outline offers a typical and recommended approach:
Publicize the documentation effort
Documentation work is important, but very few people even know that the process exists. Publicizing your documentation efforts well is an important part of the project and can further several important goals:
There are many ways to draw public attention to your project, several of which overlap with the activities involved in building your contact list (see page 17). The list below begins with common steps that announce your project to a broad public audience. Your advisory committee may be able to provide names of organizations, newsletters, radio stations, etc. used by your target group, and they may know other ways to spread the word.
Remember that publicity is not something you undertake once in a project. It should be an ongoing aspect of the work, marking milestones in the project, reaching new stakeholders, and keeping the public and your stakeholder groups aware of what you’re doing so they stay interested and supportive.
Identify Stakeholders and Participants
Work with stakeholders: create an advisory committee
A successful documentation project depends on the active engagement of stakeholders—the range of people and groups to whom the project and its outcome will matter. The advisory committee is the most important vehicle of such engagement.
The ultimate goal of the documentation project is to make historically valuable records about your topic available to people for use. This means that many people who have a stake in the topic and may have devoted their lives to it will have to give up, often to another organization and to public view, records that are very important to them.
If your topic is a population group, say the Latino communities in your county, a major stakeholder group will be members of those communities and should represent the range of constituencies within them. Other stakeholders will include scholars, policy makers, businesses, health and social services agencies, cultural organizations, and others that serve or interact with the Latino community. If the topic is defined by a subject or kind of activity—for example, the arts, or business, or mental health— the stakeholders will include experts in the topic, people working in the organizations associated with it, the people served by the organizations, people who make or influence policy in the area, and so on.
Be sensitive to community issues and community dynamics
It is important to remember that any community of stakeholders is really several communities—sub-groups, factions, or constituencies—which may have complex relationships among themselves. If the staff carrying out the documentation project are not members of that community or are not privy to its subdivisions and internal dynamics, they will need guidance from people who are. Moreover, the quest for a balanced historical record entails a conscientious effort to document the internal diversity of communities—both significant sub-groups and contrasting viewpoints.
Equally important, the stakeholder community will likely share values, concerns, customs, distinctive language, and ways of looking at the world, or at least at the topic, of which an outsider may not be aware. Identifying a few people from the stakeholder community who can guide you through these cultural, social, and political thickets can help the project go smoothly and avoid pitfalls.
Who should serve on your advisory committee?
The advisory committee needs to be large enough to include people who represent and can provide entrée into the key stakeholder communities, but it should not be too large to work effectively as a group. Eight to fifteen people is a good size. It should include people knowledgeable about the topic, its current dynamics and history, and archives. The committee can include
Be sure to discuss with potential advisory committee members the nature of their roles and how much of their time you expect their work will take.
What does the advisory committee do?
The advisory committee should meet regularly throughout the project to
Identify and assign project personnel
The advisory committee is important, but most members will be volunteers, and you can’t expect them to do the bulk of the work. You will need staff, including
Project director
The project director should be familiar with the topic or group being documented and be responsible for
Project archivist
The project archivist provides the records expertise and must work closely with the project director and advisory committee, particularly if he or she is not a member of the community being surveyed. When selecting the archivist:
The DHP office at the State Archives has a list of archival consultants who have experience with documentation projects.
Other staff
You may also need a community liaison, a translator or interpreter, survey workers, and/or clerical support.
The purpose of the project contact list is twofold:
Kinds of data to include in the contact list
Depending on your topic, you will want to think carefully about what kinds of information to collect about the people and organizations in your contact list, such as:
How to develop the list
You will be looking for individuals and organizations who are or have been involved in the topic or group being documented and have generated records, some of which are likely to have historical value. The research already done will have given you a sense of the overall history of the topic and some of the key players in that history.
Some of the steps suggested below will be more relevant than others, depending on your topic. As you go through this process, you will not only build the list; you will also publicize the project to people who are likely to care about it, and you will learn more about the topic itself and about the stakeholder communities.
Developing the contact list will probably begin informally. In your very first meetings, as you develop your topical focus, names of important organizations and individuals will come up in conversation. If your topic is narrow and the region is small, the contact list may be relatively short and obviously complete early in the project. If the topic is broad or the area large, the list may grow as you build your advisory committee. The resulting list can become an important asset to your organization for years to come.
Prioritize contacts: how much effort you expend to reach them
As you review your contact list, certain organizations and individuals are likely to stand out as particularly important. They may include the largest, oldest, or best-known organizations in the topic area. There may be an individual or group that is known to have exercised special leadership or was active during a seminal or critical event in the history of the topic. You may know of an organization that has kept particularly complete records. There may be a segment of the stakeholder community that is considered particularly significant historically or likely to be responsive to historical records issues. You may wish to make a special effort to reach these constituents through personal calls, site visits, follow-up calls, or invitations to visit your repository.
On the other hand, there may be other groups of stakeholders who you think may have some interest or relevant records but who may not warrant as much energy or attention. Some of these who receive the survey will respond with enthusiasm, others won’t. For these lower-priority constituents, it will be the recipients’ interest and initiative that determine the outcome.
Thus it is wise to prioritize your contact list and allocate your time and resources where you think they will be most productive.
The purpose of a survey is to locate records that are related to the topic of the project, learn basic information about them, and determine whether they have long-term historical value (whether they are archival).
By now you have identified, researched, and refined your topic, and formed an advisory committee. You have developed your contact list and established relationships, recruited and hired some or all of your staff, and begun to publicize the project. Before you launch the survey itself, it is important to summarize what you have learned and decided so far, think through in detail how you are going to carry out the survey, and draft a plan of work for this next phase. (See “Sample Survey Work Plan,” Appendix F, page 49.)
The work plan has several components. They include:
Current status of the project
Survey work plan
Considerations in developing your survey plan
Your capacity
The research and planning you have completed may have generated a potential project that is beyond the capacity of your organization and its resources. The survey plan needs to be created within a realistic context and set realistic goals.
Prioritize the survey: how in-depth should your survey of each group of records be?
For most organizations and individuals identified in the survey, a single survey form can be filled out for the whole grouping of records, from which the archivist can write a group-level description. If the group of records is particularly large, varied, or important enough, it may make sense to survey them in greater depth than is usually required. The person or organization holding the records may be able to do this with some advice from the archivist, but it’s more likely that the project archivist or a records surveyor on the project will need to make a site visit and survey the records in person.
You will probably not know before the initial survey forms are disseminated how many or which groups of records should receive this deeper level of survey, but advisory committee members may be able to identify some likely candidates. In any case, it is wise to budget time and funds to allow for some site visits for more in-depth surveying of especially important groups of records.
Timing
The timing of the project itself and of individual contacts can affect the success of the survey. If the main stakeholder group consists of organizations with regular business hours, then weekday meetings during working hours will be fine. However, if the topic is labor or an ethnic community in a city, for example, then many key leaders might not be able to take time off from day jobs, and you will have to schedule calls and meetings for evenings or weekends. If your target population includes many teachers or others tied to the academic calendar, you may want to time the project to avoid extremely busy periods or vacations. Religious or occupational groups may have similar calendar issues to consider.
Involve community members in the survey team
Members of some communities and groups may be reluctant to talk freely with outsiders, especially about matters related to their history or about records that might be considered sensitive. It is often important, therefore, to include members of such groups on the team that makes calls and conducts site visits. A community scholar or survey worker drawn from the community can be very helpful in this role, as can members of the advisory committee. During a site visit, the community member can visit with organizational representatives while the project archivist is surveying the records. It can be particularly helpful if someone involved in the project knows the contact personally and can facilitate communication.
Public accessibility of historical records
In planning the survey, especially the allocation of resources to fill out survey forms and write the archival descriptions, remember to give priority to records that the current owner wants to make publicly accessible for research. If an individual or an organization with valuable records is ready to donate the records to a repository or to create its own accessible repository, those records should be at the top of the list. If an organization isn’t “ready” yet, but understands the importance of accessibility and is considering donation at a later time, it’s certainly worth doing the survey. But if an individual intends to keep his or her records in private hands and to withhold them for the foreseeable future, it helps to know the records exist, but it does not make sense to devote scarce resources to surveying and describing them.
An important product of the survey project will be descriptions of the groups of records, following standard archival descriptive practices (see “Standardized Description” on page 25 and Appendix F, “Sample Forms and Documents,” page 47.) The extent of description done for a group of records should depend on the degree to which the owners are willing to make the records, and information about them, publicly accessible. For guidelines on making these decisions, see “Extent and Distribution of Archival Description,” (Appendix D, page 45.)
Even if records will remain in the current owner’s possession and information about them will not be publicly accessible, it is important to know that records of historical value exist. The organization conducting the documentation project can maintain contact with the records’ owners, and over time the owners may change their minds about allowing access. Cultivation of a potential donor of records can take years of patient contact, and knowing the records exist and where they are located is the necessary first step. However, given the importance of documenting historical records that can be made publicly accessible, funding agencies, such as the State Archives, will not support efforts to identify and describe records that won’t be made available within the foreseeable future.
Allow plenty of time
If you have done a thorough job working with your advisory committee, developing relationships with key stakeholders in the community, building your contact list, and publicizing the project, you should have a firm foundation for a successful survey. Even so, the process may take longer than you expect. You are asking people who are deeply engaged with a topic to tell you about the records related to the topic and about their involvement with them. You may be asking individuals to let allow or other project personnel to look through the records; in the long run, you are asking those individuals to donate their records to a publicly accessible repository. This requires a high degree of trust and confidence in the people surveying the records, in the organization directing the project, and especially in the repository that may eventually hold the records. Building such trust and confidence can take time. Conducting the survey can easily take a year, perhaps two or three years for a broad topic and many contacts. Survey forms may trickle in, sometimes followed by donated records, for several years after the formal end of the project.
Develop and test the survey instrument
This form is developed, usually by the project archivist, to gather significant details about groups of records held by organizations and individuals. Members of the advisory committee may also provide valuable input during the design of the instrument. (Sample documentation survey forms are included in Appendix F, on page 52.)
The survey form needs to be simple, easy to understand, and presented in a manner and through a medium with which members of the target audience are likely to be comfortable.
Major components of the survey form:
The structure the survey form will take depends in part on how the survey will be conducted—through one or a combination of the following media:
The way you conduct your survey is important and may strongly influence the results. For example, if your topic points you toward organizations that are likely to see the value of their history and therefore the value of your project, a mailed or e-mailed survey form with a cover letter may be quite adequate to produce a good response. At the other end of the spectrum, if your project wants to document the founding and evolution of an ethnic community in your county that includes recent immigrant populations, a mailed survey form with a cover letter in English will be unlikely to stimulate a positive response. You will need bilingual language forms, and you may need a member of the community to make initial phone calls and accompany the archivist on site visits. The design of the form and its medium of delivery need to be carefully thought out for each topic. Several factors should be taken into account:
Your advisory committee should be able to help you think through these issues.
It is important to test the form and its medium of delivery with a random or selected sample of project contacts during the planning phase. The testing phase can yield important feedback about the design of the form and the way it is delivered. For example, you may discover that a segment of people surveyed are uncomfortable talking on the phone, and that site visits might be more successful. Another segment may not want to take the time for a phone call or a visit but would be willing to complete a survey via e-mail. Be sure to test the survey process early enough to leave time for any necessary revisions.
Make initial contacts, explain the project, and disseminate the survey
In some instances, it may be possible to simply write a cover letter to accompany the survey form and send it out to the people on the contact list. But in most situations, it will work better to begin with a more focused, personal approach—a telephone call, an e-mail exchange, a group meeting—that allows the targeted individuals to hear directly about the project, ask questions, and agree to participate. It may be that different stakeholder groups within the contact list will need to be approached differently.
The advisory committee may be able to offer helpful advice in this area, and your experience testing the survey form may have provided valuable clues as to which approaches work best. In any case, the first step is to get the survey into the hands of people likely to have important historical records.
Often the people you contact may be surprised that you are interested in their papers and records, and it may be necessary to raise their awareness and interest as well. Try to indicate how important their papers may be and how they may reveal the organization’s or individual’s contributions to the history of the region and the state.
Be sure to discuss the question of accessibility with the records creators. They need to understand that the descriptions of the records, based on their survey forms, may become publicly available in print, on the web, and in online databases. The survey forms should include a field where the owner grants permission to make information about the records publicly available. (See “Public Accessibility of Historical Records,” page 21.)
Follow up with contacts to encourage participation
Most people lead busy lives, and dealing with the potentially valuable historical records they have lying around is unlikely to be at the top of their agenda. Therefore, if you are using a mailed survey, following up after people have received their survey forms may be an essential step in getting them to participate. A mail or e-mail reminder may work for some, but a phone call or visit is usually better.
Assist or participate in surveying records
People willing to participate in the survey may nevertheless be uncomfortable with the process and need some help. Project staff may be able to assist in several ways:
Rather than fill out the survey form directly, the surveyor may choose to take notes on the records first, then fill out the form based on the notes. (See “Sample survey form (filled out),” Appendix F, page 54.)
Offer advice on the care and retention of records
Some individuals and organizations may wish to retain and care for their own records—if not forever, at least for an extended period. You can help them by providing guidance on how to care for their records and by directing them to publications and resources for supplies. (See Appendix E, “Records Management,” page 46, and other State Archives’ resources on the topic, Appendix H, page 69.) Be sensitive to the fact that some records creators are more at ease with oral than written communication. You also may be able to guide them through the process of deciding whether to manage their own records or place them with a different organization or historical records repository.
Collect completed surveys
Depending on the size and scope of the survey and the characteristics of the groups surveyed, collecting the surveys may require some encouragement and reminders. You will need to set a deadline so you can move on to the next phase of the project. It is likely, however, that surveys will continue to come in after the deadline, perhaps for years to come. Since documentation is an ongoing process with a continuing commitment by the repository, these new survey forms can be integrated into your existing data and may alert you to important records available for collection.
It is not possible to collect everything that might be of possible interest in the future. Therefore, it is necessary to assess the likely historical value of records—to appraise them—before they become part of an archives’ holdings. Most appraisal takes place later in the documentation process (see “Determine Which Records to Save,” page 29), but it is important to make a preliminary assessment of the historical value of each group of records identified in a survey before making information about them available or deciding on the next steps. It may become clear during the survey process that some organizations contacted do not have historical records relevant to the topic, and thus there is no point in pursuing the relationship beyond a gracious letter or call to thank them for their participation. On the other hand, you may discover a group of organizational records or personal papers of unexpected size or significance that requires a more in-depth look by the archivist. The project may also identify significant records that are in immediate danger—stored in damaging conditions or at risk of being discarded.
Once the surveys are in hand or enough of them to begin assessing them:
Make the information available
Write archival descriptions based on the surveys
Once the surveys have been completed and collected and the project archivist has determined that certain records appear to be archival, he or she will write a description of each organization’s records or individual’s papers (“archival” means records that probably have historical value). There will usually be one description for each respondent to the survey. The description will relate, in general terms, what the group of records or manuscripts is about. In some cases, a site visit or a thorough survey form may reveal enough information to warrant writing a description for each records series held by the organization or individual, depending on the quantity of records, their importance, and your resources.
Standardized Description Descriptions should follow standard archival practice. A formal archival description contains numerical codes and a very specific format, but this degree of detail may not be necessary in creating the descriptive records from a survey project. The most important elements are that the right kinds of information are grouped together and in the right order, so that later on an archivist can enter the data into a standard format. (See “Description,” page 34, and “Sample Archival Summary Description Records” in Appendix F, beginning on page 58. For detailed information, see the State Archives publication Guidelines for Arrangement and Description of Archives and Manuscripts.)
Copies of the descriptive records should be sent to the State Archives where staff will add them to the New York State Historical Documents Inventory (HDI), an online resource available through Excelsior, the online catalog of the State Archives (www.archives.nysed.gov).
Privacy and Contact Information The archivist and project director will need to be careful about privacy and contact information. If records creators are keeping their records, make sure you have their written permission in advance to publicly describe their records, and make sure they agree to be contacted, directly or through you, by researchers interested in looking at their records. The description should clearly state any restrictions on access to the records and whom potential researchers should contact first.
Guides to Groups of Records and Manuscripts The project may include publication of guides to the records and manuscript groups surveyed—compilations of the archival descriptions—in printed form or on the Web.
It is important at the end of the project to prepare a final report or evaluation that:
Such a report may be required by the project’s funding agency, the organization’s director or board, or other interested parties. It can also be an important management and planning tool, and it can become, itself, a valuable historical record of an important project.
A successful survey project should yield the following outcomes:
See also “Products at the End of the Documentation Process,” page 35).
Survey follow-up: cultivate future donors of records
The documentation survey begins ongoing relationships between the repository and the organizations and individuals who have created the surveyed records. Some records creators may donate records to the repository, as a direct result of the project. These may be from an earlier period in the organization’s history, but if the organization or individual is still active in the field, they are probably generating new archival records regularly in the course of their work. If so, it might make sense for them to periodically donate records they no longer need to the repository.
Some people or organizations will keep their records—for now. But as individuals and organizations age and records pile up and become candidates for disposal, people may change their minds and later agree to part with records that document their history and their contributions to the field of activity. An occasional friendly follow-up call from the repository to such holders of records can keep the relationship alive and remind people about their records. When circumstances change—a move from an office or home, a change of organizational leadership, aging, or simply the desire to clean house—they may be ready to donate their records or to will them to the repository.
Cultivating such relationships can benefit the repository and donors or potential donors in other ways as well. People may choose to become engaged with the repository as users of records, volunteers, members, or financial supporters. Few organizations will have the time or resources to follow up consistently with all participants in a survey project, but a selective relationship-building program can reap important benefits for the repository—and for the historical record in New York.
Find the Right Home for Historically Valuable Records
A survey project may turn up quantities of important records, held by a number of organizations and individuals, for which you need to find an appropriate repository. Or you may represent an organization that has generated historically significant records, and you need to figure out where and how to save them and make them available. Depending on the kind of organization you represent, its mission and resources, and the kinds and quantity of records you have identified, there are several options to consider.
For a historical records repository or an institution with its own archives
Options
Considerations
For an organization without its own archives
Options
What it takes to properly manage historical records
The whole purpose of documentation is to make archival records available in perpetuity for use by researchers and the public.
For detailed information on the management of archives, see Strengthening New York’s Historical Records Programs: A Self-Study Guide. The State Archives also publishes technical manuals on various aspects of archives management. The complete list of State Archives publications is available on its website.
In short, there is more to establishing an archives than putting records in a room or on the Web. Consider carefully the immediate and long-term expenses of starting a repository. The State Archives and the DHP Regional Archivists have publications and offer workshops covering these topics. They may also be able to provide one-on-one assistance.
Considerations
Determine Which Records to Save
Appraisal: Decide what to save
Having surveyed the records, you’ve laid the foundation for appraisal. You know that the topic is important and why it needs to be documented; you know what has already been documented; you have identified records that are likely to be historically significant; and you have determined that at least some of those records are likely to be appropriate for your repository. The next step is appraisal.
What follows is a brief outline of the process of appraising records for historical value. Its purpose is not to teach someone how to do appraisal; rather, it should help others involved in the project understand what the archivist and the subject expert conducting an appraisal are doing. (The New York State Archives offers workshops and publications on appraisal. These and other resources are listed in Appendices G and H, beginning on page 64.)
Engage a qualified archivist for appraisal
Repositories cannot afford to collect everything that might be interesting or useful someday, so thoughtful, careful, and sometimes difficult choices must be made. Appraisal—deciding which records to collect in your repository—is a complex process that requires knowledge and judgment; there is no simple formula. Personal and institutional priorities and preferences, current historical and cultural values, and the intellectual and conceptual frameworks of those conducting the appraisal inevitably shape such decisions. An archivist trained in history or working with a historian, for example, will ask certain questions of the material and will value certain materials more highly than others. If the archivist works on the same material with an expert in the subject, a different set of questions will arise, and some different judgments are likely to be made as to which materials will be kept or rejected. Appraisal should be done by a trained archivist working closely with people who are familiar with the topic and the records. Both archival skill and the knowledge of the subject are essential.
Understand the repository
Appraisal is not about deciding which records have historical value to all people in all places. Rather, it entails deciding which records that have historical value are appropriate for a particular repository.
Guidelines to archival value
Archivists have developed guidelines that make the appraisal process more objective and give a standard structure to the inquiry. In general, they look for records that should be kept permanently because they have
Ask questions about the records
Now the archivist is ready to ask questions about the records and make decisions based on the answers. She or he will assess the records as manuscript groups or series, not as individual items.
Make decisions based on the answers
Some factors may weigh more heavily than others, and most groups of records will have a mixture of characteristics, some of which argue for saving them in this repository, others for disposing of them or finding a more appropriate repository.
Negotiate the donation and transfer of records
If the documentation effort will result in records being moved to a repository, then you must negotiate the terms of agreement governing ownership of the records and their intellectual content. As a rule, repositories cannot invest precious time, money, and space to process and make available records they do not own, so they will generally not accept records on loan or deposit. Therefore, the donation of records to a repository involves a change of legal ownership. It is essential that the donor, whether an individual or an organization, and the repository reach a clear and explicit agreement on terms of the donation based on a shared understanding of the wishes of the donor and the repository’s mission, policies, and procedures relevant to the records. This agreement will be expressed in a deed of gift.
Deed of gift
The deed of gift is a formal, legal agreement that transfers ownership of the materials being donated and specifies the legal rights of each party to the materials and the information contained in them. It usually includes the following elements:
(The above information is borrowed in part from Deeds of Gift: What Donors Should Know, an online publication of the Society of American Archivists. See the “Sample Deed of Gift” in Appendix F, page 64, and Appendix H, “Resources for Documentation in Print and on the Internet,” page 69, for this and other SAA online publications.)
Once the repository has received the records, its staff should prepare to arrange and describe them so that users can gain access to them. Arrangement and description of archival records requires technical training and experience and should be done by a trained archivist.
The first step, arrangement, is to organize the boxes and folders into an order that allows access. Archival records that come from institutions or organizations often have an existing arrangement based on the way they were filed and used before coming to the repository. Such records may need very little arrangement by the archivist. Manuscript groups donated by an individual often lack a clear structure and may require more work to put them in a usable order. Arrangement follows the two key principles of provenance and original order.
Provenance
Records should be kept together on the basis of who created them. One of the fundamental principles of archives, provenance reveals important information about the context within which the records were created. The context influences the content of the records and can reveal attitudes reflected in them. For example, the body of records of an environmental organization opposing a power plant siting would be very different from those of the utility that proposed the power plant, and from those of the regulating authority dealing with the same issue; but the context of the records as a whole could shed important light on the meaning and significance of particular records. Therefore, groups of records from a single source should not be broken up among different repositories, nor should they be rearranged on the basis of subject, chronological period, or some other classification scheme unless their provenance cannot be determined.
Original order
Series or other groups of records should be kept in their original order. Maintaining records in the order in which the donor kept them preserves important information about why records were created and how they were used. Do not rearrange records according to subject, form, time period, or any other category that makes sense to you (unless they are in no discernible order to begin with). If the records are in disarray, the archivist should develop a clear plan for arrangement that tries to recapture the probable original order or that reflects the work or activities of the person or organization.
Archival description provides information about the physical characteristics of a group of records, its intellectual contents (the information in the records), and the context within which the records were created. Archival description follows a professional standard that archivists have developed over the years for making information about archival records easily accessible worldwide. When information about records is organized the same way in archives across the country, it can be distributed through online information databases and websites, making it much easier for researchers to locate the information they seek as they move among archives. Archival description generally proceeds by these five main steps:
(To describe records, follow the procedures in the State Archives publication Guidelines for Arrangement and Description of Archives and Manuscripts.)
Finding aids
Archival descriptions serve as the basis for the creation of finding aids in printed or electronic form that
Publicize the availability of the records
Once a repository has arranged and described the records and created finding aids, the documentation process for those particular records is complete, and they are ready for use.
The final step is to make sure potential users of the records find out that they are in the repository and available. If the new records represent a change in the repository’s collecting focus, if they are the first records on this topic, or if they are likely to be of interest to a group of stakeholders that is new to the repository, then it is especially important to get the word out.
You may use the same methods outlined in the discussion of publicizing a survey project (See “Publicize the Documentation Effort,” page 14) as well as methods that are only possible when you have the records in hand. For example:
A successful documentation process should yield important products of lasting value and generate other but valuable outcomes that benefit the organizations and individuals directly involved, the various stakeholder communities related to the topic, and the historical record of New York State.
Keys to a successful documentation project
The repository
The documentation process builds relationships with stakeholder communities, especially the people and organizations who create records. Some of these will donate records during a documentation project; some may not be ready to donate records to a repository or even pay significant attention to the care of the records they hold. Still others may learn of the project after it is over and be receptive to donating records to the repository. Successful documentation entails sustaining the promising relationships begun or enhanced during a documentation project. It is particularly important to
The records creator or donor
Once the relationship with a repository is established and the documentation effort has been launched, it’s not hard to keep it going. The documentation project sets up the system, educates the records creators about repositories and how they work, educates the repository about the topic and the stakeholder groups and organizations, and results in the donation of some records to the repository.
The documentation process as set forth in this manual is, at first glance, about historical records: what they are and why they are important, how to locate and identify them, how to determine which are most important to preserve and make accessible, how to find an appropriate repository for them, how to make them accessible for researchers.
But fundamentally, documentation is about people: Citizens of the recent and distant past whose lives and work, ideas and aspirations, values and expressions, organizations and institutions, and contributions to New York’s history are reflected in and illuminated by records that are not yet publicly accessible. It is about people who become directly engaged in the documentation process itself. And it is about the people of the present who care about and are engaged in the topics which are being documented—the people who, directly through research or indirectly through the products of research, can better understand themselves, other people, and the society and world we share. Effective documentation relies on knowledge and skill dealing with both records and people.
Documentation also may benefit from a kind of empathetic, forward-looking imagination. We have learned over the past half-century or so, with the emergence of social history and women’s history, for example, that dimensions of our lives that are dismissed as historically irrelevant in one age can be understood as central in a later one. We cannot, of course, step forward altogether out of our own time and culture, with our associated assumptions and biases. But it is useful to ask ourselves about any topic of documentation: what information that seems commonplace or trivial in our records now might, in fifty or a hundred years, be considered important for the understanding of our period?
We encourage organizations, individuals, and groups to make use of this manual. The State Archives is eager to help with advice, encouragement, access to resources, and funding through its Documentary Heritage Program. DHP grant guidelines are available from the State Archives via e-mail, on our website, or by regular mail.
The Documentary Heritage Program (DHP)—Grants
Within the State Education Department, the New York State Archives Documentary Heritage Program (DHP) provides funds to non-profit organizations through a program of grants-in-aid.
The Documentary Heritage Program (DHP)—Technical Assistance
The State Archives also provides advice to historical records repositories and other non-profit organizations through regionally based advisory services. In each of nine regions, there is a DHP Regional Archivist who can provide free consultation in planning documentation projects and other archival issues and projects. The archivist can answer questions, flesh out your ideas, offer suggestions, suggest possible resources, provide input to your grant application, and even participate during the project as an ex officio memberof your advisory committee.
DHP staff in Albany are also available and eager to assist you. If you are considering a documentation project, it is a good idea to speak with the Albany staff early on in your planning process.
Grants and technical assistance to local governments
The State Archives provides grants to local government entities through its Local Government Records Management Improvement Fund (LGRMIF), and it offers publications and workshops dealing with a wide range of records management and archival issues. The State Archives’ network of Regional Advisory Officers (RAOs) also provides technical assistance to local governments. If you are part of a local government entity interested in documentation, contact your RAO or the Albany staff.
Colleagues and other local resources
Other resources to consult include colleagues and members of your organization’s board. Discuss your documentation project with them and make sure they fully support it. They can provide guidance and encouragement and can help you determine what is important to document in your area.
New York State Archives
9D46 Cultural Education Center
Albany, New York 12230
E-mail Archives: dhs@mail.nysed.gov
Website: www.archives.nysed.gov
Telephone: (518)474-6926
For More Information and Assistance
Appendix A: New York Documentation Topics Framework (Abridged)
This framework of eighteen broad topics is designed to support efforts to build a comprehensive, balanced, and equitable documentary record of New York’s history and culture. Given the enormous scope, diversity, and significance of human activity, knowledge, and experience in and about New York, the task of creating a comprehensive documentary record is daunting. Without some rational framework for organizing the range of possible topics for documentation, it would be nearly impossible. See the complete, annotated “Documentation Topics Framework” (www.nyshrab.org/documents/s_topics.shtml ), which includes an introduction and more complete explanatory paragraphs and subtopics for each of the main headings below.
Agriculture The production, processing, and distribution of agricultural commodities.
Arts, architecture, and culture The production, presentation, promotion, and sponsorship of visual and graphic arts and design, performing arts (music, dance, theater, performance art), literature, film and media arts (including folk and community-based arts, popular arts, and entertainment), and fine arts. Architecture and the built environment, landscape architecture; architectural scholarship and training. The documents and artifacts that record history and culture. Cultural expressions of everyday life including folklore, language, food, fashion, and family and community events such as festivals and celebrations.
Business, commerce, industry, and manufacturing The production of goods and services for commercial use, buying and selling goods and services for a profit, and lobbying for, assisting, or promoting business concerns.
Communications Any means of transmitting information or entertainment. Newspapers and other print media, television and radio stations, the Internet and other electronic communications media; also groups and government entities that address public policy aspects of communications.
Economic development and planning Governments, businesses, and organizations that engage in urban, town, and rural planning for economic development and land use; organizations and groups that advocate for, respond to, or engage with economic development and planning issues.
Education The education, training, and instruction of individuals, including public and private education at all levels and settings, and groups and governments engaged in education policy.
Environmental affairs and natural resources The utilization of natural resources (air, energy, plants, animals, minerals, land, and water), their conservation and related environmental issues, the effect of environmental hazards on human populations and other life forms, and the development and implementation of public policy and planning related to the environment.
Health Research in medical and health sciences and public health and the provision of medical and mental health services, including allopathic medicine and alternative approaches to medicine and health care.
Labor and occupations Organized labor for the promotion of better working conditions, employment, security, and related concerns. The organization, economics, social and cultural characteristics, skills, working conditions, and experiences associated with various occupations.
Military The prosecution of war or insurrection, civilian participation in wartime activities, military sites, peacetime military enterprises, and organizations formed to support military action, soldiers, veterans groups, and other related activities.
Politics, government, and law Political, governmental, and judicial activity at the federal, state, and local levels that affects the inhabitants of an area. Creation and administration of laws, provision of government services, protection of the rights of citizens. Elected and appointed public officials; government agencies and programs.
Populations and social activity Includes groupings by geography or place of origin; cultural, ethnic, religious or racial identity or background; gender, age, sexual orientation, ability or disability, and economic or social class. A broad range of subtopics including activities, lifestyles, and changing ways of life of individuals, families, and particular groups. Population movements and settlement; distinctive aspects of living as part of population groups. Groups and organizations formed according to group identity. Also, attitudes and related activities directed toward populations and groups.
Public safety Managing and preserving public safety by public servants or the community, police/community relations, crime and criminals.
Recreation and leisure Sports, outdoor recreation, hobbies, travel, and group activities occurring during leisure time; related businesses, organizations, and government entities.
Religion Denominations and groupings of all religious faiths; religious and spiritual movements.
Science and technology Research in the natural and physical sciences and its applications to society through disciplines such as engineering, information technology, and biotechnology.
Social reform and welfare
Reform —Efforts to achieve or oppose social, economic, and political change, including grassroots efforts outside of mainstream organizations. Welfare—Efforts to promote the welfare of disadvantaged members of society and other groups with special needs or concerns.
Transportation The development, implementation, and impact of transportation systems.
Appendix B: Using a Documentation Guide to Decide What to Collect
The New York State Archives has prepared documentation guides in several topic areas (three specific areas as of 2003: mental health, environmental affairs, and Latino/Hispanic history and culture). Each of these guides, developed through extensive involvement and input from the main stakeholder communities in each topic area statewide, establishes a framework of subtopics within the topic and proposes criteria for determining whether any particular subtopic, or even any particular organization, should be considered a priority for documentation. The purpose of this documentation planning approach is not to specify what should be collected. Instead, it provides a research-based framework that will help those engaged in documentation projects make rational decisions about collecting that will lead to a richer, more balanced, and complete historical record of the topic.
If you are contemplating a documentation project in one of the topics where a documentation guide exists, you are strongly urged use it to help shape your project. (The guides are available free of charge from the State Archives. See “Publications in Print” in Appendix H, page 70.)
The following is a method that a repository might use for prioritizing what should be collected:
Appendix C: Criteria for Prioritizing Topics and Subtopics
During the process of selecting and defining a topic for documentation at the local, regional, or state level, planners and stakeholders will probably suggest the most important topics that should be documented. But many of these topics are still broad categories. When it comes to prioritizing a particular subtopic or organization, how should those decisions be made? The following criteria are presented in the context of determining statewide and regional-level priorities, but the approach is applicable to planning local documentation projects as well.
To be considered a statewide or regional priority for documentation, a topic should meet at least one, and probably more, of these criteria. This list should be the template for developing a set of criteria appropriate to the particular topic. Some of these criteria may not be relevant, others may need to be revised, and new ones may need to be added.
Example from mental health: New York has been at the forefront in the diagnosis and treatment of psychiatric conditions since the 1840s. Diagnostic and treatment research pioneered in New York has ranged from “moral treatment” to fever therapy to psychotropic drugs and surgical approaches. From environmental affairs: The initial suit to prohibit the use of the pesticide DDT on Long Island led to the formation of the Environmental Defense Fund, whose subsequent legal action led to the national ban on DDT. By contrast, while global warming and climate change are major issues, and many New Yorkers are engaged with these issues, New York’s contributions in this area have not been distinctive to date.
Examples from environmental affairs: The establishment of the Adirondack Forest Preserve and Adirondack Park affected an enormous area of the North Country and set important precedents for land use and protection statewide. Similarly, the protection of land through private acquisition by non-profit organizations such as land trusts and the Nature Conservancy has affected all parts of the state. The controversy surrounding a particular Superfund site, on the other hand, which might be extremely important regionally for its effects on public health and water quality, may not have affected a large area or stimulated statewide activity. This issue could be a high priority, however, in a regional documentation plan.
Example from Latino-Hispanic history and culture: Latino history begins in each part of the state with the establishment of a community, and it continues with many “firsts”: the first Hispanic elected to public office, the first bilingual education program, and so on. Some of these “firsts” may be interesting markers but may not be considered historically very important. Others may be important regionally or statewide because of the circumstances of their occurrence or their ongoing influence. Such events or milestones may be important to document.
Example from environmental affairs: Love Canal engaged issues of toxic waste, public health, and water quality; it stimulated citizen action statewide and nationally; and it influenced the development of legislation and public policy. From Latino-Hispanic history and culture: A community-wide annual Latino parade is an important part of family and community life and the arts and culture; it engages businesses and may involve politics and social reform issues.
It is important to document not only major events and topics but also representative instances of social history, daily life, and common experience that characterize a topic overall.
Example from Latino-Hispanic history and culture: It is not necessary or possible to keep records of every kind of family celebration, social club, community organization, or bodega, but it is important to preserve and make accessible enough of this kind of documentation to represent the social and cultural life of diverse Hispanic communities around the state. From environmental affairs: Representative examples of the development of sewage treatment plants, land use planning controversies such as battles over zoning or mall development, single-issue organizations, etc. should be documented. From mental health: The first two priorities of the mental health documentation plan are to document the experiences of people who receive mental health services and the experiences of family members and others close to people with psychiatric histories. Although personal experience is at the heart of the mental health topic, very little documentation of it exists from the point of view of service recipients.
Example: An organization that meets some of the other criteria in this list and has been in existence for decades will be a higher priority for documentation than one doing similar work that was founded five years ago or lasted only five years.
This criterion may involve information generated statewide, regionally, or locally, because local or regional information may be important for research on statewide patterns, trends, or impacts.
Example from mental health: Information, qualitative or quantitative, that reveals the effects of particular approaches to diagnosis and treatment, mental health services provided by institutions and organizations, and self-help and alternative programs and services. From environmental affairs: Test results or other data about the flora and fauna of an area generated for environmental impact statements.
Within the topic, there may be some subtopics that are already well documented and for which systems of continuing documentation are in place. Some of these topics would meet other criteria for statewide priority, meaning that their documentation is important enough to be part of the historical record; but since considerable documentation already exists compared to other important topics, they would not be considered priorities for new documentation projects.
Appendix D: Extent and Distribution of Archival Description
| Determining Extent and Distribution of Archival Description |
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|---|---|---|
| Records Creator’s Position |
Extent of Survey |
Distribution of Descriptive Record |
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Appendix E: Records Management
The State Archives has extensive resources—workshops and publications—that can assist you in addressing your records management needs (See “Resources for Documentation in Print and on the Internet, Appendix H, page 69).
Records management is the process of organizing and filing all kinds of records, and scheduling their final disposition when they are no longer needed for their original purpose. From the standpoint of an organization that generates and uses records, dealing with historical records is just one important element of records management. Good records management includes
Attention to records management can make your office a neater, more efficient, more comfortable place to work; it can save space and money; it can get rid of unneeded paper—and it can pave the way for the preservation of historical records. Significant improvements in records management can be achieved with a small expenditure of time, effort, and money. For example:
Appendix F: Sample Forms and Documents
County Historical Association (CHA)
Latino Documentation Project
Project Plan
Note: This summary provides a sample of the basic structure and contents of a project plan. A full version would contain more detail and might serve as the core of a grant application or statement for support of the project. (See “Develop a Project Plan,” page 12.)
Goals
Objectives
Expected Products
Resources
Work Plan
Year 1
Year 2
Next steps
County Historical Association (CHA)
Latino Documentation Project
Survey Work Plan
Note: This plan should be developed at the end of the planning phase of the project and would essentially flesh out the items listed under “Year 2” of the Project Work Plan on the previous page. (See “Develop a Survey Work Plan,” page 19.)
Project to date
List the advisory committee, staff, contacts, and resources needed to complete the project.
During the planning phase, we identified thirty organizations and community leaders whom we intend to survey. Conversations with the advisory committee and others are expected to turn up another fifty likely prospects for significant holdings. It is clear from our experience in Phase I that a mail or telephone survey will not be effective in this community, so we plan to rely primarily on personal site visits. The Hispanic Service and Community Organization (HSCO), one of the oldest and largest Latino organizations, has already agreed to donate its rich archives to the CHA. Given the number of sites to be surveyed in person, we have decided to arrange and describe only the HSCO collection during this phase. As other collections are acquired, we intend to integrate their processing into the ongoing work of the archives.
Plan of Work
July Convene Project Advisory Committee to gain input and support for the survey phase
Hire translator
Develop survey instrument specific to Latino issues
August Publicize project in CHA publications, newspapers, Latino community communiqués, and on radio and television
Prepare informational flyer for distribution, which will include information about the project and its goals, standards, limitations, and practices
Train surveyor in basic principles and practices of archival surveying
October Accession HCSO records, begin arrangement and description
For the duration of the project
Survey sites and organizations as suggested by the advisory committee. The archivist will accompany surveyor on at least three of the initial site visits. Each site visit will consist of 1) research; 2) establishing contact with potential records holder; 3) providing surveyees with project information; 4) arrangements and preparation for site visit; 5) site visit; 6) preparation of report and assembling data for descriptive archival records.
Surveyor will address individuals, organizations, and groups regarding the importance of identifying and cataloging existing caches of documentation, and will distribute materials that assist citizens in caring for their own records.
Archivist will create archival descriptive records from data provided by the surveyor as the site visits are completed.
Communicate progress, and highlight interesting records regularly within CHA, to the Latino community and through mainstream media to the general public.
Spring Submit archival descriptive records to Excelsior and Library of Congress.
Publish a guide to the collections surveyed: a booklet that explains the project and describes the progress of the first year, noting collections surveyed and cataloged, etc.
Develop simple but powerful exhibit of early paper records and photographs from HCSO collection.
Hold project celebration/reception to open the exhibit, highlight the records identified, showcase the HCSO records now available for public access, and encourage community and scholarly research and further donation of records.
Sample Documentation Survey Form (short version)
[sponsoring organization and project heading]
Survey completed by:
Name: _______________________ Title:_______________________
Name of business:
Address of business:
Office maintaining the files / materials:
Inclusive dates of files: ______________ to __________________
Physical form of the material:
How much material do you have?
Are you willing for these records to become publicly accessible in the future? Yes No
Will you allow a general description of the records to be made publicly accessible now? Yes No
Date of survey:___________
Sample Documentation Survey Form (long version)
[sponsoring organization
and project title]
Name of organization: |
Address: |
City: State: Zip: |
Phone: E-mail: |
Name of contact person: |
Hours open to the public: |
|
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” File folders ” Photographs ” Audio tapes ” Videotape
” Volumes ” Maps and drawings ” Electronic (computer files)
” Financial records ” Newsletters ” Press releases ” Charters and by-laws
” Diaries ” Letters ” Minutes ” Scrapbooks
” Other ____________________________________________________________
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Are you willing for these records to become publicly accessible in the future? Yes No Are any materials confidential? Yes No Are there any restrictions on access to any of the records? Yes No If so, what are these restrictions?
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Sample Documentation Survey Form (filled out)
Note: This is a hypothetical survey form similar to the real one that served as the basis of the archival descriptive record that follows on page 56.
College of Technology, SUNY Delhi
Watershed Records Documentation Survey Project
Name of organization: Watershed Agricultural Council |
Address: 33195 State Highway 10 |
City: Walton State: NY Zip: 13856 |
Phone: [000-000-0000] E-mail: [username@domain.org] |
Name of contact person: [contact name] |
Hours open to the public: by appointment |
A partnership between watershed farmers and New York City that balances pollution prevention, economic viability, and public health concerns. It enables farmers to control their own destinies while protecting the quality of New York City’s water supply. |
Watershed Agricultural Council administrative files, reports, maps & photos |
English |
X File folders X Photographs ” Audio tapes ” Videotape
” Volumes X Maps and drawings ” Electronic (computer files)
” Financial records X Newsletters X Press releases ” Charters and by-laws
” Diaries X Letters X Minutes ” Scrapbooks
” Other _ _____________________________
Why were these records created?
They were created in the process of administering the activities of the WAC and generating data relevant to its programs.. |
News clippings and articles, 1993-2000; meeting minutes, reports, drawings, engineers’ reports, legal files; outreach files, 1993-2000; press releases, correspondence, grants, teacher training, articles in publications, annual reports, progress reports, newslettersand WAC publications; slides of farms, farmsteads, before –and- after improvement views, animals, and all-season view; maps showing location of farms, hydrology maps, aerial photographs and GIS information. |
Are you willing for these records to become publicly accessible in the future? X Yes No Are any materials confidential? X Yes No Are there any restrictions on access to any of the records? X Yes No If so, what are these restrictions? Access is at the discretion of the Watershed Agricultural Council. Some series are restricted. |
|
X Transferring records to an appropriate historical records repository
Participating members include the New York City Department of Environmental Protection, Cornell Cooperative Extension, Cornell University, Soil and Water Conservation Districts, US Environmental Protection Agency, USDA Natural Resources Conservation Service; USDA Farm Service Agency, USDA Forest Service, New York State Water Resources Institute, New York State Department of Agriculture and Markets, New York State Department of Environmental Conservation, New York State Department of Health, New York State Soil & Water Conservation Committee, New York Farm Bureau, SUNY College of Environmental Science and Forestry, American Farmland Trust, Catskill Forest Association, Empire State Forest Products Association, Catskill Watershed Corporation, Delaware County Chamber of Commerce |
Sample Archival Summary Description Record for an Organization #1
Creator: Watershed Agricultural Council
Title: Watershed Agricultural Council records
Date: 1991-2000
Quantity: 5 c.f. + additional material
Arrangement: Series
Biographical/Historical Note: Founded in 1991, the Watershed Agricultural
Council (a not-for profit organization) describes itself as “a partnership between watershed farmers and New York City that balances pollution prevention, economic viability, and public health concerns. It enables farmers to control their own destinies while protecting the quality of New York City’s water supply.” Approximately 350 dairy and livestock farms and 90 other agricultural enterprises are in the watershed; the Watershed Agricultural Council promotes voluntary Whole Farm Planning based on scientific research and local leadership. The Agricultural Council serves as a national model for collaborative efforts to preserve agriculture and maintain water quality. Participating members include the New York City Department of Environmental Protection, Cornell Cooperative Extension, Cornell University, Soil and Water Conservation Districts, US Environmental Protection Agency, USDA Natural Resources Conservation Service; USDA Farm Service Agency, USDA Forest Service, New York State Water Resources Institute, New York State Department of Agriculture and Markets, New York State Department of Environmental Conservation, New York State Department of Health, New York State Soil & Water Conservation Committee, New York Farm Bureau, SUNY College of Environmental Science and Forestry, American Farmland Trust, Catskill Forest Association, Empire State Forest Products Association, Catskill Watershed Corporation, Delaware County Chamber of Commerce
Scope and Content: Newsclippings and articles related to the watershed, 1993-2000; confidential records include monthly meeting minutes, reports, drawings, engineers reports, legal; outreach files, 1993-2000; press releases, correspondence, grants, teaching training, articles in publications, annual reports, progress reports, quarterly newsletter and Agricultural Council publications such as “Best Management Practices for Water Quality,” (for foresters) and “Pollution Prevention Through Effective Agricultural Management,” December, 1997; slides of farms, farmsteads, before and after improvement views, animals, and all-season view; maps showing location of farms, hydrology maps, aerial photographs and GIS information.
Restriction on Access: At the discretion of the Agricultural Council; some series are designated as restricted.
Restriction on Use:
Finding Aid: folder headings
General Note: see also: www.nycwatershed.org
Preferred Citation: Watershed Agricultural Council Collection, Watershed Agricultural Council, Walton, New York
Related Collections:
Additional Physical Form Available: Slides are presently being converted to digital format
Personal Name:
Corporate Name: New York City (N.Y.)$Department of Environmental Protection
Cornell Cooperative Extension
Cornell University
United States$Environmental Protection Agency
USDA$Natural Resources Conservation Service
USDA$Farm Service Agency
USDA$Forest Service
New York State$Water Resources Institute
New York State$Department of Agriculture and Markets
New York State$Department of Environmental Conservation
New York State$Department of Health
New York State$Soil & Water Conservation Committee
New York Farm Bureau
SUNY College of Environmental Science and Forestry
American Farmland Trust
Catskill Forest Association
Empire State Forest Products Association
Catskill Watershed Corporation
Delaware County Chamber of Commerce
Subject headings: Water, political aspects$New York (State)
Public health$New York (State)$Delaware County
Water pollution$New York (State) $Delaware County
Watersheds$New York (State)
Farmers$New York (State)
Farms and farming$New York (State)
Ecology and environmentalism$Study and teaching
Geographical headings: Delaware County (N.Y.)
Walton (N.Y.)
New York (N.Y.)
Form and Genre: slides, maps, photographs
Sample Archival Summary Description Record for an Organization #2
Local system #: (NIC)NYOD872-610-0383
Author: Onondaga Valley Community League (Syracuse, N.Y.).
Title: Onondaga Valley Community League records, 1970-1972.
Quantity: 2 folders.
Summary: Correspondence, petitions, photocopies of certificate
of incorporation and constitution and by-laws,
pamphlets, an environmental report, and newspaper
clippings related to the efforts of the league to have
Webster's Pond and the Rand tract in Syracuse, New
York, be designated a wildlife refuge.
Preferred citation: Onondaga Valley Community League Records, 2003.74,
Onondaga Historical Association.
Personal subject: Fluke, Harry.
Corporate subject: Onondaga Angler's Association (Syracuse, N.Y.).
Subject: Housing, Low income--New York (State)--Syracuse.
Subject: Community organization--New York (State)--Syracuse.
Subject: Birds, Protection of.
Subject: Wildlife conservation.
Subject: Race relations.
Subject: Real estate developers.
Geographic terms: Webster's Pond (Syracuse, N.Y.).
Geographic terms: Rand tract (Syracuse, N.Y.).
Geographic terms: Syracuse (N.Y.)--History--1970-1980.
LOCATION: Onondaga Historical Association Research Center, 311
Montgomery Street, Syracuse, NY 13202.
Sample Archival Summary Description Record for a Family
Author: Wuersig, Klaus.
Title: Klaus and Celeste Wuersig collection, 1989-1990.
Quantity: 1.2 cubic ft.
Historical/biog note: Klaus Wuersig and his wife Celeste were actively
involved with Allegany County's successful struggle to
keep New York State from locating its low-level
radioactive waste dump in the region. They were both
members of Allegany County Nonviolent Action Group
(ACNAG) and the Concerned Citizens of Allegany County
(CCAC). Klaus, a professor at Alfred State College,
was a member of that campus' United University
Professions (UUP) chapter. He served as chairman of
the chapter's Nuclear Waste Dump Committee.
Summary: Broadsides, correspondence, research files, newspaper
clippings, and other printed material relating to
protests against the siting of a low-level radioactive
waste dump in Allegany County.
Access restriction: At the discretion of the Archivist.
Preferred citation: Klaus and Celeste Wuersig Collection, Special
Collections, Herrick Memorial Library, Alfred
University, Alfred, New York.
Corporate subject: Allegany County Nonviolent Action Group (ACNAG).
Corporate subject: Concerned Citizens of Allegany County (N.Y.).
Corporate subject: United University Professions. Nuclear Waste Dump
Committee.
Subject: Nuclear waste disposal facility siting--New York
(State)--Allegany County.
Subject: Radioactive waste disposal--New York (State)--Allegany
County.
Geographic terms: Allegany County (N.Y.)--Protest movements.
Form/genre terms: Broadsides. aat
Occupation term: Professors. aat
Personal author: Wuersig, Celeste.
LOCATION: Special Collections, Herrick Memorial Library, Alfred
University, Alfred, NY 14802.
Sample Archival Summary DescriptionRecord for an Individual
(See sample finding aid based on this record, page 62.)
George Cooley
Local system #: (N) SC18858
Author: Cooley, George Ralph, 1896-1986.
Title: Papers, ca.1946-1986.
Quantity: 9 boxes.
Arrangement: Arranged into ten series : I. Botany files. II.
Conservation-Miscellaneous files. III. Nature
Conservancy. National Office files. IV. Nature
Conservancy, Lower Hudson Chapter files. V. Nature
Conservancy, Eastern New York Chapter files. VI.
Nature Conservancy, Florida State Chapter files. VII.
Conservation files. VIII. Field Books. IX.
Miscellaneous files. X. Tapes of an interview with
George Cooley.
Historical/biog note: George R. Cooley was born May 29, 1896 in Troy, N.Y.
In the fall of 1917 he enrolled at Colgate University,
three years after his graduation from high school,
during which time he worked at a variety of
occupations in order to save enough money for school.
Six months after entering Colgate Cooley joined the
United States Army, leaving the service ten months
later as a second lieutenant.
Upon his return to Troy, Cooley sought employment from
a local banker, who instead of giving him a job,
advised him to seek his fortunes in bonds. Cooley
eventually landed a position at the private banking
house of Dillon, Read and Company, here he learned the
investment banking business. After being transferred
to Albany, Cooley formed his own investment firm,
George R. Cooley and Company (now known as First
Albany Corporation). Cooley's success in the
investment banking business allowed him to "retire" in
1953.
Cooley's retirement from investment banking allowed
him to embark on his second career as a botanist and
naturalist. He became a fellow of Harvard
University's Gray Herbarium and, in 1960, joined the
Board of Governors of the Nature Conservancy. He
authored a number of papers on botany, especially the
plant life of Florida and the Carribean Islands.
Cooley identified several new varieties of plant life
and was responsible for the further development of
botany through the establishment of Cooley Fellowships
and Cooley Herbaria at three universities in the
United States.
Cooley's interest in the conservation of nature and
the Nature Conservancy is further evidenced by his
role in founding the Eastern New York Chapter of the
Nature Conservancy, and the acquisition of several
preserves by the conservancy including the Big Bear
Swamp and the Hannacroix Ravine.
Summary: The collection contains correspondence, clippings,
printed materials, and fieldbooks relating to Cooley's
activities in botany and nature conservation.
Included are letters to Cooley regarding surveys of
plant life, the establishment of nature preserves,
monetary gifts to colleges and universities by Cooley,
the formation of local chapters of the Nature
Conservancy and other related materials. Also
included in the collection are Cooley's fieldbooks,
containing the names and locations of thousands of
specie of plant life observed by Cooley, and two tapes
of an oral interview with Cooley, conducted in the
early 1980's.
Summary The collection is currently unprocessed.
Finding aids: No finding aids are currently available.
Preferred citation: George R. Cooley, Papers, ca.1946-1986.
Associated materials: Related records : Nature Conservancy (U.S.). Eastern
New York Chapter, Records, 1970-1985. Manuscripts and
Special Collections, New York State Library, Albany,
NY 12230.
Corporate subject: Nature Conservancy (U.S.)
Corporate subject: Nature Conservancy (U.S.). Eastern New York Chapter.
Corporate subject: Nature Conservancy (U.S.). Lower Hudson Chapter.
Corporate subject: Nature Conservancy (U.S.). Florida Chapter.
Corporate subject: Colgate University.
Corporate subject: Harvard University. Gray Herbarium.
Subject: Botany--Nomenclature.
Subject: Botany--Classification.
Subject: Botany--Research--Florida.
Subject: Botany--Research--Massachusetts.
Subject: Botanists--New York (State)
Subject: Natural areas--New York (State)
Subject: Natural areas--Florida.
Subject: Natural resources--New York (State)
Subject: Natural resources--Florida.
Subject: Nature conservation--New York (State)
Subject: Nature conservation--Florida.
Subject: Nature centers--New York (State)
Subject: Nature centers--Florida.
Subject: Conservation of natural resources--New York
(State)--Citizen participation.
Subject: Conservation of natural resources--Florida--Citizen
participation.
Subject: Conservation of natural resources--Societies.
Geographic terms: Albany (N.Y.)
Geographic terms: Sanibel Island (Fla.)
Form/genre terms: Personal letters. aat
Form/genre terms: Field notes. ftamc
LOCATION: Manuscripts and Special Collections, New York State Library,
Albany, NY 12230.
Sample Finding Aid
George R. Cooley Papers, 1941-1986
|
Quantity: |
14 Boxes (6 cubic ft.) |
Access: |
Open to research. |
Acquisition: |
September, 1988. |
Processed by: |
Thomas E. Lavery, Student Intern, The College of Saint Rose, June 1990. |
Biographical Note
George R. Cooley was born May 29, 1896 in Troy, New York. He graduated from high school in 1914 and subsequently joined the armed forces to fight in the first World War. After his tour of duty, he returned to the Albany area and got a job with the banking house of Dillon, Read, and Company. Shortly thereafter, he opened his own investment house and became a successful investment counselor in the Capital District. After he retired he became interested in the field of botany and deeply involved in the modern conservation movement. In 1960, he joined the Board of Governors of The Nature Conservancy and was responsible for the establishment of several sanctuaries in Florida and New York State. He later received the 1971 American Motors Corporation Conservation Award and the 1985 Oak Leaf Award. He died at his home in Rensselaerville, N.Y., September 27, 1986.
Scope and Content Note
This collection contains material on George R. Cooley's personal interests in botany and conservation. It also contains various papers concerning his involvement with the Lower Hudson, Eastern New York, and Florida chapters of The Nature Conservancy, an organization committed to the preservation of ecologically significant areas. Also included are general files that deal with his contributions to various religious and wildlife protection organizations. It consists of an assortment of letters, articles, maps, cassette tapes, printed brochures, reports, and field books generated between 1941 and 1986 which comprise approximately six cubic feet of material.
The fact that Mr. Cooley was an important figure in the field of botany is well documented in this collection. For instance, he made major financial contributions to sustain many botanical research projects. He also sponsored the Cooley Award that some consider to be "the most prestigious annual prize available to plant systematists in North America." In 1955, he also published an article on the vegetation of Sanibel Island in Rhodora, a journal of the New England Botanical Club. Also included are letters to and from prominent botanists from the United States, Australia, South Africa, New Zealand, Jamaica, and Taiwan. Reports on Cooley's Jamaican expeditions of 1951 and 1952 are also available.
The fact that Cooley was a major force in the modern conservation movement is also well documented in this collection. For example, he made financial contributions to many organizations, such as the Florida Conservation Foundation and the Hudson River Conservation Society. A large portion of these papers reveal that he was an indispensable component of The Nature Conservancy. For instance, he was instrumental in the acquisition of several chapter preserves, such as Big Bear Swamp, Hannacroix Ravine, and Little Cumberland Island. The fact that he played a pivotal role in saving Tiger Creek is also documented. In addition, he was a trustee of The Mohawk Trust that was set up to "preserve the unspoiled natural beauty of the Shawangunk Mountains."
This collection unveils Cooley's interests in other areas as well. For example, he made substantial contributions to the National Council of Churches, the World Wildlife Foundation, "The 1001 : A Nature Trust," the American Baptist Historical Society, and the Colgate Rochester Divinity School.
The Cooley collection also contains material that might be of special interest to researchers in the field of environmental history. Included are financial reports of the Vroman's Nose Preservation Corporation, annual reports of the Nature Conservancy, financial and legal documents of the Mohawk Trust, and master plans for the Ten Mile Creek and Tiger Creek preserves. Also included is a copy of World Conservation Strategy: Living Resource Conservation for Sustaining Development that was prepared by the International Union for Conservation of Nature and Natural Resources. This collection also contains a 1986 report by the Mohawk Preserve, Inc. on the endangered plants of the Shawangunk Mountains.
In short, the Cooley collection gives valuable insight into not only the field of botany, but it also provides the reader with the opportunity to peruse the papers of an extremely generous man who was dedicated to the preservation of our natural environment.
Box |
Contents [excerpts] |
|---|---|
1 |
BOTANY FILES A Correspondence, 1954-1985
|
8 |
CONSERVATION FILES, 1954-1986 B Conservation, 1966-1983
|
11 |
THE NATURE CONSERVANCY, EASTERN NEW YORK CHAPTER, 1952-1986 Barberville Falls, 1968-1972
|
This agreement, made in duplicate between _______________ (the Donor, understanding this term to encompass the Donor’s legal representative) and _______________ (the Repository), deposits and transfers to the Repository, under the terms below, physical custody and ownership of certain materials, described as follows and collectively referred to as the materials:
___________________________________________________________________
___________________________________________________________________
___________________________________________________________________
Terms of Agreement
1. The Repository agrees to protect and preserve to the extent feasible and consistent with the Repository’s usual practices the physical as well as the intellectual contents of the materials, but the Repository assumes no responsibility in case of loss or damage by theft, fire, or any other cause whatsoever. The Repository need not specially insure the materials covered by this agreement.
2. The Repository may arrange or rearrange these materials, according to accepted archival principles, to make them more accessible to researchers.
3. The Donor warrants that no other individuals, institutions, or other entities have interest in the materials covered by this agreement except as stated below. (Please indicate, if appropriate, whether copyright has been waived by release forms or agreements made with correspondents, interviewees, or others represented in these materials.)
__________________________________________________________________
__________________________________________________________________
4. Following its normal practices, the Repository will allow researchers to both examine the materials and to receive copies of specific items.
5. The Repository may, without notice or fee to the Donor, publish, in whatever forms it chooses, descriptions of, catalogs to, or announcements of the availability and contents of the materials in the customary places and manner.
6. The Repository may, without notice or fee to the Donor, make copies of any of the materials for purposes of preservation and, within the limits set forth in these terms, public use.
7. The Repository will respect the Donor’s wishes, as stated below, regarding disposition of such materials the Repository deems to be duplicative, lacking archival value, or better placed elsewhere. (Please indicate either that you want such materials returned to you or that you grant the Repository permission to discard such materials as the staff sees fit.)
__________________________________________________________________
__________________________________________________________________
8. The Donor may add other items from time to time, to be receipted for and covered by this agreement. This agreement may be amended by written documents accepted and signed by the Donor and the Repository.
9. Except for limited periods, when certain portions of the materials may be undergoing preservation treatment, the Donor has the right of onsite access to the materials covered by this agreement at all times the Repository is open to the public. Further, the Donor may request copies of any of the materials covered by this agreement, with the proviso that the Donor shall be responsible for payment of the customary charges for such copies and that the Repository may deny such requests if it deems that copying would be dangerous to the physical preservation of the original items.
10. If the Repository should be judged to have failed to carry out its responsibilities under this agreement, and if the Donor or any other entity seeks to enforce this agreement or claim damages for breach of it, the Repository shall have the option of satisfying any obligation imposed upon it by this agreement by returning the given items (and all archival copies of same) to the Donor or the Donor’s legal representative.
We, _________________________________________, hereby donate the materials as listed in the opening paragraph above or subsequently added under Term 8 above and agree to the other terms set forth within this contract.
Signed for the Donor: _______________________________________________
Signed for the Repository: ______________________________________________
Date: _____________________________
Appendix G: Programs and Services of the New York State Archives
The State Archives’ website provides extensive, detailed information about the grants programs and other programs and services of the State Archives that are described in the three sections below. Click on Services, Managing Historical Records, for a basic online introduction to the topic and for links to other resources at the State Archives and elsewhere.
Documentary Heritage Program—Grants
What is the Documentary Heritage Program?
The Documentary Heritage Program (DHP) is a statewide program established by law in 1988 to ensure the identification, sound administration, and accessibility of New York's historical records. The DHP provides grants to not-for-profit organizations in New York State that collect, hold, and make available historical records. Funding is available for strategic planning projects for archives, arrangement and description of historical records, surveying of records of under-documented populations and/or activities, and regional documentation planning.
DHP grants are awarded annually in a competitive process. Guidelines are generally released in the summer or fall for an application winter deadline.
Who does the DHP serve?
Any not-for-profit organization that holds historical records and makes or plans to make them publicly accessible may use the DHP's regional services and apply for a DHP grant. Such organizations include archives, libraries, historical societies, museums, and similar institutions that collect records within New York State, as well as organizations that create records in the course of their work.
What are the DHP's priorities?
The DHP competitive grants program concentrates on identifying, collecting, and making available historical records relating to under-documented groups in twentieth-century New York. Many of the records from this period are in serious danger of being lost or neglected; yet they document major changes in local communities, the state, and the nation.
Assistance
Documentary Heritage Program—Services
What regional services does the DHP provide?
Nine regional archivists (see listing on State Archives website), working through regional service providers, are responsible for:
The nine regional service providers each maintain web pages that can contain further information about DHP and other services they offer:
What statewide services does the DHP provide?
The DHP office of the State Archives is responsible for:
For more information, contact your region’s DHP Archivist, or contact:
Documentary Heritage Program
New York State Archives
9C35 Cultural Education Center
Albany, NY 12230
(518)474-6926
fax: (518)473-4941
e-mail: dhs@mail.nysed.gov
Local Government—Grants
The Local Government Records Management Improvement Fund (LGRMIF) supports records management and archives-related projects in local governments of all types and sizes throughout New York. In addition to the competitive grants program, the LGRMIF also supports disaster recovery grants.
LGRMIF application materials are available from the State Archives’ website
Assistance
To order a print copy of the LGRMIF competitive grants materials contact:
New York State Archives
Grants Administration and Program Support
9A81 Cultural Education Center
Albany, NY 12230
E-mail: archgrants@mail.nysed.gov
Phone: (518) 474-6926
Local Government—Services
Knowledgeable, experienced records management and historical records professionals are based in Albany and in nine regional offices around the state. A Regional Advisory Officer, who acts as a free consultant, trainer, and technical advisor to local governments and state agencies, manages each region. Albany-based staff provide additional expertise on micrographics, electronic records, and archives management.
Appendix H: Resources for Documentation in Print and on the Internet
Website: www.archives.nysed.gov
The State Archives website offers extensive resources related to documentation, among many other topics. From the home page, most of the resources that can assist with documentation are found under the following links:
Publications
The publications listed below are available in various formats, including paper, PDF, and Microsoft Word. Most are also listed on the website, and some can be read and downloaded there. An extensive catalog of State Archives publications on topics other than documentation is also available on the site. Call or e-mail the State Archives, or check the website to learn which formats are available for specific publications.
A Guide to Documenting Environmental Affairs in New York State, Pub. #73, 2001, 41pp. Discusses priority topics for documentation, examples of documentation projects, where to look for records, and potential sources of assistance and funding.
A Guide to Documenting Latino/Hispanic History and Culture in New York State, Pub. #67, 2002, 36pp. Discusses priority topics for documentation, examples of documentation projects, where to look for records, and potential sources of assistance and funding.
A Manual for Documentation Planning in New York State, Pub. #74, 2002, 34pp. Presents a method for planning the documentation of important topics in New York history on a statewide or regional basis.
A Strategic Plan for Documenting Mental Health in New York State, Pub. #69, 2001, 16pp. Explains how to document the mental health field. Defines scope of plan, outlines documentation priorities, and suggests where to look for records.
Appraisal of Local Government Records for Historical Value, Pub. #50, 1996, 41pp. Offers basic information on how to identify, evaluate, and select records that have ongoing historical value. Written for local governments, but also useful for non-governmental organizations.
Documentary Heritage Program Grants Application Booklet (revised annually by August 15 for December 1 application deadline).
Guidelines for Arrangement and Description of Archives and Manuscripts: A Manual for Historical Records Programs in New York State, 1995, 35pp. These guidelines provide basic instructions on describing archival and manuscript materials at a collection and series levels.
Historical Records and the Local Government Historian, Pub. #81, 2004, 10pp.Suggests ways that New York’s public historians can encourage and support records management and historical records programs that are adequate to the needs of local governments and their constituents.
New York Documentation Topics Framework, Pub. #75, 2001, 6pp. A comprehensive list, with suggestions for organizing the range of possible topics to document in New York history and culture.
Strengthening New York’s Historical Records Programs: A Self-Study Guide, 1989, 192pp. A guide to the essential elements of historical records repository programs, fundraising, and cooperative approaches to administration.
Society of American Archivists
The following are online publications available at SAA’s website (www.archivists.org):
The SAA has an extensive catalog of print publications (including the seven-volume Archival Fundamentals Series) which is available in PDF format on their website.
Central New York Library Resources Council (CLRC)
The CLRC Documentary Heritage Committee offers a series of online publications on their website (www.clrc.org) under “Documentary Heritage Program,” DHP/CLRC Publications. Those most relevant to documentation are:
Rochester Regional Library Council (RRLC)
The RRLC offers a series of online publications on their website (www.rrlc.org) under Products and Services, Publications of the Historical Records Advisory Committee. Those most relevant to documentation are:
Gaylord
Gaylord, a distributor of archival supplies, offers the following free online publications at its website, (www.gaylord.com)
Other Resources
Corsaro, James and Karen Taussig-Lux. Folklore in Archives: A Guide to Describing Folklore and Folklife Materials. Ithaca, NY: New York Folklore Society, 1998 (looseleaf binder, 156 pp.)
Cox, Richard J. Documenting Localities: A Practical Model for American Archivists and Manuscript Curators. Lanham, MD. & London: The Society of American Archivists and The Scarecrow Press, Inc., 1996, xii, 182 pp.
Suter, John W., ed. Working with Folk Materials in New York State: A Manual for Folklorists and Archivists. Ithaca, NY: New York Folklore Society, 1994 (looseleaf binder, 200 pp.)
access permission, opportunity, and ability to use a record
access point a particular term used to catalog and facilitate access to a set of records, including creator’s name, series title, and subject terms
acid-free having a pH value of 7 or higher
active record a record used frequently (at least once per month per file drawer for paper records)
administrative value the usefulness of a record to an organization in the conduct of its daily business
alkaline having a pH value of 7 or lower (the opposite of “acidic”)
appraisal the process of evaluating records based on their value to an organization, particularly when used to determine whether the records have permanent historical value
archival quality chemically and physically stable and, thus, suitable for preservation purposes (a non-technical term generally not used by archivists)
archival record a record that should be kept permanently because of its administrative, legal, fiscal, or research value; also called “historical record”
archival value the long-term usefulness of a record for research that determines whether a record should be kept permanently
archival and manuscript materials the non-current records of an organization (archives), or those of individuals (manuscripts) that have been selected for preservation because of their continuing value
archival and manuscript materials the non-current records of an organization/institution or individual(s) that have been selected for preservation because they have continuing value. The term archives is used to refer to the non-current, permanently valuable records of an organization or institution that are preserved by that organization or institution itself…Similarly, the term manuscript collections is used to indicate records created or gathered by an individual, group, or organization which are given, sold, or transferred to some repository for permanent retention. (from Guidelines for Arrangement and Description of Archives and Manuscripts; see Appendix H, page 70.) This distinction between archives and manuscripts is somewhat technical; both are treated the same way in a repository. Both terms are used in this manual, but archives considered the more general term to comprise all historical records.
archives 1. the facility that preserves records with historical value; 2. archival records in general
arrangement the act or result of placing records in a particular sequence
bibliographic record See “catalog record”
biographical note a written summary, in a finding aid, of an individual’s life and accomplishments
catalog (noun) a set of entries arranged in a definite order that describes and indexes groups of records
catalog record an entry in a list that identifies and describes the contents of a set of records; also called a “bibliographic record” or a “descriptive record”
collection a body of records deliberately collected by an organization or individual from different sources (as distinct from organizational records or manuscript groups created or received by organizations or individuals as by-products of their ongoing activities)
community scholar a member of a stakeholder community who knows that community and its history and who can help outsiders understand and work with the community during a documentation project
confidential record a record that is not accessible to the public, usually to protect the privacy rights of individuals; sometimes called “restricted record”
conservation the professional repair and stabilization of damaged documents
creator See “records creator”
deed of gift a legal document that transfers the ownership of a set of records from one party to another
deposit the physical transfer of a set of records from one party to another that does not include the transfer of ownership
description detailed information about archival records compiled to help researchers use and understand the records; also, the process of developing such information
descriptive record See “catalog record”
DHP See “Documentary Heritage Program (DHP)”
disposition the final action performed upon records: either destruction or transfer to an archives
document a single record item; a container of information in any medium, generated in the normal course of business, that facilitates the management of that information (such as a letter, an e-mail message, or a completed form)
Documentary Heritage Program (DHP) a program of the State Archives that promotes the improved management of historical records across the state through a regionally based system of advisory services and grants to historical records repositories and other non-profit organizations
documentation the process of identifying and collecting existing records of enduring historical value with the intent of making them publicly available
documentation guide a document describing a strategy for collecting information on records covering a specific topic and for finding suitable repositories for records that are discovered to be historically significant
documentation plan a document that describes the topic, resources, personnel, phases, and specific step-by-step process of work associated with a documentation project
documentation project an undertaking designed to gather information on the records relating to a specific subject or population group and to develop a plan for preserving them and making them available for use
donor a person or organization that gives a set of records to a repository
environmental control the maintenance of a storage environment for long-term storage of records by monitoring and stabilizing the temperature, humidity, light, and impurities in the air
ephemera objects, especially small objects, intended to last for a short time, such as ticket stubs and playbills
evidential value the worth records have because of the information they provide about the nature and activities of the organization or person that created them (as opposed to “informational value”)
file (noun) a collection of related records that are treated as a unit; (verb) to arrange documents in a logical sequence, or to place a document in its appropriate location within a set of documents
finding aid a tool (such as a series description, catalog, or index) that is designed to help users find information within archival records
fiscal value the usefulness of a record in documenting financial decisions and activities
FOIL See “Freedom of Information Law” (FOIL)
Freedom of Information Law (FOIL) the New York State law that outlines the rights of the public to access public records
historical note a written summary, in a finding aid, of the significant events and achievements of an organization
historical record See “archival record”
historical value the potential ability of a record to support historical research
inactive record a record accessed infrequently (for paper records, less than once per month per file drawer) but that is not yet ready for disposition
inactive storage the maintenance of inactive records in a storage area separate from an active office
index an information guide that identifies the location of specific pieces of information within a document or a set of documents
indexing the process of designing a guide to identify and locate specific pieces of information within the records of an organization
informational value the worth records have because of the information they provide about people, organizations, communities, and events (as opposed to “evidential value”)
intrinsic value the worth a permanent record has that requires its preservation in its original form rather than as a copy
inventory See “records inventory”
legal value the usefulness of a record to support an organization's business agreements and ownership rights, and to document the rights of citizens
lignin a chemical that provides strength and rigidity in the woody cell walls of plants and that causes the chemical degradation of paper made from wood pulp
main entry the primary access point in a descriptive record, usually the name of the organization or individual that created a particular set of records
manuscript group a set of records that includes more than one records series maintained by a private individual or family
manuscripts See “personal papers”
MARC See “Machine-Readable Cataloging (MARC)”
Machine-Readable Cataloging (MARC) a standard of archival description that prescribes codes that precede and identify specific elements of a catalog record, allowing the record to be “read” by machine and displayed in a way designed to make the record intelligible to users
neutral having a pH value of 7, which is neither acidic nor alkaline; sometimes called “pH neutral”
official record a record produced or received in the formal conduct of an organization’s business
original the final version of a document, as opposed to copies or duplicates made of it
original order the manner in which a creator arranged a set of records; the principle of maintaining records in such order to preserve their context
papers See “personal papers”
permanent record a record that must be retained forever because of legal requirements or its continuing research value; also called “archival record” or “historical record”
personal papers the records maintained by a single private individual or family
preservation the use of procedures and environmental standards to minimize the deterioration of records
preventive care actions taken to slow deterioration and reduce the chances of damage to historical records by following protective storage, display, use, and handling procedures
provenance 1. the origin and original recordkeeping environment of a set of records; 2. a record’s history of ownership
record (informal definition) information, in any format, that is created by an organization or received in the formal operation of its responsibilities; also includes recorded information created or held by individuals.
(legal definition for local governments in New York State) any book, paper, map, photograph, microphotograph or any other information storage device regardless of physical form or characteristic, which is the property of the state or any state agency, department, division, board, bureau, commission, county, city, town, village, district or any subdivision thereof by whatever name designated, in or on which any entry has been made or is required to be made by law, or which any officer or employee of any said bodies has received or is required to receive for filing
(legal definition for state agencies in New York State, plural) all books, papers, maps, photographs, or other documentary materials, regardless of physical form or characteristics, made or received by any agency of the state or by the legislature or the judiciary in pursuance of law or in connection with the transaction of public business and preserved or appropriate for preservation by that agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities, or because of the information contained therein
records creator a person or organization that generates or receives and files a certain set of records
records inventory the process of locating, identifying, and describing the records maintained by an organization; sometimes called “inventory”
records management the systematic control of all records in an organization throughout their life cycles
records series a group of related records (such as minutes of a board, payrolls, or purchase orders) that are normally used and filed as a unit and that normally have the same retention requirements
rehouse to place documents within new storage receptacles (including encapsulating polyester, folders, and boxes)
repository a facility or organization that stores and provides access to historical records
research value the usefulness of a record to support historical and other research
restricted record See “confidential record”
retention the act of keeping records for the amount of time required, given their administrative, fiscal, legal, or historical value and use; also called “records retention”
scope and contents note a written summary, in a finding aid, of a set of records, including function, record types, and types of information
secondary use any use of a record other than the use for which it was originally created, including any use for historical research
separation See “weeding”
series See “records series”
source document the record on which an original transaction was captured
State Archives the New York State Archives, the state agency that provides records management and archives services to local governments and state agencies
survey a review that gathers basic information about the quantity, type, function, location, and arrangement of records in an organization
temporary record a record with short-term or limited value that has been approved for destruction either immediately or after a short retention period
tickler file a collection of pending items arranged by the date of action and kept to remind someone to resolve the contents of the items on time
user a person who uses historical records for any purpose
vital record (records management definition) a record essential for the protection of the financial well-being of an organization, its legal rights, and the rights of its citizens and employees; a record without which an organization could not carry out its business
(birth, death, and marriage definition) a birth, death, or marriage record maintained by the official registrar of a New York State local government or by the New York State Department of Health
weeding the process of removing and usually discarding unnecessary papers from a file
This manual is a publication of the New York State Archives, Office of Cultural Education, State Education Department, in cooperation with the New York State Historical Records Advisory Board
Richard P Mills Commissioner, State Education Department
Carole F Huxley Deputy Commissioner, Office of Cultural Education
Christine W Ward Assistant Commissioner, New York State Archives
Kathleen D Roe Chief, Archival Services, New York State Archives
Geoffrey P Williams Chair, State Historical Records Advisory Board
Documentation Basics Project Team
John W Suter Author; coordinator, Documentation Planning
Raymond LaFever Coordinator, Archival Advisory Services
Gloria Bartowski Senior Archivist, Archival Advisory Services
The project team is grateful to James Corsaro, Susan D’Entremont, Donna Eschenbrenner, Kathleen Hynes-Bousca, Susan Hughes, Joan Krizack, Geri Solomon, Joseph Swinyer, and Diane Strock-Lynskey for their careful readings of drafts of the manual.
We welcome your comments and suggestions regarding this manual If you have questions or are interested in becoming involved in the documentation effort in New York State, please feel free to contact us
The New York State Archives
9D46, Cultural Education Center
Albany, New York 12230
E-mail: dhs@mail.nysed.gov
Telephone: (518)474-6926