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HomeMy WebLinkAboutCRPS-07-029 - Replacement of Corporate Archives Policy1 KrTC~~R .. , . Corporate Services Report To: Finance and Corporate Services Committee Date of Meeting: April 2, 2007 Submitted By: Randy Gosse, City Clerk and Director of Legislated Services Prepared By: Christine Tailing, Manager of Corporate Records and Archives Wards} Involved: None Date of Report: February 22, 2007 Report No.: CRPS 07-029 Subject: Replacement of Corporate Archives Policy RECOMMENDATION: That Corporate Archives Policy (I-205}, dated January 21, 2000 be replaced with the Corporate Archives Policy, dated February 7, 2007, attached to Corporate Services Department Report CRPS 07-029. BACKGROUND: There has been a Corporate Archives Policy in place since 1994 with significant changes last being made in January 2000. The current policy was crafted to dovetail with those of other archival/historical institutions in the area in order to help promote a coordinated (if informal) approach to preserving local history. The policy has been changed significantly enough to warrant replacement. REPORT: In the past seven years the corporate archives program has continued to evolve and has become an integral part of the services the Corporation offers to both staff and the public. The program supports the community's vision that the Corporation should play an important role in the preservation of this area's history and in particular, that of the City of Kitchener as a municipal governing entity. Overall, the proposed policy serves to ensure the continued growth of the Corporation's archives program; to better identify and preserve the archives collection; and to increase access to the collection for research, reference and display purposes. The policy has changed in several significant ways. Firstly, the goals of the proposed policy more clearly state the purpose for which the City's corporate archives exists. The goals now encompass a broader set of functions for the archives in order to help better preserve the history of the Corporation. Secondly, a mandate for the program has been specifically articulated in order to support acquisition and deaccessioning decisions. Thirdly, the proposed policy incorporates new acquisition priorities, which together with the expansion of the section dealing with the scope and nature of the collection, help to give the archives program more focus and provide a better framework for staff. Other significant changes to the policy are as follows: 1. Definitions: This new section has been added in order to assist with understanding the terminology used throughout the policy. 2. Acquisition Methods, Conditions & Limitations: Several sections have been combined in this new section in order to comprehensively and consistently deal with acquiring and accepting items into the archives collection. Limitations in acquiring items are also included. This section also outlines the requirements for compliance with the Copyright Act and the Municipal Freedom of Information and Protection of Privacy Act. 3. Identification, Reference & Access: The existing section is changed to provide additional stipulations for accessioning archival items as well as making items available for display and reference purposes. Another change is to provide for the long-term or even permanent display of archival items at other City facilities where appropriate and to provide proper conditions for such display. Previously, the policy did not permit long-term or permanent displays of items. 4. Archival Storage: The provision to store archival items in operating departments has been removed so as to ensure all archival materials are properly stored in the corporate archives. Archival items not being stored in the corporate archives are vulnerable to loss or damage from improper environmental conditions and handling. 5. Conditions & Use of Reproductions: In the interest of preserving the City's ownership rights over its archival materials, this section has been strengthened to include more specific provisions on how and when reproductions can be made and used. 6. Deaccessioning of Archival Records: This section sets out the conditions for removing archival items from the collection and gives authority to the Manager of Corporate Records Management and Archives Services ~CRM) to deaccession items from the archives in consultation with the appropriate City staff. This permits the Manager to administer the program in an efficient manner while ensuring involvement from interested parties within the City. FINANCIAL IMPLICATIONS: There are no financial implications at this time. Corporate Records Management (CRM) staff are monitoring the environmental conditions of the archival storage areas as well as the collection's growth. Environmental inadequacies are being addressed as possible but there may be a need to seek alternative and/or additional archival storage space in the future if environmental issues cannot be resolved and as the collection grows. Respectfully submitted, Christine Tarling Manager, Corporate Records Management & Archives Services COUNCIL POLICY RESOLUTION POLICY NUMBER: I-205 POLICY TYPE: ADMINISTRATION D_: J l1 N E 13,1994 amended : JANUARY 21, 2000 Re laced : , SUBJECT: CORPORATE ARCHIVES POLICY POLICY CONTENT: 1. Goals a) Collect and preserve archival materials that document the history, development and growth of the City of Kitchener as a municipal governing entity. b) Ensure that archival items in the Corporation's custody or control are adequately and appropriately identified, accessioned, appraised, arranged and described. c) Facilitate access by creating finding aids for archival materials. d) Provide adequate and appropriate conditions for the storage, security and preservation of archival materials. e) Promote awareness and use of the Archives. 2. Definitions Accessioning Process of formally accepting and recording receipt of records/items into archival custody. Archival records Records, in any media format, which have long-term historical value and which are no longer regularly used or needed for legal, legislative, administrative/operational and/or fiscal purposes. Archival records may fall into one of three categories: In tact The entire record or record series is transferred to the Corporate Archives in tact. Sample A representative sample of the record series is retained and the rest of the series is confidentially destroyed. Weed Superfluous or unnecessary documents (e.g., duplicates} are removed from the series and destroyed by confidential destruction. Archives appraisal Process of evaluating records/items to determine which are to be retained in the archives. Arranging Process of putting archival records/items into order in accordance with accepted archival principles. Deaccessioning Process of removing material from the care and custody of the archives either because: a} The material has been reappraised and found to be unsuitable for the archives; b} The legal owner has request the material's return; c) There is an agreement to transfer the material to another archives. Describing Process of recording information about the nature and content of the records in the archives. The description identifies such features as provenance, arrangement, format and contents of the archival records/items and presents them in a standardized form. Donor A person or organization who has donated records/items to the archives. Finding aids Guides, indexes, inventories, registers, catalogues, lists which assist with identifying and locating archival records/items. Preservation Storage, protection and maintenance of archival materials which enable them to be retained for as long as they are needed. Provenance Information about the origin of the records/items (i.e., the entity which created, received, accumulated and used the records in the conduct of business or personal life). Transfer Process of changing the physical custody of records/items, generally without changing the legal owner of the material. 3. Mandate The collection includes all archival records, in any medium, either created by any employee of the municipal corporation, its elected representatives or their appointees acting in their respective capacities or created by external sources which document the development of municipal government and administration in Kitchener (prior to and since incorporation as a City in 1912) including the Township of Waterloo and the Village of Bridgeport. 4. Scope and Nature of the Collection Archival records include administrative documents; maps, plans and drawings; photographs and other visual records; sound recordings; electronic records; and video recordings which have historical value and which relate to the mandate of the Corporate Archives. The Corporate Archives is also the repository for the archival records of the former Kitchener Minor Soccer Association. The archives collection also includes selected memorabilia such as awards, trophies, medals, plaques, presentation items and other mementos received by the City and/or which relate directly to the history of the City's administration and local government. Also included in the collection are framed and mounted art pieces, sculptures, posters and other art objects which are considered "archival art" either because the subject matter of the piece relates to the archives mandate or because the artist has a connection with the City as a governing entity or with the area. Art pieces acquired through the City's Public Art program are excluded from this policy. Notwithstanding the City's Records Retention By-Law, records of elected representatives or their appointees which are deemed to be personal or political, (as opposed to administrative in nature), and which are filed or stored separately from corporate records may be donated to the archives by the respective elected representatives ortheir appointees. Excluded from this policy are historical architectural pieces (e.g., pillars, street lamps, pediments, etc.); historical non-architectural pieces (e.g., furniture, equipment, etc.}; and monuments (both those designated as heritage and those which are not). 5. Responsibility The operational responsibility for implementing and administering this policy rests with Corporate Records Management and Archives Services in co-operation with staff of the individual operating departments. Archival items acquired by or transferred to the archives shall become the permanent property of the archives until such time as the Manager of Corporate Records Management and Archives Services deems them no longer relevant to the archives, in which case the items may be recommended for deaccessioning. 6. Acquisition Priorities To acquire archival materials and collections which show the historical development of the City of Kitchener as a municipal governing entity. To acquire cartographic materials representing the geographical area of Kitchener that will strengthen the Corporate Archives' present cartographic collection. To acquire records of City of Kitchener decision makers ~e.g., CAo, Council, Mayor} including items such as diaries, appointment calendars, memorabilia, official and professional correspondence, biographical materials, personal memoirs. To transfer records with historical or archival value held in the Corporate Records Centre to the Corporate Archives. To acquire private records which relate to the Corporate Archives' mandate. These include records of individuals, families, estates, businesses, organizations, clubs and societies that will increase the scope of the collections currently held by the Corporate Archives. To continue collecting photographs of City-run and/or City-sponsored events, facilities, individuals & sceneries. To continue collecting publications of the City of Kitchener such as staff telephone directories, newsletters, promotional materials, souvenir programs, special events publications. 7. Acquisition Methods, Conditions & Limitations Archival items will only be accepted on a permanent basis, with the only exception being short-term loans as described below. All archival materials in the Corporate Archives are legally owned by the City of Kitchener Corporate Archives and must undergo archival appraisal before being added to the archives. oversized/large items will be considered subject to space availability. Materials in extremely poor physical condition might not be accepted due to the unavailability of appropriate resources to restore them. Items which cannot be preserved under proper storage conditions will not be accepted. Contaminated items will not be accepted due to the risk they may pose to staff, researchers and other archival materials. Materials are acquired by the Corporate Archives in one of three manners as follows: a.) Transfer (Internal) Archival records and other materials coming from City of Kitchener Departments are considered to be internal transfers and do not require a donation agreement. Such records and materials are transferred either in accordance with the Records Retention Schedule or in relation to the Corporate Archives' acquisition priorities. Photographs of identifiable individuals must be accompanied by a release form signed by each identifiable individual in the photo or his/her legal guardian for those individuals under the age of 18. The Corporate Archives may accept photos without release forms if the photo is deemed to document a significant event or scene but such photos cannot be used for research or display purposes until the appropriate period of time has passed in accordance with the Copyright Act. b.) Donation (External) The City will accept donations of records, which in its sole opinion are deemed to be of archival value and meet the Corporate Archives mandate, from the following, subject to a mutually agreed upon Donation Agreement which outlines the conditions and/or restrictions relating to the donated materials (if any): Other government bodies or agencies such as the Archives of Ontario; Elected representatives ortheir appointees; Boards and Special Purpose Bodies affiliated with the Corporation; Members of the public; Other historical/archival institutions. The City will also accept donations of personal papers and other items, which in its sole opinion are deemed to be of archival value, if these items complement the existing corporate archival holdings or serve to fill a gap in the collection. All external acquisitions are subject to approval by the Manager of Corporate Records Management and Archives Services in consultation with the appropriate City staff when required. Corporate Records Management staff will also identify and try to negotiate the return of corporate archival records and memorabilia which are not presently in the City's custody. In cases where the return of such items is not feasible, details on the location of these records will be added to the archives files and/or reproductions of the records will be requested as appropriate and possible. c.) Loan Corporate Archives may also accept archival materials on loan for exhibits or reproduction purposes if the owner does not want or is unable to donate the original materials. 8. Identification, Reference & Access Corporate records and records series which are of archival value will be identified as part of a corporate records analysis process and will be identified as such in the Records Retention Schedule. Such records will be transferred to the Corporate Archives when the total retention period has expired. only those portions of record series having archival value will be retained in accordance with selection criteria developed for each particular series. Memorabilia and other items possessing archival value will be identified and added to the archives collection as they become known to Corporate Records Management and Archives Services staff. Departments are instructed to advise the Corporate Records Management and Archives Services when they come into possession of any archival records or other archival items, particularly memorabilia such as awards, to allow Corporate Records Management staff an opportunity to identify, describe and arrange for their suitable preservation. Corporate Records Management staff will ensure all items coming into the archives are appropriately accessioned and will provide an appropriate and efficient means of arranging, describing and referencing archival records in accordance with standard archival principles. Archival items will be made available for display and reference purposes to staff and the public unless access is restricted under the provisions of the Municipal Freedom of Information and Protection of Privacy Act or conditions stipulated in the Donation Agreement or because the item is considered too fragile or valuable. Where practical and appropriate, reproductions will be made and substituted for the original for public display or research purposes. Appropriate access controls will be implemented to ensure the security of archival items while on display or used for research. Subject to the approval of the Manager of Corporate Records Management and Archives Services, some original archival items may be permitted for long-term or permanent display elsewhere at a City facility provided their condition permits such display and the appropriate steps have been taken to ensure protection against theft; vandalism; and damage due to exposure to sun, light, dirt/dust, temperature and humidity fluctuations, and other adverse conditions. 9. Archival Storage Secure and appropriate storage will be provided for the archival collection. Except in the case where items may be on long-term or permanent display elsewhere at a City facility, all archival items will be stored centrally in the Corporate Archives. 10. Conditions & Use of Reproductions The City reserves the right to reproduce archival items by mechanical, electronic, photographic or other means for security, conservation or display purposes. Associated costs will be funded from the Corporate Archives program budget administered by Corporate Records Management. Members of the public or staff requesting reproductions for personal use will be charged the applicable cost of the reproduction plus any delivery, shipping and handling costs. Reproductions from the City of Kitchener Corporate Archives may be provided subject to the following conditions: 1. The reproduction will not be likely to damage the records. The City of Kitchener reserves the right to refuse the reproduction of any records which might be damaged during the handling and/or reproduction process. 2. Permission is granted for the reproduction of a single copy only, and for one- time use. No copies are to be sold, further reproduced, or published without prior consent of the City of Kitchener. Exceptions to these conditions detailing the agreed upon use of the reproduction and any restrictions must be approved first by the Manager of Corporate Records Management and Archives Services. 3. The requester assumes all responsibility for obtaining appropriate copyright clearance and reproduction rights and for any infringement of existing copyright legislation. 4. Credit for the reproduced item is made to the City of Kitchener. 11. Disaster Recovery To supplement the preventative measures undertaken to safeguard the archival collection, a disaster recovery plan will be developed for the archival items in the care of Corporate Records Management. Such a plan will provide guidance to Corporate Records Management staff in rehabilitating archival items in the event of a disaster ~e.g., flood} as well as guidance to departmental staff in the protection of records in their custody. 12. Deaccessioning of Archival Records No records falling within the scope of this policy are to be deaccessioned from the collection via donation, gift, loan or transfer outside the Corporation without a written donation or transfer agreement signed by the Manager of Corporate Records Management and Archives Services. Those materials which fall outside the scope of this policy may, at the discretion of the Manager of Corporate Records Management and Archives Services, be destroyed, returned to the creator, or donated to another historical institution as deemed appropriate. Deaccessioning will not occur without the written approval of the Manager of Corporate Records Management and Archives Services in consultation with appropriate City staff. All records regarding the deaccessioning and disposition of archival items will be permanently retained.