| Experienced travellers take time to
learn something about their intended destination before leaving home. By knowing what to
expect in terms of language and customs they are able to adapt and enjoy their stay.
First-time archives users frequently
experience something of a culture shock as they struggle to adapt to new concepts and
procedures. Their expectations of what an archives should be are based on their experience
of libraries. Most of us tend to equate the two, but there are significant differences
between them.
This guide is intended to introduce
new users to some of the "customs" of archives. As with a visit to any new
locale you can ensure a more productive and pleasant time by being prepared.
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ARCHIVES AND LIBRARIES: THE
FUNDAMENTAL DIFFERENCE
The many differences between
archives and libraries can be traced to one central and all-encompassing fact: the nature
of the material collected by archives is fundamentally different from that found in
libraries.
Libraries collect published
material, also known as secondary sources. The holdings of one library may be duplicated
in whole or in part by the holdings of another. If a book is lost or stolen it probably
can be replaced.
Archives collect original
unpublished material or primary sources. The records held by archives are unique and
irreplaceable. By their very nature archival materials are fragile and vulnerable to
improper handling. If an archival document is lost, stolen, or irreparably damaged, the
information it contains is lost forever.
The unique nature of archival
material has led archives to develop stringent security procedures. Researchers cannot
browse through the stacks as they do in a library, and archival material can only be
consulted in supervised reading rooms. As well, a myriad of rules govern how documents
must be handled. These regulations usually are explained as part of the admission process and first-time researchers adapt quickly to
these aspects of their new environment.
Practices related to the arrangement
and description of archival material are more perplexing, particularly since the archival
profession, like every other, has developed its own jargon. Some knowledge of basic
concepts and terminology, of the language and customs of archives can help the new user to
feel at home.
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THE LANGUAGE AND CUSTOMS OF
ARCHIVES
Archives are concerned with
archival fonds — all of the documents created and/or accumulated and used by a person,
family, government institutions, or corporate body in the course of that creator's activities
or functions. Since archives acquire documents in any medium that records
information, the format of collections may be diverse and may include letters and diaries,
photographs, maps, architectural drawings, computer tape, video and audio cassettes. The
size of a collection may range from a single document to hundreds or even thousands of
metres of material.
Archivists frequently distinguish between
record groups and manuscript groups. A record group would include the various media
created as part of its activities by a government agency or other institution. A
manuscript group refers to the papers of an individual or private agency. The National
Archives of Canada and the archives maintained by the provincial governments have separate
divisions responsible for archival records created by government and the textual records
created by private sources. Increasingly, the Canadian archival profession is using the
term fonds rather than collection to refer to the records or papers of a particular
individual, institution or organization. A fonds will contain information about numerous
diverse topics and, unlike library material, cannot be organized physically by subject.
The work of arranging archival
materials is based on two principles: provenance and respect for original order. The
principle of provenance requires that the archives of an organization or person not be
mixed or combined with the archives of another. For example, if an archives holds the
records of two theatre companies it would not consolidate the records even though both are
involved in the same artistic endeavour and both create similar records. This practice
also is referred to as respect des fonds or respect for the source or creator. The
principle of original order requires that archives preserve or recreate the order in which
documents were created, maintained and/or used by the creator or office of origin. If, for
example, the administrative office of a religious denomination maintained files
alphabetically by name of congregation, that order would be maintained or, if necessary,
reconstructed by the archives. Original order is most obvious in institutional records
where organization and the need for easy retrieval were prime considerations in their
creation and use. Private manuscripts and papers often show little discernible evidence of
original order. The creator may have been happy to keep papers in a shoe box or bottom
drawer. Original order is, of necessity, a more flexible rule than provenance. Where it is
obvious that no particular order existed or when the order in which records were created
cannot be recreated, archivists may leave the material in the order in which it was
received or an order may be imposed to facilitate research.
Finding Aids
We are all familiar with the card
catalogue, the subject index which is the main access tool to library collections. Finding
Aids are the tools which provide access to archival material. These take many different
forms and serve a variety of purposes. The type and level of sophistication of finding
aids in a given archives will depend on the resources of the agency. Some common finding
aids are described below.
Guides to Holdings provide a ready
reference to the complex holdings of institutions. These consist of an abstract of the
information included in the descriptive inventory and give an overview of each collection.
Guides may also focus on particular subjects, time or places. Guides allow the researcher
to identify those collections which will be of value to their research. They can then
consult the descriptive inventories for more detailed descriptions. Guides to holdings are
often published. These are of particular value to researchers who cannot easily visit an
archives.
The Descriptive Inventory is the
most common type of finding aid which the researcher will encounter. The inventory
provides detailed information on the organization and activities of the agency or person
that created the records and on the physical extent, chronological scope and subject
content of the records. Lists of box and file titles and other descriptive material may
also be included.
Lists provide box or file titles,
names, places or subject information in alphabetical, chronological or other order. Box or
file lists are often appended to inventories.
Indexes, adaptations from the
library world, are the finding aids researchers are most comfortable using. The main entry
card identifies each separate accession. Other added entry index cards lead the researcher
to that accession from a variety of subjects places, people and events. An accession is a
group of records from the same source taken into the custody of an archives at the same
time. Since indexes are time consuming to produce, this type of finding aid is most often
associated with large well funded agencies. The Accession Register is designed to
establish control over material as it enters the archives. It is intended largely as an
internal administrative document. However, it does contain elements of description and in
some situations, particularly small volunteer managed archives, it may be the only finding
aid available to researchers.
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PLANNING THE RESEARCH
STRATEGY
Whether you are a writer or graduate
student, genealogist or local historian, successful use of archives depends on a carefully
plotted research strategy. Your strategy should allow adequate time for background
research, establish which archives hold relevant collections, and include a work schedule
which takes into account the extent of the material to be consulted.
The library should always be the
first stop on the way to the archives. Your success in using archival material will depend
on your grasp of the secondary material available for your subject - the information found
in encyclopedias, books and journal articles.
Secondary sources help you develop
parameters for your project and provide a context for assessing the primary sources you
use. As you acquire a general knowledge of your topic, you will develop a sense of the
areas that have been thoroughly covered and those aspects that need further study. You
will begin to formulate the questions and ideas that will provide the focus for your work
in the archives. The names, places, events and dates which you cull from your reading will
provide the access points to the primary material you consult. If, for example, the
records you wish to use are arranged chronologically and you don't know key dates, you
will not be able to use them. If major players are unknown to you, you will overlook
important manuscript sources.
As your reading progresses, move
from the general to the specific: from broad surveys of a topic or period to works which
explore particular themes. The reference librarian can help you work out a methodology
which will include basic reference works for your subject, appropriate published
bibliographies and major journals in the field.
How much reading should you do? The
answer is unique to every project. Experienced researchers develop a kind of sixth sense
and know when it's time to move on to the archives. First-time researchers will have to
depend on their own hit-and-miss methods as well as the advice of librarians, archivists
and colleagues. One thing is certain: secondary sources provide a touchstone. You will
want to return to them frequently as you carry out your primary research work: to assess
the material and to evaluate the ideas and theories you develop.
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FINDING THE ARCHIVES YOU
NEED
Some 800 archives in Canada make
their holdings available to researchers. These repositories are maintained by a variety of
organizations and range from the archival authorities of federal, provincial and municipal
governments to university, military and church archives and the archives of businesses and
other private sector agencies.
Some archives serve an in-house
function caring solely for the records of the parent organization. Examples would be the
archives maintained by religious denominations. Other archives perform a collecting
function, gathering records from a number of sources relating to a specific region,
subject or activity. The Archives of the Whyte Museum of the Canadian Rockies, for
example, collects only material relating to the mountains of Western Canada.
Many archives perform a combination
of these two functions. This would be the typical role of archives maintained by the
various levels of government. As well as caring for records created by the federal
government, the National Archives of Canada is responsible for collecting material which
documents our cultural heritage.
Identifying which of these archives
will be useful to you is one of the most important steps in your research strategy. Your
background research will provide your first leads. Footnotes, bibliographies and often the
narrative of a book or article can provide important information on sources. As your
reading progresses, build a list of the material you wish to consult and note the name of
the archives where it is held. Talk to colleagues who may have done work in the same topic
area. What holdings have they used? Have they found them useful?
Imagination and resourcefulness are
essential in tracking down material that will be useful to you. As you think about your
subject area and the persons and institutions involved, ask yourself - What documents
might have been created? Who would have produced them? Might these documents have
survived? What repository is most likely to hold them? Successful researchers are like
successful detectives ferreting out clues and leads. However, successful detectives build
supposition on sound evidence. Never assume that a document should have been created or
should have survived. Rather consider what evidence you have to support your belief.
Directories and published guides to
various archives are available at your library, through the inter-library loan system or
the reference libraries maintained by major archives. Directories provide a concise
indication of the holdings of individual archives and information on location, hours of
operation, etc. The Directory of Archival Repositories, maintained by the Canadian Council of
Archives, for example, provides information on more than 800 archives. Its thematic index
is a boon to researchers. Guides provide a ready reference to the
various holdings of an archives and assist the researcher in deciding what collections
might be of value.
Many National Archives of Canada
published finding aids can be consulted in major university and specialized libraries
throughout the country. The Union List of manuscripts in Canadian Repositories, Guide to
Canadian Photographic Archives, and Union List of Foreign Topographic Map Series in
Canadian Map Collections, will provide further information on the documents available in
your area.
Guides to holdings and other finding
aids on microform, as well as on electronic databases, are now becoming more readily
available to researchers. For example, the National Archives of Canada's decentralized
access sites located in Halifax, Montreal and Saskatoon give researchers access
to a number of data bases on CD-ROM. This technology makes it possible to consult
information on microform holdings as well as on other topics.
The National Archives and other
major archives also make some finding aids available for purchase for private study in the
form of microfiche, microfilm or photocopies.
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IS A VISIT NECESSARY?
Inter-Lending Services
The material you wish to consult may
be held by an archives hundreds of miles from your home. However, a visit is not always
necessary. The National Archives of Canada and a number of other major archives make
important or popular sources available on microfilm through the inter-institutional loan
system. A library or archives in your area is likely a participant in the system.
Provincial and territorial archival
repositories hold copies of some of the National Archives documents on a permanent basis.
Usually, these are documents of general interest, such as the papers of prime ministers,
censuses or documents relating to regional interests, like the records of the Department
of Indian Affairs regarding western Canada or Canada Post records concerning the Atlantic
Provinces. Copies of some maps, photographs, audio-visual material and works of art are
also available.
Research by Mail
Many archives will provide limited
research assistance by mail. However, the amount of time an archives staff will spend on
your request will be limited to a specific period of time (e.g., one half hour) or to a
set number of questions that can be asked per letter (e.g., no more than three requests
per letter). Research by mail is only viable when a researcher requires specific
information. It is not the role of the archivist to interpret documents for clients. To
take advantage of this service you should have planned your research strategy and know
exactly when this option is appropriate. Archives staff, quite reasonably, may refuse to
do research for individuals living within the vicinity of the repository. Some archives
charge a fee for research services.
Before you write: use Directories
and Guides to Holdings to establish appropriate archives and to note the correct address,
the archivist's name (for small centres) and current charges if applicable.
When you write: specify what you
need as succinctly as possible including name of person, place, event, location and
approximate dates. "I am writing to request a search of the Gophertown burial
register for the period 1910-1912 for John Doe son of William Doe and Jane Smith."
Don't add unnecessary detail. While it may be interesting to know that John Doe died of
complications from an abscessed tooth, this information will not aid the archivist's
search.
Research by Mail: If you have
corresponded with the archives before, say so, giving the date of your last letter and any
reference number which you may have been assigned. It is not necessary to go into detail
about your previous correspondence.
Research by Mail: Type or print your
letter legibly. Allow a reasonable length of time for a reply (from four to six weeks and
possibly longer for some agencies). Remember that your request is not the only one
archives staff have to deal with.
Research by Phone
All archives are prepared to give
out basic information about their services, hours of operation, and general holdings over
the phone. Many will take telephone queries and handle them in the same manner as mail
requests. Archival materials usually are more complex and difficult to search than books
and do not lend themselves to quick reference services. For this reason few archives are
in a position to provide detailed information over the phone. As well, many small archives
only have one staff person on duty and that person cannot deal with a steady flow of
telephone inquiries in addition to other tasks.
Professional Researchers
If you are unable to travel, most
archives can provide you with a list of professional researchers working in the area.
These lists are provided as a convenience and always carry a disclaimer stating that the
archives is not endorsing any of the individuals listed. All arrangements, including fees,
are the concern of the inquirer and the researcher.
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ARRANGING A VISIT
Make your first contact with an
archives by telephone or letter. Even if you live across the street, it is a good idea to
call first and determine whether an appointment is necessary. It is not wise to "drop
in" to an archives in the way you would a library. Large repositories have staff
devoted to reference service and usually can accommodate the unscheduled visitor. However,
the time available to assess your needs may be limited. The staff of small archives have a
variety of responsibilities and may not be able to attend to unannounced researchers.
Remember that most archives close occasionally to take inventory. Small agencies also may
have to close to accommodate staff leave.
When you make your first contact
with an archives, whether by letter or telephone or in person, state your research problem
succinctly. Cite the sources which you know the archives has and which you wish to use or
know more about. Ask what others possibly might be appropriate.
Usually, the archivist will set up
an appointment for a reference interview. The amount of time
scheduled will depend on the complexity of your project. The session also gives the
archivist an opportunity to explain security and other procedures in place at the agency.
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WHAT TO EXPECT
What should you expect as you get
ready to embark on your first visit to an archives? First, remember that not all archives
are created equal. The records which you wish to use may be housed in a large well-managed
and fully-staffed repository or they may be maintained in a facility that is little more
than a storage operation. From one archives to another there are huge variations in hours
of operation, levels of staffing and other matters of concern to the researcher. Be
prepared to adjust your work plan accordingly.
Concerns for the preservation and
security of these unique materials have resulted in distinct reference procedures. For
example, archival records cannot be borrowed and researchers are not allowed to browse
through the stacks. Documents must be consulted in a supervised reading room. To gain
access to the reading room of most archives you will be required to complete some form of
registration process.
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GAINING ACCESS
The Registration Process
Registration is required in most
archives. This usually requires that you complete a form giving such details as name,
address, telephone number, and area of research interest. Identification, such as a
driver's licence or student card, also may be required. During registration, the archivist
will explain various regulations including your responsibilities when handling archival
material. Usually you will be asked to sign a statement indicating that you have been
informed of these regulations and agree to comply with them. In large archives you may be
issued an identification card which will be valid for a specific period, typically one to
two years.
The Reference Interview
Successful research in archives
depends in large part on a successful collaboration between researcher and archivist.
The purpose of the reference or
orientation interview is to help you refine your research strategy by identifying
appropriate sources. Your job during the interview is to explain as concisely as possible
what your topic is, any deadlines for your research, what you have done, and what you
need. From your preliminary work you already may know of material which you wish to
consult. The reference interview is optional. However, the archivist's knowledge of the
institution and the records in its care can be one of the most effective elements of your
research plan. As well, the archivist may be able to put you in touch with other
individuals working in your field or help you identify topic areas that have been
neglected.
Restrictions to Access and
Use
All archives have policies governing
access to their records. Large public archives such as the National Archives of Canada and
the various provincial and municipal archives are open to the public by legislation.
In-house archives, such as those caring for the records of businesses or private
institutions, may allow access only to their own employees or persons working under
contract to the parent organization.
It is possible that records which
you wish to consult will not be available to you. Depositors may place restrictions on
records. For example, a politician's private papers may be closed to researchers for a
period of thirty years following his death. The archives itself may have to restrict
records which contain defamatory, libellous or some personal information about a person
other than the depositor.
Records which are in poor physical
condition or have been damaged may be withdrawn until they are restored by a conservator.
If it is possible, an archives will try to provide microfilm or some other form of copy.
Finally, unprocessed material, i.e.,
records which have not been brought under control through arrangement and description,
generally will not be made available to researchers. Depending on the resources of an
archives and the backlog of work, it may take several years to make a new acquisition
available.
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GETTING DOWN TO WORK
What's expected of you?
In addition to being unique,
archival material is highly fragile and vulnerable to improper handling. Everyone who
handles archival documents shares a responsibility for their care. As a researcher you
will be expected to follow practices which will contribute to the preservation of the
material you use. Some of the more common procedures are described below.
Pencils are used for note taking.
Ballpoint pens, fountain and felt-tip pens, and correction fluid should not be used in
reading rooms. All contain substances which can cause damage to records. Laptop computers
are commonplace in reading rooms nowadays. However, few archives can provide an electrical
outlet for every researcher. Be sure that your batteries are up to strength.
Smoking, eating and drinking are not
allowed in reading rooms. Not only can documents be stained or damaged, but food residue
can attract insects which harm paper.
Personal belongings, such as coats
and briefcases, cannot be brought into the reading room. Secure storage generally will be
provided for these items.
Mixing files or documents can
undermine their research value. Use only one box of material at a time and only one file
from the box; take care to keep the documents in the file in the order in which you find
them. Archival material is arranged by original order.
White cotton gloves are worn when
handling fragile materials. These prevent the soiling of documents and damage to paper
fibres.
Handle with care and avoid propping
volumes or applying pressure in any way; do not mark or fold documents. If you wish to
mark your place, use paper marking flags which can be interleaved as required.
Realities of Volume and Time
First-time archives users often are
overwhelmed by the volume of material to be sifted through. As part of your research
strategy, use finding aids to assess the extent of a collection in order to
"guesstimate" how much time to allow for your work. "Guesstimate" is
the operative term since new users do not have the experience to accurately gauge a work
schedule. The archivist will help you work out a time frame, but be prepared to adjust as
every individual has different work habits. Names, places, events and dates must be used
to get a "handle" on this material. This is where solid background research pays
off.
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NOTE-TAKING TIPS
Accuracy of note taking takes on a
different dimension in archives than in a library. It is more difficult to recover
citations from documents than from books and revisiting an archives is not always an
option. At a minimum, you should take enough notes to ensure that factual data and
quotations which you intend to use are recorded in full. Accurate citations are a
guarantee that you or your readers can consult the same material in the future.
Ultimately, each researcher will have to decide how much detail to record. As with so many
aspects of working in an archives, your skill in this area will improve with each
subsequent visit.
Your working notes should include
the name of the archival institution, the record group or manuscript collection, series or
file title, the exact identity of the item consulted and, finally, your content note for
the information that interests you. Record precise titles as used by the archives for your
first entry. Abbreviations can be used for subsequent notes.
Once a record group or manuscript
collection has been consulted, it is wise to prepare a summary note indicating the
chronological scope and the arrangement of the material, whether all of a group or only
part was checked, items which you plan to use and those which are irrelevant for your
project. Such a summary will allow you to use material more efficiently and to avoid
duplication of effort on any follow-up visit.
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COPYING
Photocopies can be provided by an
archives only within the limits of the Copyright Act and only if
the condition of the material warrants exposure to the handling and light necessitated by
the process. Copies are made by an archivist or technician. Charges vary and many archives
set limits on the number of items they will copy for a single user in a stated period of
time.
Most archives can provide copies of
photographic prints, cine film, tape recordings, maps, drawings and other media. Charges
and limits on the extent of copying allowed will vary from archives to archives.
A detailed statement on policy,
procedures and prices for reprographic services will usually be provided on request.
Copies provided through reprographic services are made available for private research and
reference purposes only. You may be asked to sign a statement to this effect.
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USING THE INFORMATION
Copyright
Reproduction of archival material is subject to the terms and conditions of the Copyright
Act. This is a highly complex area for both archives and researchers. However, the
researcher is responsible for determining copyright ownership and obtaining permission to
publish any copyrighted materials.
Copyright can be owned or held by an
individual, a corporation, or the public, depending on the age, nature and disposition of
the material in question. The diffficulty for both archives an researchers lies in
determining who holds copyright, whether they are still alive or when they died, and if
they have made special arrangements for the transfer or maintenance of copyright.
Public archives such as the National
Archives of Canada and the various provincial archives and other collecting archives hold
material for which the ownership of copyright may be uncertain. In-house archives
generally own the copyright of the material they hold. Researchers should allow adequate
lead time for researching ownership and obtaining permission to copy or publish.
Citations
Archival material is more complex to
identify than books or journal articles making the accuracy of citations more critical.
Many archives provide instructions on how best to footnote their holdings.
As a general rule of thumb, the
first reference in a footnote is to the individual item. The series, group and name of
archives follow. This is the reverse to note taking. Footnotes will vary according to the
type of material being cited. When in doubt, seek the advice of archival staff.
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COMPLETING YOUR VISIT
As you complete your work in an
archives, make a note of any information which would be useful for a return visit. This
might include practical facts, such as variations in hours of operation, or a notation on
record or manuscript groups which will be useful to you in the future. If an archivist or
librarian has been particularly helpful, take time to write a thank-you note. Finally,
some archives and libraries have "friends" associations or other forms of donor
and volunteer programs. Consider what you can do to assist in preserving our documentary
heritage.
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