Archives for Beginners
7. Handling Access
This section examines how to manage access to your archive and the steps to be
taken to ensure that archives are kept secure while being used. There are two kinds
of risk:
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The physical risk of loss or misplacing of documents;
The risk of breaching Data Protection legislation or breach of trust from
uncontrolled disclosure of sensitive information and the infringement of
copyright rules. These issues are considered in Section 2, Collecting and
Keeping.
Research access to the archives immediately increases the risks to historical records
from the additional handling this involves for documents. The risk also increases as
researchers have been known to steal material. There is also the less tangible risk of
inappropriate information being accessed either in error or by premeditated designs.
Cautionary Tale
An article in the 13 April 2013 edition of The Spectator reported that a deceased
member of staff of Lambeth Palace Library had stolen approximately 1400 books
from the library which included removing the relevant card index for each stolen
book. Even prestigious institutions have suffered thefts.
General premises security
The security of your archives consists of series of overlapping layers which include
the strong room/storage area, the research area, the internal division between
public and private areas and the general perimeter of the premises. The security of
the reading room or your research area is therefore a component of the wider
security of the premises. A good way of assessing your potential vulnerability is to
survey the storage and public areas, the immediate vicinity and perimeter of the
building (especially entrances), and your operational procedures to identify possible
gaps in your defences. The results of such an exercise can help to identify where
improvements can be made.
The level of security changes with function, for instance when records are taken
from storage to the reading room.
General points to consider when evaluating the security of the premises include:
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Visitors, whether contractors, researchers or any non-authorised staff should
not be able to enter non-public areas by accident or design without being
accompanied at all times by repository staff;
If original material is being exhibited in a display area, the level of security
needs to match that prevailing in the search room. In many cases, use of
good facsimiles might be a much better option than displaying original
material and certainly more flexible for instance a facsimile exhibition can be
displayed off-site;
For smaller sites, a security lock controlled by an entry phone will help to
provide an additional level of security.
If you are the lone member of staff, do not leave archives unattended. If you need to
leave the reading area, any researchers must return the material they are consulting
until you return.
The security of the research area is a component of the wider security of the
premises and it is best to see security as embracing all aspects of your
accommodation and activities.
Regulating research access
It is a basic principle that researchers should never be given direct access to storage
areas.
Verifying researchers
All readers should have their identity and the subject of their research confirmed on
their first arrival at the archives, using such identity documents as driving licence,
passport or other documentation that includes a photograph. On every visit
thereafter their identity should be checked and they should be asked to sign in
before they are allowed to look at anything. This signing in process should include
agreeing to the terms and conditions of use, a copy of which could be given to them.
Some archive repositories participate in readers' cards schemes, a notable example
is that operated by the County Archives Research Network (CARN).
Rules for researchers
Any researcher needs to know and understand that access to original material is
conditional on abiding by a set of rules that aim to balance their need for access with
the long-term safety of the collection.
Even a small archives repository requires rules that clearly set out the appropriate
behaviour and practice expected from the researcher while they consult archival
material. Rules need to cover the whole premises and the entire duration of the
visit.
Some basic rules include:
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Do not bring coats, bags or other bulky objects into the reading room.
This will usually require having a locker or cupboard available where these
can be stowed and only the personal computer, pencils and a minimal
amount of notebooks and research notes should be allowed in the room.
Do not bring in any food or drink.
Ensure your hands are clean. Before consulting any documents wash them to
remove any dirt, crumbs, grease or hand cream.
In this regard, it is worth checking you have a facility for washing hands in the
vicinity.
When making notes, use a pencil, not a pen or any sort. If you haven't one
with you, the duty archivist can lend you one.
Do not lean or rest anything on the documents you are looking at. All items
must be handled with care and using the appropriate equipment if provided
such as document cushions and weights.
When reading an original document, do not touch the page. Use a slip of
paper as a line guide if necessary.
Keep the documents in the order in which they come to you. If they
accidentally get disarranged, tell the duty archivist.
Ask the duty archivist before making a photographic copy of any document.
It will be necessary to sign a copyright form.
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The rules should be displayed prominently in the room and it is recommended that
each reader is asked to sign and date a copy on their registration as way of
reinforcing the commitment they are making to abide by them.
Reading Room Rules
An example of search rooms rules are those published by Lambeth Palace Library:
http://www.lambethpalacelibrary.org/files/Reading_Room_Rules.doc
An integrated approach is The National Archives guidance to visitors, which flows
from arriving at the welcome desk to readers’ tickets, document ordering and
handling:
http://www.nationalarchives.gov.uk/visit/when-you-arrive.htm
Reading Room Lay Out
The way in which the reading room is laid out can make a difference to the security
of the collection at two levels. Firstly, physically, in having clear sight lines between
the supervisor and the researchers and secondly, psychologically, by inducing an
environment that reinforces good practice.
Ideally, there should be only one public entrance, apart from alarmed emergency
exits. Rooms regular in shape like a square or rectangle, without alcoves or blind
corners, are much easier to invigilate than irregularly shaped rooms.
Significant steps that can enhance security include:
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Have a designated area for researchers which is tidy and clean with tables
free of clutter. First impressions can induce an atmosphere of calm order.
Arrange the layout of the room and of the furniture carefully so there are
clear sight lines between the supervisor’s desk and the researcher. The
position of furniture is important; avoid obstructing sight lines with
bookcases, filing cabinets or computer terminals.
Ensure the physical separation of the researcher from their bags and coats
and other bulky personal belongings.
Ensure that other public rooms like the toilet, locker-room and coffee area
are not be immediately accessible from the reading area without passing
through an invigilation point.
If resources permit, reinforce the human invigilation. Measures include
convex mirrors and having office windows that overlook the research area.
However it should be emphasized that these are no substitute for effective
human invigilation within the room.
‘Prevention of theft: principles and practical guidance’ published a by European
Board of National Archivists (EBNA) Working Group provides helpful information
http://ec.europa.eu/archival-policy/docs/eag/practical_guidance_en.pdf
Operational procedures
In addition to the lay-out of the room, operational procedures have an important
role in reducing the risks associated with regulating research access to the archive
collection.
These include:
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Ensuring that when the research area is in use there are sufficient staff to
continually provide an effective level of invigilation of the whole area. If
necessary close the area for lunchtime and coffee breaks.
Producing original material in small batches with an authoritative record
made of all the archives produced for each reader that can be checked when
it is returned. This might be on a database, an entry in a logbook or a system
of paper slips.
Ensuring all archive material that is produced has a unique reference. With
particularly important material, each individual piece should be discreetly
annotated with a pencil reference that cross-references to the descriptive list
and can be used easily to check that no material has been misplaced or is
missing.
With-holding fragile or damaged material not fit for production.
Photocopying or photography should be supported by appropriate procedures. As
minimum protection from copyright infringement, it is important that all researchers
who make copies or receive copied material sign a declaration form accepting that
they will use the copies for private research under the ‘fair dealing’ exemptions.
Clear and simple sets of rules governing planning and use of the storage and
research areas will do much to ensure the security of your archives from theft or
accidental damage.
Alternative access arrangements
It may that creating suitable access arrangements for your organisation's archives is
not possible and a better way of providing access is to deposit temporarily the
collection at an established archive repository where, by prior arrangement, a
researcher can access the collection for a limited period. This arrangement is used by
some private owners of manuscripts and might suit small religious organisations that
would find it difficult to host and supervise researchers.
A good summary of the issues can be found in section 4 of The National Archives'
former Standard for Record Repositories:
http://www.nationalarchives.gov.uk/documents/informationmanagement/standard2005.pdf