Establishing Custody: Packing, Transfer, and Intake of New Collections
The packing, transfer, and intake phase of accessioning is when a repository physically and digitally takes custody and control of a collection. This is the moment when archival stewardship formally begins and archivists begin to apply their expertise in caring for materials.
Collections can come from an array of environments and in a variety of conditions, and this phase of accessioning may be the first time a repository’s staff physically interacts with a new collection and its original environment. This chapter provides guidance for safely and effectively bringing physical or digital archives from their original location to the repository. It describes how to properly transfer and pack materials, assess for threats to people and collections, and apply initial care to the collection before further stabilization, arrangement, and description begin.
Staff Training
Repositories should have policies and procedures for handling materials to ensure the safety and security of people, collections, and collections infrastructure. Basic training in object handling and in identifying common preservation and conservation concerns for both physical and digital materials is recommended.
SECTION 5: PACKING AND INTAKE OF PHYSICAL COLLECTIONS
BEST PRACTICE 5.1 ➤ Pack collections in situ whenever possible
Preparatory work done during the pre-custodial phase sets both parameters and expectations for what materials will be collected during the packing and intake phase. Packing the collection wherever it is stored before removing it to collection storage can assist with better physical and intellectual control of the materials.
Packing in situ ensures that:
Archivists have an opportunity to identify and record the original condition and order of the materials, and
Materials are placed into stable containers that can fit on collection storage shelves.
If unable to pack the collection in situ, provide the donor/seller with clear packing and shipping guidelines.
BEST PRACTICE 5.2 ➤ Pack only what is being acquired and appraise again while packing, if needed
Ideally, archivists should only pack materials that have been formally appraised and accepted for acquisition. Consult pre-custodial information and legal documentation (e.g., deed of gift, transfer authorization, inventory, acquisition report/proposal) to confirm what has, and has not, been accepted for acquisition.
Archivists packing collections must be empowered to make appraisal decisions. Archivists may be confronted with last-minute additions to the collection that are unexpected and were not previously appraised. In this instance, an on-the-spot appraisal may be warranted.
Tip! Be cautious of succumbing to a false sense of urgency by packing materials in the moment rather than consulting colleagues or scheduling an additional pick-up time. It’s okay to take a breath and make space for appraisal. Deferring appraisal decisions until after material is acquired creates additional work in the future and transfers the burden to colleagues who may have less information or agency.
BEST PRACTICE 5.3 ➤ Pack collections for safe transport
Moving unique materials always comes with a degree of risk. Careful attention to how materials are packed will mitigate many of these risks. Consider the following when preparing for a collections move:
Pack mindfully
Place all items in sturdy containers with lids or enclosures. If an oversized item cannot fit within a container, ensure it is fully wrapped.
Use inner boxes and other cushioning to prevent slumping and damage to materials in containers.
Label each container with brief administrative and descriptive metadata.
Maintain the arrangement of the collection as much as possible, taking special care to box similar or related items in proximity to one another.
Ship carefully
Insure and track collections while in transit.
Keep weather conditions and formats in mind when recommending or deciding on shipping service types. For example, audiovisual (AV) materials, particularly during winter or summer months, may merit the expense of overnight shipping.
Review institutional policies, insurance requirements, and liability guidelines if personal vehicles must be used to move materials locally. Use of private vehicles should be a last resort.
Consider special needs for special formats
Isolate materials with suspected conservation concerns or evidence of pest infestation from other materials until they can be properly assessed and potentially re-appraised.
If the collection includes potentially hazardous materials, such as cellulose nitrate film, ensure all relevant shipping regulations are followed.
BEST PRACTICE 5.4 ➤ Reuse, recycle, and repurpose packing materials
Be mindful of environmental impact and minimize waste when transferring materials:
Minimize or eliminate use of non-biodegradable or non-recyclable materials, such as bubble wrap, foam core, Styrofoam peanuts, and other polystyrene-based materials.
Reuse clean, undamaged supplies, particularly archival-quality materials, for future collection packing.
Repurpose or recycle used containers and other packing materials when possible.
SECTION 6: RECEIVING AND STORAGE ENVIRONMENTS
BEST PRACTICE 6.1 ➤ Designate a consistent location for new acquisitions
Maintain a storage location for new acquisitions that is distinct from processed collections. For some repositories, this may include a separate, climate-controlled, monitored, and/or alarmed storage area only for new materials. For others, this separate location may be a labeled cart, wire rack, or designated area on collections storage shelves. Ensure that materials are stored at least four inches off the floor to prevent damage.
A separate storage area for new acquisitions:
Ensures security of new, perhaps less-documented materials;
Enables quick access for retrieval, processing, and preservation/conservation treatments; and
Mitigates the risk of pests or mold infesting existing collections.
BEST PRACTICE 6.2 ➤ Storage for new acquisitions and accessioned materials should be secure, accessible, and environmentally stable
Most “short-term” storage locations are, at best, “medium-term.” Interim storage locations should be no less secure or stable than permanent or long-term storage.
Interim storage is not:
Personal workspaces or offices: Collections kept in personal spaces often go undocumented, putting them at risk of loss and damage. Storage in personal offices can encourage individual feelings of ownership over collections and may expose collections to different environmental and security policies than storage spaces.
Communal workspaces: Keeping collections in communal spaces introduces the possibility of confusion and accidental mingling with unrelated materials.
A permanent backlog: Consider how to keep accessions visible and accessible to staff to avoid “out of sight, out of mind” backlogs.
SECTION 7: INITIAL PHYSICAL INSPECTION AND ASSESSMENT OF PHYSICAL MATERIALS
The final stage of the acquisition process involves reviewing all received items. This is an excellent opportunity for another round of appraisal as well as a preservation assessment. Consider: Are the contents of the collection as expected? Are items missing, or was more received than planned? Was anything damaged in transport?
BEST PRACTICE 7.1 ➤ Review all received items as quickly as possible after receipt
Careful inspection of new materials should occur as soon as possible after arrival at the repository to:
Assess the physical condition of the materials and address immediate threats, and
Ensure that all parts of the expected collection are received.
Place the materials in a location that is consistent, secure, and, ideally, some distance away from other collection materials to avoid cross-contamination.
Any notable discoveries that arise during the initial physical inspection can be recorded in the archival collection management system or the collection file.
BEST PRACTICE 7.2 ➤ Assign unique identifiers and track physical location
Once the collection has arrived and has been inspected, track the location of the materials and physically mark the containers indicating to which collection they belong. A unique identifier should be assigned to the materials as soon as possible upon arrival at the archival repository to tie all materials from one accession together. This might be an accession number, a collection number, or a temporary intake number. Whichever identifying schema is used should be employed consistently across all collections. Containers should be clearly marked with the identifier, as well as the storage location if needed. Additional guidance on formulating accession identifiers is in the Accession Record Elements chapter.
The location of the new materials should be recorded in an archival collection management system, shelf list, or any other method used by the repository for stacks management.
BEST PRACTICE 7.3 ➤ Dispose of or return unwanted items prior to accessioning
Accessioning is an opportunity to confirm that new materials are aligned with your collecting scope. Avoid expending resources on materials you don’t intend to steward long-term by identifying materials not likely to remain in the collection. Materials that are weeded during inspection or appraised before accessioning is completed do not need to go through a formal deaccessioning workflow; however, that act of removal or disposal must still be documented in the collection file and accession record.
Document the types of materials, quantities, reason for refusal, and the date and method of disposal or disposition. As discussed in Pre-Custodial Considerations, follow any guidelines for returning or destroying materials set forth in legal documents or repository policies.
SECTION 8: TRANSFER, INTAKE, AND ASSESSMENT OF BORN-DIGITAL MATERIALS
The integrity and fixity of digital materials is paramount during the transfer process. File metadata, including create/modify/access dates, can be unintentionally altered and lost during this stage of accessioning, compromising the evidentiary value of the records. For this reason, staff should not move or copy files (and remember to instruct donors and record sources not to move or copy files) without careful planning.
This section does not identify or endorse specific tools, software programs, or hardware due to the likelihood of institutional preferences and the rapid pace of technological change. Instead, refer to Appendix E. Bibliography and Resources.
To assess born-digital materials, repositories need the following:
Quarantined computer environment
Anti-virus software or virus scanner program
Write blocker
File transfer utility that validates checksums
The following may also be needed:
External media player or reader, such as a CD or DVD player or floppy disk reader
Computer with ports or external port hub to connect auxiliary devices, such as flash drives, external hard drives, and media players
Web-recorder or crawler
Browser-based transfer utility
Transfer and Intake of Born-Digital Materials
BORN-DIGITAL BEST PRACTICE 8.1 ➤ Select a transfer method suitable for the source and the needs of the content
The technical capabilities of the source and where their content resides will help determine what transfer method is used, such as a Secure File Transfer Protocol (SFTP), browser-based transfer utilities, fetching from cloud storage, or auxiliary devices such as flash storage, external hard drives, or internal hard drives. Content may be on floppy disks, optical discs, and digital tape formats. Also consider file compression, file size limits, and the ability to preserve metadata when selecting a transfer method.
BORN-DIGITAL BEST PRACTICE 8.2 ➤ Generate a file directory and checksum before transfer
Ideally, archivists should capture the state of the digital material in its original environment by generating a file and/or directory listing and checksums. Staff may also wish to use utilities and copy tools that can verify fixity before and after transfer by comparing checksums.
BORN-DIGITAL BEST PRACTICE 8.3 ➤ Collect information on any encryption keys, passwords, and hardware needed to access born-digital materials
Follow up with the source of the materials as soon as possible if materials are inaccessible due to encryption, password, or lack of proper hardware.
BORN-DIGITAL BEST PRACTICE 8.4 ➤ Use a dedicated file transfer utility to move digital materials to digital collections storage
Validate the complete and accurate transfer of files between digital storage locations by using a file transfer utility that compares checksums of source and target files. This ensures that what arrives in digital collections storage is identical to the original target files. A file transfer utility also preserves date timestamps and skips problematic, corrupted files to be dealt with later, rather than terminating the transfer altogether.
Assessment of Born-Digital Materials
BORN-DIGITAL BEST PRACTICE 8.5 ➤ Assess born-digital materials within a quarantined environment
A non-networked machine, or a quarantine environment, will ensure that accessioned files are isolated in case they are infected with a virus. Using a standalone, non-networked machine designated for digital preservation is advisable; however, a quarantine environment can also be created by disconnecting from the internet via unplugging the cable or turning off Wi-Fi.
BORN-DIGITAL BEST PRACTICE 8.6 ➤ Run a virus scan on born-digital materials
All born-digital materials should be scanned for viruses during the ingest process and before being transferred into interim or permanent digital storage to keep digital archival storage clear of threats. Institutions may choose to rely on digital transfer methods with built-in virus scans.
Open-source and proprietary anti-virus software options are available. Regardless of which software is used, the anti-virus program should be:
Actively maintained, so that it will recognize new viruses,
Kept up-to-date with the latest software version, and
Run in a quarantine environment.
Record in the accession record and/or accessioning documentation the following:
Date of virus scan
Software used, including version
Result of the scan
If viruses are detected, do not proceed with the transfer. Use the anti-virus software to delete or quarantine infected files.
BORN-DIGITAL BEST PRACTICE 8.7 ➤ Use a write blocker when interacting with new collections
Write blockers (tools that permit read-only access) allow staff to view and assess the collection without unintentionally overwriting its metadata, such as creation or modified dates.
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