# Get Ready Before You Go! Documenting the Accessioning Workflow and Creating the Collection File

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{% tab title="SECTION 1: ACCESSIONING WORKFLOW" %}
[<mark style="color:blue;">BEST PRACTICE 1.1 ➤  Create and use a system to track accessioning work</mark>](#bp1-1)

[<mark style="color:blue;">GOING FURTHER 1.2 ➤  Systematically track accessioning labor and capacity</mark>](#bp1-2)
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{% tab title="SECTION 2: THE COLLECTION FILE" %}
[<mark style="color:blue;">BEST PRACTICE 2.1 ➤  Compile accessioning documentation and information in the collection file</mark>](#bp2-1)
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New acquisitions can be exciting for an archival repository and its user community. Before bringing new materials “in the door,” it is critical to first establish repository-wide practices around accessioning documentation, workflows, and responsibilities. These include a **documented accessioning workflow** and **the collection file** (also referred to as the control file, donor file, or case file).

Used in tandem, an accessioning workflow and the collection file capture and communicate essential acquisition information. They also confirm that a repository is meeting its stewardship goals and obligations from the start.

## SECTION 1: ACCESSIONING WORKFLOW <a href="#section1" id="section1"></a>

An accessioning workflow comprises a sequence of events and activities required to acquire, intake, and stabilize new archival materials. _See Appendix D for a_ [_sample accessioning workflow checklist_.](../appendices/appendix-d.-templates/sample-accessioning-workflow-checklist)

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**Tip!** Use these best practices as inspiration for the types of activities to include in an accessioning workflow.
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#### <mark style="color:blue;">BEST PRACTICE 1.1 ➤  Create and use a system to track accessioning work</mark> <a href="#bp1-1" id="bp1-1"></a>

A tracking system helps archivists adhere to local accessioning protocols and efficiently report on the status of accessioning work. This system will look and function differently depending on the needs and capacity of the repository. It can be as simple as a checklist on a piece of paper or integrated into a project management application or collection management system.

**Characteristics of an accessioning tracking system**:

* **Prescriptive and direct**: It should succinctly list the tasks needed to accession a collection at the archival repository, from pre-custodial work to description and access.
* **Accessible**: It should be easily available to all stakeholders who need to know the status of an acquisition in the accessioning process.
* **Reusable but flexible**: Most accessioning procedures will be the same with each acquisition; however, some situations may require adjustments to the workflow to include slightly different tasks.

#### GOING FURTHER 1.2 ➤  Systematically track accessioning labor and capacity <a href="#bp1-2" id="bp1-2"></a>

Consider recording other accessioning actions or data in order to report on aggregate activities, the amount of labor undertaken, or the institution’s accessioning capacity. Assigning specific team members/stakeholders to tasks and tracking dates tasks are performed can help manage workloads.

## SECTION 2: THE COLLECTION FILE <a href="#section2" id="section2"></a>

The knowledge and documentation gained through the accessioning process are invaluable; however, this information is vulnerable until it is recorded in a centralized and accessible location.

A collection file, also known as an accession file, case file, control file, or donor file, is a record of legal and administrative documentation about a given archival collection, fonds, donor, creator, or source. It holds critical background information on the selection and acquisition process and documents actions taken during the accessioning process. Much of the information about a collection that is later recorded in the accession record is drawn from the collection file.

**Characteristics of the collection file**:

* **Centralized and accessible to staff members**: Access should be as open as possible within the repository while adhering to organizational privacy guidelines, as collection files can contain private information.
* **Arranged in a structured, consistent manner**: Collection files may be arranged, for example, by accession number, in chronological order, or by collection name/number.
* **Maintained in a realistic, useful format**: A collection file can be physical, digital, or both. The best collection file format is the one that is easiest to maintain and use by accessioning staff, whether that is:
  * **Physical**, with printed born-digital records and email correspondence,
  * **Digital**, with born-digital records and digitized surrogates of physical records, or
  * **Both physical and digital**, with identical file arrangement between physical and digital folders when possible or necessary; cross-references between physical and digital files should be used when the files are not identical.
* **Accessible for external researchers, with conditions as needed**: External access to the collection file should be governed by a written policy that balances privacy risks with the benefits of research access to key contextual information about the archival materials’ provenance, custodial history, and contents. This policy should explain what information can be shared with external researchers and how it can be requested.

#### <mark style="color:blue;">BEST PRACTICE 2.1 ➤  Compile accessioning documentation and information in the collection file</mark> <a href="#bp2-1" id="bp2-1"></a>

The collection file typically contains documentation that contextualizes the selection of an acquisition and supports specific aspects of the acquisition process. The following list describes the documentation an accessioning archivist is likely to encounter in a collection file or which may be generated during the accessioning process:

* **Legal records**: Documentation of the repository’s legal ownership of a collection; transfer or retention of copyright and intellectual property rights; and terms that define access, use, and the rights and responsibilities of the donor and repository. **Legal documents are the most important documents to keep in the collection file.** _Legal documentation is also discussed in_ [_Pre-Custodial Considerations_](pre-custodial-considerations)_._
  * Includes deed of gift, transfer agreement, purchase agreement, invoice, receipt, bill of sale, or deposit/loan agreement
  * May also include letters of acknowledgment, proof of receipt, import licenses and customs documents, documentation of negotiation, a summary of terms in the legal agreement, or drafts or superseded legal agreements
* **Donor or source information**: Documentation of the donor or source’s contact information, identity, or relationship to the repository.
  * Includes contact information of donor, source, creator, or heir
  * May also include obituaries, resumés, CVs, and other biographical information; notes on relationship to the organization
* **Communications**: Communication with donors, sources, creators, heirs, and other external stakeholders that provides context to any expectations, negotiations, and agreements before, during, and after acquisition. Communication among administrators, curators, and archivists may also be retained for context on collection treatment during and after acquisition.
  * Includes email and paper correspondence with relevant external stakeholders and summaries of phone calls and meetings
  * May also include questionnaires, text messages, and internal email correspondence
* **Site visit documentation**: Information gathered during site visits about the creation, original arrangement, and custodial history of the archival materials that can be repurposed in accessioning and processing, including significant pre-custodial actions taken by the repository, such as appraisal or changes to arrangement. _Site visit documentation is also discussed in_ [_Pre-Custodial Considerations_](pre-custodial-considerations)_._
  * Includes field notes and memoranda of appraisal decisions, and an on-site, pre-custodial survey report
  * May also include photographs of materials in situ before and after packing. Photographs can be used to support insurance claims if material is damaged in transit.
* **Appraisal documentation**: Provides important context about the archival materials’ alignment with mission statements and collecting priorities, their research value and audience, and financial value, when applicable.
  * Includes notes or memoranda of appraisal decisions or a formal appraisal report/form, a reappraisal and deaccessioning form, and documentation of the disposition of separations
  * May also include a copy of a third-party financial appraisal, information about the appraiser, and an operational impact report
* **Research information**: Additional materials that provide context on the creator or collection, which may be used in the creation of a biographical/historical note or scope and content note.
  * Includes clippings, bibliographies, off-prints, and any other secondary source materials that contextualize the archival collection
* **Inventories, metadata, and descriptions**: A list and/or description of the archival materials being acquired, specifically information about their content, provenance, condition, and format, that is generated by archivists, sources, creators, stakeholders, or content specialists.
  * Includes creator-, donor-, or vendor-supplied descriptions, spreadsheet inventories/lists, born-digital manifest or file directories, and digital forensics reports
  * May also include legacy inventories created by the repository

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**Tip!** This information can be repurposed for accession records, finding aids, and other catalog records.
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* **Processing and preservation documentation**: Documentation about the repository’s processing treatment of a collection.
  * Includes processing plans, conservation reports, and born-digital file ingest reports
  * May also include copies of accession records, bibliographic records, and finding aids; post-processing reports; and documentation of actions taken on born-digital files
* **Documentation about refused/unresolved acquisition opportunities**: Records related to why materials were not acquired, including interactions with sources/creators. This documentation is used in cases when the acquisition is presented again, acquisition discussions resume after a long pause, or the initial acquisition presented potential problems or concerns.
  * Includes communications, formal letters of refusal, and internal notes
