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Guidelines to managing
architectural records
Last Updated: 31 December 2004 copyright © Louis Hellman
Guidelines to managing architectural records
© Architectural archives in Europe, 20041st edition, December 2004
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Archives d’architecture en Europe
I. AIMS AND OBJECTIVES... 5
II. PRODUCTION, RETENTION
AND DISPOSAL OF RECORDS:
THE NECESSITY FOR MANAGEMENT... 7
2.1. Records management: Introduction... 7
2.2. Production: Classification schemes for the office...8
2.2.1. Purpose...8
2.2.2. Main stages of a record’s life cycle...9
2.2.3. Flow chart for the treatment of records within each project, and within each section of the practice...9
2.2.4. Standards for the naming of projects and the codification of work phases... 10
2.2.5. Organising files...10
2.2.6. Training and awareness raising for staff...11
2.3. Production: Electronic records management policy and metadata scheme... 12
2.3.1. Electronic records management policy...12
2.3.2. Metadata schemes...13
2.4. Retention and Disposal: Records management policy...15
2.4.1. How to preserve...15 2.4.2. What to preserve...15 2.4.3. Records management ...16
III. STORAGE,
PRESERVATION, RETRIEVAL:
GOOD PRACTICE IS OFTEN ENOUGH... 18
3.1. Storage and records management procedures ... 18
3.1.1. Physical environment/conditions...18
3.1.2. Building maintenance...19
3.1.3. Security...19
3.1.4. Storage areas and equipment...19
3.2. Retrieval of documents... 20
3.3. Drawings and paper records: storage... 21
3.3.1 The arrangement of files and boxes... 21
3.3.2. Drawings (paper records) ...21
3.3.3. Equipment...22
3.3.4. Drawings in other media ...22
3.4. Electronic records: storage... 23
3.4.1. Introduction...23
3.4.2. Strategies for storage and preservation...23
3.4.3. Software and format...24
3.4.4. Media...24
3.5. Photographic materials: storage
... 26
3.6. Videos: storage... 28
3.7. Motion pictures: storage... 29
3.8. Models: storage... 30
IV. OFF-SITE STORAGE... 31
V. ANNEXES... 32
Annex 1: Records life cycle...33
Annex 2: Describing documents (based on the Dublin Core)...34
Annex 3: Important documents to keep...35
VI. GLOSSARY... 37
VII. BIBLIOGRAPHY... 41
I. AIMS AND OBJECTIVES
It is essential that architectural practices understand how to keep and manage their documents and computer files because they are vital for the commercial success of a business.
These recommendations aim to assist architects in managing and preserving their records. They have been developed by a group of specialised archivists as part of the European GAUDI programme (Governance Architecture Urbanism Democracy Interaction, 2002-2004).
*
Why should architectural practices need records management or bother to keep archives?
• Practical necessity
The practical reasons are the most obvious. Special technical solutions or details designed for a building – whether the project comes to fruition or not – may be of use for a later project or for further work on the same project. Practices may also need to show what they have already done, or to show examples of their work to prospective clients.
• Legal requirements
Legally, certain categories of documents may be required in cases of dispute, particularly contractual documents. These should be retained for a fixed period or periods according to national legislation.
• Historical purposes
An archive (comprising drawings, photographs, models and written documents) may have a historical interest. Some archives are collected by public or private institutions, including museums. Historical interest depends on a number of factors including the career of the architect or the achievements of the practice. The relevance of certain records or files as aids to future research only becomes clear with the passage of time.
Common sense and rational organisation are required for managing both paper and electronic records. They should have a common classification scheme and procedures specific to each medium. Computer technology requires greater rigour in managing files (particularly with backup procedures) and requires that electronic records are handled with a view to their future status as archives (see Chapter II). With the emergence of electronic records, although conservation principles remain the same, technical conservation and consultation methods have become more varied (see Chapter III, 3.4). Even if today we have emerged from the most difficult period (when storage media was fragile and compatibility problems permanent), we are not yet sure of the conditions for the indefinite storage of electronic records. The unknown factors that affect the long-term conservation of electronic archives – and on our ability to read them in the future, even if they exist physically – has persuaded us to keep paper records in parallel with electronic ones. Computers have not yet replaced the need for the storage of paper records.
This perspective is not what those who thought that computer technology would save money in rental and handling wanted to hear, but it should be remembered that the long-term conservation of electronic records requires considerable investment. Determining the principles of this management, the implementation of backup procedures as well as follow up, all generate costs in both hardware and personnel.
According to their size and resources, practices should define their own records management policy. A major practice, one that allocates resources and staff to managing its electronic records, may estimate that it has sufficient guarantees for conserving these types of records, and choose not to conserve certain paper documents. On the other hand, a smaller practice may prefer to take fewer expensive precautions for the long-term backup of electronic records, but chose to systematically print out certain types of documents, and keep them in paper format. Technology evolves quickly. We would thus encourage architects to keep a technological watch on archival techniques, particularly electronic ones.
It is not possible or even desirable to keep all documents produced or received. It is important to have as wide a vision as possible of what should be archived and to consider the wide variety of physical (paper, 3D objects, photographs in various formats, extracts from magazines, film) or virtual (files from a variety of programmes with different functions) media. Once what constitutes an archive has been identified, it should be appraised and a major part of what is produced or received, eliminated. A retention policy should be put in place to determine which documents are to be eliminated and after what period (See Chapter II, 2.2). Some of these choices must be made when documents are created. All staff should be involved. As soon as a practice grows over a certain size, it may be necessary to either employ a professional archivist or to train staff to handle archival duties, and distribute information on records management.
Apart from the English edition, there are also Dutch, French, German and Italian versions of this document.
II. PRODUCTION, RETENTION
AND DISPOSAL OF RECORDS:
THE NECESSITY FOR MANAGEMENT
2.1. Records management: Introduction
Records, whether electronic or paper, are documents made or received in the course of a practical activity and are therefore evidence of that activity or transaction. They also reflect a business process.
Records come in various formats and may include letters, memoranda, reports, computer database files, e-mails, video tapes, films, photographs, maps, drawings and many other things on which information is recorded or stored.
Records management is a means of controlling these records, regardless of media format, from their creation to their preservation or disposal. Records management involves the application of standards to the creation, use, storage, retrieval, disposal and archival preservation of recorded information. This information is essential for your projects’ administration.
Even when a document is first produced, one should keep in mind that preservation of electronic records differs from preserving paper documents. Their conservation depends closely on how they were first produced.
Production is the first step of the records management cycle. This is why it is important to organise the production of paper and electronic records in architects’ practices. In most cases it is a question of formalising, through a written document, the firm’s specific working habits.
Information is conveyed in an electronic record in different ways: by its content, its look and the context of its creation and use. These elements are necessary in understanding an electronic record and the aim of its creator. So, to be understood, an electronic record must preserve these elements. This is the reason why successful electronic records management depends on providing information describing how records are structured and used. Information about electronic records is as important to manage as the records themselves.
The term “metadata” is used for descriptive elements which should be added to the electronic records to describe them. This is best done at the time of creation and calls for a good electronic records management policy, included in a wider classification framework for the office.
2.2. Production: Classification schemes for the office
2.2.1. Purpose
A classification scheme will greatly facilitate the storage and retrieval of records. It will help to organise the various types of records or files received or created within the scope of a practice’s activity in a logical and all-encompassing manner.
What are the advantages of a classification scheme?
• The organisation of the production of paper or electronic records represents considerable time saving. It facilitates teamwork, as staff have the same references. Someone who is temporarily part of the team, for example on a fixed term contract, can find their bearings and organise their work from the practice’s classification scheme. In the same way, the definition of a universal reference system facilitates the exchange of documents between various interested parties engaged on the same project.
• A classification scheme kept updated is essential to speedy document retrieval. Being able to retrieve and distribute information quickly is good for business.
• Classifying and archiving are intimately related. A structured organisation of files allows simple and quick retrieval and archiving.
Before drawing up a classification scheme, do not forget… • Take time to thoroughly analyse all of the processes.
• Draw up a list of the different sections of the practice and various categories of records.
• Organise these elements in series and sub-series by going from the general to the particular.
• Whilst the archiving of paper records can be done at a later time, it is essential to plan the archiving of electronic records as soon as they are produced.
• The following are the main steps to take to draw up a simple and efficient classification framework. It should be all encompassing and cover the organisation of the practice’s files for each project, whether electronic or paper. All staff should apply the scheme, however long they are involved with the project. The examples below illustrate the methods in use in some architectural practices.
2.2.2. Main stages of a record’s life cycle
• Every record or file has a life cycle. It is firstly produced, and later in its life it is appraised. Appraisal involves selecting records for retention (either short or long-term). At the end of their lives, a certain number of records are disposed of, the others are archived permanently (see Annex 1).
• Staff at all levels of the practice are involved in records management. It should be clearly understood that everyone is responsible in some way for records produced by a practice. Detailed procedures should be delegated to or assigned to named individuals.
• In the case of a practice with a large number of staff, it is sometimes useful to assign particular tasks to specific people.
Example:
Action People responsible Organise and classify records during
the project Project Managers/ProjectArchitect/IT Manager Sort and prepare the archiving of
paper and electronic records at the end of the project
Project Managers/Project Architect/IT Manager Archiving records Office manager Arranging for consultation of
archives Office manager
2.2.3. Flow chart for the treatment of records within each project, and within each section of the practice
Make a flow chart with the practice’s sections identified and classified by function. Example:
A- Administration B- Project management C- Town planning Etc.
Make a classification scheme, for each section of the practice that schematically gathers the main elements common to the development of projects. It should apply to both paper and electronic records.
Example for Project management:
1- List of persons (names and addresses) 2- The project’s development
2.1- Rough layout 2.2- Sketch project 2.3- Agreed project
2.4- Building regulations approval 2.5- Contractors file
2.6- As built file 2.7- Etc.
3- Documents sent 4- Documents received 5- Work site meeting reports 6- Reviews of project
Note: In some countries, there are several standard classification schemes which practices can use. Examples in the U.K. include: UNICLASS; EPIC; RIBA Plan of Work (see Bibliography).
2.2.4. Standards for the naming of projects and the codification of work phases It is a small point, but a fundamental one, particularly for managing electronic documents. Here following are the principal stages.
a. Set up a single general project code, common for both electronic records and paper documents.
This coding can be alphabetic, digital, or alphanumeric. It could be based on the name of the project, or the start date of the project, or the client’s name.
Examples:
- 3 letters (corresponding to the 3 first letters of the city) + 2 digits (# of the project in that city) + reference of the phase (this phase can be identified by an abbreviation or a code).
e.g.: PAR03APS = third project of the firm in Paris, file regarding the “APS” (sketch project) phase.
- 2 first digits corresponding to the year of the project’s start + 3 digits corresponding of the project number in the firm + reference of the phase (this phase can be identified by an abbreviation or a code).
e.g.: 96-030 PC = thirtieth project of the firm from its creation, start in 1996, file regarding the “PC” (building regulations approval) phase.
- 3 letters (corresponding to the first 3 letters of the client’s name) + 3 digits corresponding to the project number in the firm + reference of the phase (this phase can be identified by an abbreviation or a code).
e.g.: MAR0100DCE = project for M.MARTIN hundredth project of the firm from its creation, file regarding the “DCE” (contractors tenders) phase.
Use these references or codes on all records in the practice: photographs, models, panels, books. Do not forget to add the photographer’s name, a caption, a date and copyright holder information on photographs.
Keep the practice’s list of projects up-to-date: The list should include the starting date of each project.
Recommended best practice for dating a file is: YYYY_MM_DD (e.g. 2004_05_19). With this rule, the files are automatically classified in chronological order.
b. Make a reference list of CAD files used by all architects and designers in the practice.
c. Draw up a list of the main abbreviations and codes used.
2.2.5. Organising files
Select a type of container that is common to the whole practice. In the case of paper records for example, use standardised envelopes, files or filing cabinets.
2.2.6. Training and awareness raising for staff
Make sure that staff are trained in the management of their records, and ensure there are supporting policies across the practice.
2.3. Production:
Electronic records management policy and metadata scheme
2.3.1. E
lectronic records management policy
a. Electronic records need software and hardware to be accessed, used and preserved. At each phase of the life cycle, electronic records need to be actively managed according to established procedures, to ensure that they retain qualities of integrity and reliability. Above all, the content, context and structure of electronic records must be kept, in order not to lose the information they contain.
When electronic records are created, these issues should be kept in mind. An electronic records management policy should be formulated covering:
• the status of electronic records within the practice and broad definitions of what they constitute;
• a broad definition of records which constitute permanent records, which are worthy of long-term preservation;
• whether the long-term management of electronic records will be undertaken by a third party service provider or in-house;
• the roles and responsibilities within the practice.
b. The following issues should also be addressed in the electronic records management policy and may well require other supporting documents setting out in more detail how the strategies can be achieved:
•
selection of media and formats (See Chapter III): use standards for various categories of electronic documents across the practice: e.g. standardise the exchange format when multiple application versions are in use in the practice or in a project. Keep in mind that non proprietary standards for file formats are recommended e.g. Text or ASCII.•
Metadata (see hereunder2.3.2)
: define essential metadata and ensure that it remains linked to the electronic records.•
appraisal and retention periods: all records should be appraised to determine their retention period. A procedure should be developed that states when and how the preserved documents and their storage media are checked to ensure they have not deteriorated and are kept in the correct state.Electronic Document Management (EDM) is the management of different kinds of documents in an enterprise using computer programmes and storage. Although it allows a business to create a document or capture a hard copy in electronic form, and store, edit, print and manage documents, with our present knowledge it is not possible to recommend preserving documents with these kinds of tools. There is no evidence that the providers will update and maintain their products in the long-term. Using an EDM might hinder access to electronics records in the future.
2.3.2. M
etadata schemes
What is metadata
Metadata is simply data about data: information about a document or a record. It consists of a list of document characteristics (such as title, author, dates of creation, etc.) which distinguishes one record from another. When any kind of electronic record is created, whether a drawing, a contract, a letter or a model, this record (information carrier) should be described in a specific form (document or database), in a defined way.
Main goals of metadata
• Metadata increases accessibility to the documents. Using a classification scheme and consistent metadata, it will be easier to find any kind of record in any kind of storage medium.
•
Metadata is essential for preservation because it gives contextual and practical information on the electronic records. This is why the connection between electronic records and metadata should be maintained for as long as the records exist.• Metadata can be also used to explain the relationships between documents in a project, or the relationships within them. The exchange of documents is easy when metadata is added for software, hardware, and, for example, when the plotting information is available.
How to create metadata
Software programs provide the opportunity to note a few descriptive elements to identify a document using the Properties box for metadata.
The form of the Properties area contains a set of fields that can be filled in as metadata, either by hand or automatically by the software application.
For example, for the Properties box in Microsoft Word: in a document, click on “Files” then on “Properties”. To view the properties of files: highlight the file in the directory, then right click, where you will find “Properties”.
The Properties box can be set to appear automatically when a document is first saved.
To set this function in Microsoft Word, click on “Tools” then on “Options”. In “Saving”, click on “Document properties”.
To quickly find a document, you use a database on properties included in the software program.
In Microsoft Word, click on “Open”, then on “Tools” and then on “Search”.
You can also create your own metadata scheme. In this case, the scheme is taken as the tree structure and all the descriptions of the documents (the metadata fields) are put in the classification scheme, linked to the records. This means that all descriptions have a classification code next to metadata given to identify the documents. It is also possible to note information in the document (at the top or at the bottom of the page) such as title, author, dates of creation, classification reference, etc.
In large practices or on large projects, it might be useful to describe records with metadata fields included in a database. But in most practices an Excel-spreadsheet may be adequate.
Metadata schemes can seem overwhelming and at first glance, difficult. But at a later time it makes records management easier to put into effect.
A scheme example has been developed for describing the documents by the GAUDI workgroup based on the Dublin Core which is a widely known standard (see Annex 2).
2.4. Retention and Disposal: Records management policy
A records management policy considers how every record is treated, where it should be stored, and what to do with it once it is no longer required for immediate and practical use. Disposal means deciding what to keep and what to throw away. 2.4.1.
How to preserve
You should consider two options:
• what to preserve for a specified period;
• what to preserve forever.
Many documents can be preserved both in electronic and in paper formats. In general, the choice between them depends on how much physical space is available, IT provision, and the practice’s needs.
When a project is finished, the practice may wish to keep either paper or electronic records, depending on their preference. In some cases, records are best preserved in paper format, even if they were created electronically. Or the reverse may be true.
2.4.2.
What to preserve
During its working life, an architectural practice produces a large amount of documentation, which is often difficult to manage because of its size, media and storage methods.
Computerization has increased the output of records. Paper archives are often full of duplicates and electronic archives are equally congested with backups. In most cases, duplicates and backups do not show any significant difference from the final document. This makes both preservation and the retrieval of records very difficult. In a few years time, who will know which of the many computer files bearing the same filename, is the one needed?
It is therefore absolutely essential to select which records are to be preserved, and to establish for how long.
Following a preliminary selection, a later selection should eliminate copies which do not add any information to that provided by the record in its final version.
A selection made on the basis of subjective evaluation of the importance of the records’ content is risky. Records which could be useful in the future might be lost, or those which are needed to understand other records.
An efficient and well conceived records management policy makes it easier to deal with appraising, selecting, and archiving records. It is essential that the production of records is standardised as much as possible.
2.4.3. Records management
• Do not keep and file intermediate records:
Intermediate records are those which will not be needed again, because they are made only for short-term practical reasons.
• Do not mistake the repository of backup copies for the archive:
Remember that an efficient archive has to be as organized as possible. Chaos and a multitude of useless records imply a waste of time and money. Keeping only backup copies of your hard-disks is not the best solution for a long term preservation of your computer files. In order to be sure that records which may be needed can be retrieved, a careful selection of which electronic records to preserve is mandatory.
• Select which electronic records to keep:
If the backup policy requires, as it should, that backup copies of hard disks are made quite often, there will be many copies of each drawing. You should select for permanent keeping only those records which represent the finished project and not different versions of it. Remove the final documents from the backup repository and file them in the real archive, in the right place.
Digital cameras have increased enormously the ability to take many pictures. Not all of them are worth preserving. Before transferring them to the archive, it is wise to choose only the significant ones.
• Properly manage incoming and outgoing email:
In recent years, email has become a fast and simple way of communication, often as informal and close to spoken language as a “traditional” letter is formal and more defined as a document.
Emails related to the practice’s work should be preserved as well as paper-based letters. Selecting which emails to keep can be extremely difficult, and requires an email management policy. A careful selection, however, should be made by discarding those emails which do not contain any information related to the professional activity. Organize incoming and outgoing emails with project files, on a system of directories and subdirectories.
Sometimes it may be helpful, at the end of an exchange of short emails, to send a final one with a summary of the discussion. This will help define the matter under discussion, and constitute a record to be preserved in the archive.
• Select which paper-based documents to keep:
How many drawings are made for each project in an architectural practice? Often hundreds, sometimes thousands. Are there, among them, more important and less important documents? And those you consider important, are they the same that anybody else would choose?
A practice’s archive is often filled with many identical copies of the same drawing, or reduced/enlarged copies of drawings with nothing added or modified, or maps and graphic materials made only for temporary reasons. Items which do not document the creative process or the project’s history, can be discarded.
Apart from drawings, a wide variety of other documents can be found in a project file, or elsewhere in the archive. Ideally these should be cross-referenced so that records relating to one project can be retrieved.
A list of the main documents in a project file is provided in Annex 3. All these records should be kept in the archive. A careful selection should be made of every type of document. Usually only one copy of each document is sufficient. Some documents, such as account records, have a legal retention period, usually a few years. After that period they do not need to be retained for legal purposes. In France advice is available on which documents to keep or dispose of, to ensure that they give an overview of the steps between initial conception to realisation. However, following this advice you may lose information on the project conception in historical terms. Care must be taken in choosing and organising the records of a project after the end of the legal requirement period. The French advice is available on
http://www.archivistes.org/Gazette/selection_Architek.php.
• Managing models:
Other than presentation models, models can be made during other stages of the design process, such as to study a solution on a 3D basis, or details of the building.
These models form an important record of the creative process and the practice’s way of working. Often, however, they are made of poor materials (cardboard, paper), which are easily perishable and difficult to preserve in the long-term. If the practice cannot afford to keep them, be sure at least to keep good photographic reproductions.
III. STORAGE,
PRESERVATION, RETRIEVAL:
GOOD PRACTICE IS OFTEN ENOUGH
Archives, whether paper or electronic, require well planned storage if they are to last and be of use to the practice in the future.
Paper archives that have been damaged by fire, water, vermin, or electronic records that have not been converted or migrated to new storage media, may be unreadable if not properly stored.
Although paper archives and electronic archives may relate to one project, and form a single job file, they should be stored in the appropriate way according to their media. The proper numbering and description of the files (whether paper or electronic) will ensure that job files are retained as one coherent whole. This will help with identifying files in the future.
3.1. Storage and records management procedures
Different kinds of storage may be required depending on what sort of records are kept. Storage should depend on whether records are active/current, intermediate/semi-current or closed/archived (and retained for permanent preservation). It is cheaper to store old job files, which are consulted infrequently, in economic off-site storage than in expensive office space. Ideally you might want three kinds of storage: office space for current files, on-site stores for semi-current jobs, and an off-site store for archives. In-house versus outside commercial storage depends on the value (administrative, legal, historical, and financial) that the practice places on their archives.
Why is proper storage necessary? For many reasons: security, cost savings, quick retrieval, time saved in finding information, space freed up in offices and preservation of vital records.
3.1.1. Physical environment/conditions
• A stable temperature and humidity within the range of 15-18 degrees Celsius (59-64 degrees Fahrenheit), and relative humidity in the range 45% to 65% is recommended. These represent good average storage conditions (see hereunder 3.4.5. and 3.5).
• Ensure there are no sharp fluctuations in temperature or humidity in stores where archives are kept. A climatically stable environment is important. Fluctuations cause most damage to records. Try to provide environmental control in storage areas.
• Non-paper records such as photographs, records on magnetic media, sound recordings and videos require different conditions from paper records. Electronic media requires very different environmental conditions from paper records (see hereunder 3.3 to 3.8 and also ‘Storage of Semi-current records’ at:
3.1.2. Building maintenance
• Cleanliness will ensure insects and mould will not be attracted. Avoid high heat and humidity, and lack of ventilation.
• Direct sunlight is harmful to paper records and photographs so ideally store them in a dark place, but note that total darkness favours insects.
• Frequent inspection of storage areas is recommended. Check regularly for water leaks or dampness.
• Protect against both fire and water.
• Try to ensure that store rooms do not have water pipes overhead in case of leaks.
• Appropriate portable fire extinguishers should be installed near or within the stores.
3.1.3. Security
• Ensure that access to the archives is controlled.
• Consider the use of intruder alarms.
• Ideally, vital records need extra protection and should be stored securely and safely in fireproof storage like a safe with steel doors and a combination lock, or a secure store offsite.
3.1.4. Storage areas and equipment
• Basements and attics are not good storage areas because they have variable environmental conditions which often cannot be controlled, and are more liable to water and insects.
•
The bottom of shelving should be raised off the ground, and rolls of drawings or boxes of records should not stand directly on the floor, to provide protection from flood, dampness and dust. About storage furniture, see3.3.3.
3.2. Retrieval of documents
The quick and easy retrieval and return of documents is important for any business. Retrieving them for information or producing them for consultation is essential.
• If files are organised well when they are first created, they will be easy to retrieve by anyone in the office. This is the case for paper records as well as for electronic records. In some cases, there may be certain confidential records (e.g. staff records) which should only be retrieved by the responsible member of staff. But most staff should be able to borrow back their own project records.
• A cumulative inventory or list of what records there are, and how they are arranged, will help with retrieval. A location code on the front of the file will help the searcher of the file, as well as aid its return to the correct location within the store.
• All records should be replaced exactly where they belong. It is a good idea to note down what has been retrieved, and taken away. This will save wasted time, looking for files or drawings that are not there. A basic register of withdrawals (in the form of a spreadsheet or database) with columns that describes the items that have been taken, the date and by whom, is one solution. For paper records another solution is to leave a note or request slip from where the document has been removed that indicates where it has been taken, when and by whom.
•
Storage and access are closely linked. In some cases, it might help if paperrecords are stored in such a way that they can be consulted in store. Sometimes a browse through files in situ will bring a quick result. If you ask a private storage company to store your records (see Chapter IV), ask them if they have a search room.
3.3. Drawings and paper records: storage
3.3.1 The arrangement of files and boxes
• When placing documents in long-term storage, remove the papers from lever arch files or box files and place in labelled wallets or folders. This makes them easier to handle, uses space efficiently, and uses expensive equipment economically.
• Do not mix files from different projects.
• Keep project files and reports in their original formats, arranged and listed in the order prescribed in the file numbering system (see 2.2.4)
• Use standard cardboard archive storage boxes with removable lids and hand holes. Label and number the boxes, and make a list of records transferred to the archive. It may be necessary to restrict certain records from unauthorised access. Consider using code location co-ordinates.
• Place the boxes on shelves so that their labels face outwards so they can be read clearly. This will help with retrieval.
• Do not use paper clips, adhesive tape, post-it notes, bluetack, or elastic bands as these can cause damage.
• Use weights or large steel strips to keep drawings flat as this makes them easier to consult.
3.3.2. Drawings (paper records)
•
Rolled drawings should be stored horizontally. Do not roll too tightly, and don’t let rolls project beyond the depth of shelves. Ideally, wrap them in plain paper (but not Kraft brown paper) before placing them inside the roll or tube. Take care not to damage the ends. Pigeonhole boxes may be used to hold rolled drawings, or inert plastic tubes.• Delicate drawings can be protected by matting (mounting) so the outer folder does not touch the surface of the drawing. They should then be stored in flat solander boxes (print boxes with stiff sides and covers).
•
Drawings made of pigments that are non-fixed (chalk, pastels or charcoal), or in relief or thick coats of acrylic varnish, should have deeper window mounts. Do not place them in plastic sleeves as static might cause the media to lift; wrap in paper instead.• Framed drawings and presentation boards in store should be wrapped up carefully in sheets of plastic or cardboard, and ideally stored horizontally.
3.3.3. Equipment
• Materials used for storage should not be harmful to the drawings.
• Steel is recommended for shelving. Wood is not recommended because it is acidic. In particular, polyurethane treated wood should not be used because formaldehyde releases very harmful acids. If wooden shelving has to be used, a recommended barrier like polyester sheets (Melinex) should be used to line the shelves.
• Plastic storage cabinets, folders and boxes are not recommended for long-term storage because plastic deteriorates over time.
• Plan chests should have shallow drawers (about 2,5 cm), to make retrieval and filing easier. Never overfill the drawers.
• Vertical cabinets (suspended files) are not recommended for long-term storage because drawings are liable to get scratched or torn.
3.3.4. Drawings in other media
• Blueprints and diazotypes quickly become brittle and fade if exposed to sunlight. Store in rolls, away from light and separately from other drawings as chemicals in these will affect other drawings.
•
Computer drawings can be printed on different qualities of paper. Print-outs for keeping should be printed on high quality heavyweight art or archival paper and with long life ink. Various researches have been carried out into the preservation of traditional and digital colour photographs, for example by Wilhelm Imaging Research (http://www.wilhelm-research.com). A Giclee print is a printed artwork or photograph produced using a high quality digital inkjet printer. Epson Pigmented Archival Ink is known to be highly stable. Microporous coating on paper is more likely to fade from light and air pollutants than non-porous coating (sometimes called swellable polymer).• Copying, including digitising and microfilming, is another way of preserving papers. These may prolong the life of documents of long-term and permanent value, or provide security copies offsite. If drawings have been destroyed, microform copies or digitised images may be the only form of record. Microform should be kept in boxes in stable environmental conditions.
3.4. Electronic records: storage
3.4.1. Introduction
It is recommended that current electronic records that belong to an ongoing project are stored in directories on the practice’s computer hard drive, and backups made every day. The backups should be stored away from the office, preferably at another location. When the project is finished, choose the electronic records (text documents, drawings, models, e-mail, digital images) which are important for the project (See Chapter II) and place them together.
Electronic records need special care in preservation because:
• software used to make the records may no longer be available. This can also apply to the operating system;
• hardware can be out of date;
• the storage media may have deteriorated and need to be refreshed. Digital tape lasts 2-30 years but magnetic disks 5-10 years. A floppy disc made ten years ago might already be unreadable.
3.4.2. Strategies for storage and preservation
Digital born documents or digitised documents can be stored and preserved in digital form for long periods of time. However, to access them when all hardware, software and storage mediums have changed might be difficult. Special strategies are required to do this: refreshing, migration, emulation.
• Refreshing is simply copying electronic records from one storage medium to another. It is needed because all storage mediums deteriorate over time and the documents become unreadable. Sometimes it is necessary because specific mediums are not in use anymore. For example, in the early days of computing, cassette tapes were used to store documents but these are not readable anymore.
• Migration is the process in which computer files are uploaded to new software or hardware or new versions of existing software to be able to retrieve and use them again. With this method caution is needed because newer versions of software are not always completely compatible with the older versions. This means that some functionalities may have changed in the software and the “look and feel” of the document changes when it is accessed. This may mean that the building as drawn is not exactly the same as in the first version.
• Emulation is a strategy still in development although it might be good for drawings and computer files in 3D software. It involves software that imitates the old software and the old hardware, and is used to make a modern computer work like an old one. It means that the “look and feel” stays the same and the integrity of the document is saved. For successful emulation, all the documentation of the old programs should be kept and all documentation about the electronic records should be at hand.
•
Try to keep up-to-date with the changes in the latest ways of preserving electronic records. In all strategies, metadata must follow the same way as the document and be maintained with the records.3.4.3. Software and format
• Use software of which the producer assures that new versions still have all the functionality of the older versions. Keeping the software manuals is also very useful.
•
Give every document the proper metadata information (See Chapter II,2.3.2
). Always add metadata concerning which software and hardware has been used.• A CAD file without printing information is not a drawing. If you want to be able in the future to print the drawing exactly as you conceived it, you will need both a CAD file and a set of printing information.
On AutoCAD, for example, this is a PLT file. Be sure to keep a set of printing information together with each CAD file you decide to preserve.
Currently, however, a PLT file depends strictly on the printer hardware and/or printer driver software you used to create it. It may be impossible, in the future, to print your drawings with a different printer driver.
• You should be aware that preserving drawings in electronic format only means that you may not be able to retrieve them in the future.
• You can also keep a copy in PDF format of each CAD file. This will not be like an original drawing, but a useful digital reproduction of it. PDF format is now assumed to be stable and good for future preservation.
3.4.4. Media
• All electronic media (CD-Rom, magnetic disk or tape) has a finite life. To prevent the degradation of electronic records, they should be re-written to new media on a regular basis. The frequency of refreshing (See Chapter IV) will be agreed with the media manufacturer but regular checks should be made on the stability of the media at no more than five year intervals.
• Electronic records are best stored on CD or DVD together with metadata (See Chapter II) and additional information concerning software (with version numbers) and hardware that were used to create the documents.
• Use read-only CDs or DVDs. Be careful of engraving and media qualities.
•
CD and DVD qualities are very variable. Their life expectancy (resulting fromtests) fluctuates between less than ten years and more than one hundred years. At this moment gold layered CDs are considered the best to use: it seems that phthalocyanin CDs (silver or gold coloured CDs) are more durable than those in cyanin (blue or green). Since technology advances very quickly, it is difficult to give long-term advice. For more information, you can consult the NIST special publication 500-252 titled Care and handling for the preservation of CDs and DVDs by Fred R. Byers. See http://public.www.planetmirror.com/
pub/carefordisc/CDandDVDCareandHandlingGuide.pdf.
• The record quality depends also on the engraving: each CD type has an engraving speed indicated on the box. For a good recording, the CDs must be engraved with the most appropriate speed.
• Make two copies of each record, one to be stored at a secure place and one to be used when needed. Make lists of the preserved CDs or DVDs and the projects and documents they contain. Print out the list of the files, and place it in the jacket of the CD.
• Refresh the media every few years (the frequency depends on the storage medium) and when refreshing check the documents for accessibility. A testing program should test around 20% of the media each year.
• Do not forget that records have to be verified when written to new formats or copied for backup purposes and a special note made of any loss of data.
3.4.5. Storage
• Improper storage is the most common reason for premature media failure. Moderation of temperature and humidity are well known to extend the usable life of most storage media, but many other factors can help, too.
• Keep in mind this information:
- maintain temperature ~ 20 degrees Celsius (68 degrees Fahrenheit); - avoid large and rapid fluctuations in temperature/humidity;
- control dust;
- avoid exposure to sunlight;
- avoid exposure to magnetic fields (magnetic media); - avoid exposure to fumes;
- store media in closed metal cabinets; - shelve media vertically (not stacked); - store media in their original cases.
3.5. Photographic materials: storage
Photographic material may represent a model, a site, a work in progress (showing the construction phase), completed works, defects, drawings (if drawings are absent), or works other than those by the architects, collected as source material. Photographs (whether negatives, prints, transparencies, slides, digital images), like other kinds of architectural records, form part of a firm’s practice, and are valuable as evidence. Most photographs, like drawings, are kept separate from other project documentation, but they may be mixed together especially for small projects.
Photographs are easily damaged if not stored properly in the long-term.
• It is important to ensure that all photographic material a firm commissions, collects or produces in-house is produced on the most stable material available. In some cases, it can even be processed to archival standards (e.g. where negative material should be on a polyester base and processed to remove all fixer, and special treatments are also required for black and white film).
• Ideally photographs should be stored separately from paper records, because of their media. This might already be the case if photographs are held by the firm’s Press Office or PR office. But also different types of photographic material (film negatives, paper contact prints, colour slides) should be stored separately from each other. This is usually not feasible for most practices.
• Photographs should not be stored in an alkaline environment due to chemical reactions. Enclosures or sleeves for photographic material are available from conservation suppliers. PVC sleeves from an ordinary stationer should not be used.
Ideally photographs (negatives, prints) should be placed in paper or polyester enclosures (e.g. Photon or Silversafe), which are free from harmful chemicals. Paper enclosures should be free of lignin, acid etc., have high cellulose content and be pH 6.5-7.5.
Polyester sleeves should be free of plasticizer, and the surface must not be glazed, coated or frosted.
• Photographic material should be stored upright or flat in boxes, and not tightly packed. Storing them on metal shelves or cabinets are better than wood. Dust free metal cans are ideal.
• Photographic material should be handled carefully. The emulsion side of any photographic image (print, negative, transparency) should never be touched. Do not use sticky tape, paper clips, Post-It notes etc. on them.
•
Above all, the environmental conditions of view and storage must be stable. Cooler and drier conditions than standard generally increase the chemical stability for photographic material. If photographic material contains a number of types (negatives, transparencies, slides) 35-40% relative humidity is the optimum and a temperature of 15-18 degrees Celsius (59-64 degrees Fahrenheit) is best. This should be coordinated with conditions where the photographs are viewed so that the dewpoint is not crossed. Most photographs are relatively stable when kept in suitable storage conditions.• Photographs are particularly vulnerable to airborne pollution from e.g. new building work, redecoration. Levels of light and heat are also important. Store in the dark when not in use, and try not to expose for too long. Place away from sources of heat such as radiators, sunlight.
• Photographs on open display are at risk of damage. Use copies for display purposes, rather than originals. Duplicate photographs are useful to the firm as they aid access. A copy photograph, microform or digitised image may be sufficient for most uses.
• Photographs should be checked regularly for signs of deterioration e.g. flaking, creases, shrinkage, discoloration, stickiness, fading, mould and insect damage.
3.6. Videos: storage
• For video artwork and videotapes, it is recommended that master tapes are checked for correct colour bars and tone at beginning of the tape.
• Videotapes, as sound recording, should be stored in metal, cardboard or plastic containers and placed on shelves. Videotapes should be inspected every six months for deterioration (such as white streaks across the screen when played or ‘sticky tape syndrome’).
• Duplication or copying on to digital format is important because of the instability of videotape. Tape should be copied onto new stock every 8-10 years.
• Store videotapes upright in cool dry conditions away from strong electro-magnetic forces. Magnetically-stored electronic images (e.g. videotape, videodiscs, computer discs, magnetic sound track) are at risk from accidental damage from magnets.
• Keep unique or master copies securely and make copies available.
3.7. Motion pictures: storage
• Motion picture films are particularly susceptible to deterioration and good storage is critical.
• Ensure that it is kept emulsion-side-in on to plastic cores in clean metal cans.
• Store flat on metal racking in cool dry conditions, and store separately from videotapes.
•
There is lots of specialist advice available on storing film e.g. the British reference Film and Sound Archives by D.M. Lee (Best Practice Guideline 6, Society of Archivists, 2001).3.8. Models: storage
• Models should be stored in large cupboards or on shelves, and care taken because of their fragility.
•
They can be protected from dust and dirt by having perspex cases or sheets placed over them, and especially purpose-made travelling case. Avoid condensation in the box or case containing the model. Do not forget to add a caption with the project name and phase, name of model-maker and date on the model.IV. OFF-SITE STORAGE
• Paper archives may be kept on practices’ premises as long as space is available. It might be necessary to use certain areas such as basements, which are often available because they are not adapted for other uses. However, these areas are not ideal for keeping archives. It is difficult to guarantee proper temperature and humidity conditions, to protect them against insects and rodents, and, as they are out of sight, to impose a minimum amount of order.
• Even using these areas and eliminating as much as possible, the time will come when there is no more space available in the office for storing archives. It then becomes necessary to rent outside premises or to use the paying services of a document repository or a service provider specialised in storing archives. Care must be taken in the choice of service provider in case archives are less secure than within the company. Recent fires in providers’ premises have destroyed the archives of leading French firms and they cannot be reconstituted. It is therefore less advisable to store records that are considered the most important in outside archives. A storage contract should carry specific clauses covering loss or damage.
• A large variety of services is available from simply renting a few square metres to handling and filing archives. The inventory of these archives and searches in them depend on the requirements of the firm.
•
Also, towards the end of their active existence, depending on their historical interest (see page Portal on www.architecturearchives.net), a practices’ archives may be integrated into specialised archive centres. This generally takes place when the practice has folded or it has greatly reduced its activities. Archives are generally donated, or they are deposited with an institution that handles them. Some practices retain intangible elements like royalties.• Finally, it is sometimes possible to donate or sell certain records to institutions like museums. This approach may be more motivating for an architect in terms of his/her notoriety, but care should be taken in breaking up archives. It will subsequently cause considerable problems in reconstituting the historical activity of the practice, and to give a wider context. The notion of the integrity of archives must be preferred as far as possible to any other approach. The archive may cover, for instance, records concerning the other professional activities of the staff (teaching, writing books or articles, participation in the activities of the profession, personal correspondence, etc.), which are also part of the historical picture.
V. ANNEXES
Annex 1: Records life cycle
Annex 2: Describing electronic documents (based on the Dublin Core) Annex 3: Important documents to keep
Annex 1: Records life cycle
RECORDS LIFE CYCLE
RECORDS MANAGEMENT SHOULD BE UNDER THE CONTROL OF THE FIRM’S MANAGEMENT
PROJECT:
PRODUCTION
DISPOSAL
START
END
SELECTION
MAIN STEPS
OF RECORDS
CYCLE
RETENTION
PROJECT
MANAGER
PERSON
RESPONSIBLE
FOR:
PROJECT MANAGER
Annex 2: Describing documents (based on the Dublin Core)
The Elements (possible fields to describe a document): Element Name: Title or project name
Definition: A name given to the document. Element Name: Creator
Definition: A person primarily responsible for making the content of the resource.
Comment: Examples of Creator include a person, an organization, or a service. Typically, the name of a Creator should be used to indicate the entity.
Element Name: Subject or keyword
Definition: A topic of the content of the document.
Comment: Typically, Subject will be expressed as keywords, key phrases or classification codes that describe a topic of the resource. Recommended best practice is to select a value from a controlled vocabulary or formal classification scheme.
Element Name: Description
Definition: An account of the content of the document.
Comment: Examples of Description include, but are not limited to: an abstract, table of contents, reference to a graphical representation of content or a free-text account of the content.
Element Name: Contributor
Definition: A person or persons responsible for making contributions to the content of the document.
Comment: Examples of Contributor include a person, an organization, or a service. Typically, the name of a Contributor should be used to indicate the entity.
Element Name: Date
Definition: A date of an event in the lifecycle of the document.
Comment: Typically, Date will be associated with the creation or availability of the resource. Recommended best practice for encoding the date value is defined in a profile of ISO 8601 [W3CDTF] and includes (among others) dates of the form YYYY-MM-DD. Element Name: Type
Definition: The nature or genre of the content of the document.
Comment: Type includes terms describing general categories, functions, genres, or aggregation levels for content.
Element Name: Format
Definition: The physical or digital manifestation of the document.
Comment: Typically, Format may include the media-type or dimensions of the resource. Format may be used to identify the software, hardware, or other equipment needed to display or operate the resource. Examples of dimensions include size and duration. Recommended best practice is to select a value from a controlled vocabulary (for example, the list of Internet Media Types [MIME] defining computer media formats). Also think of adding the plotting information
Element Name: Rights
Definition: Rights Information about rights held in and over the resource.
Comment: Typically, Rights will contain a rights management statement for the resource, or reference a service providing such information. Rights information often encom-passes Intellectual Property Rights (IPR), Copyright, and various Property Rights. If the Rights element is absent, no assumptions may be made about any rights held in or over the resource.
Element Name: Place of storage
Definition: Information about the place the document is stored
Comment: Typically, this can be a file cabinet, a CD or DVD, a path through the directory structure. This is not the same as format because there is given the specific information about the file itself.
Annex 3: Important documents to keep Project records (built or unbuilt schemes)
Preliminary sketches Design drawings
Working drawings (preferably the originals, not copies) Perspectives
Presentation drawings Drawing registers Photographs of models
Photographs of work in progress Photographs of completed works Agreements Reports Specifications Bills of quantities Architects certificates Variation accounts Final account Job record books Client brief
Contract documents Architects instructions Minutes of project meetings Notes of inspections, surveys Progress charts
Correspondence with client
Correspondence with main contractor Maintenance Manual
List of consultants (provide one if necessary) List of subcontractors and suppliers
Manufacturers’ key information, current British Standards, Codes, etc. Of less importance: (Information on installed products)
(Publicity material (brochures, press-cuttings))
Personal papers
Letters Diaries
Lectures, articles
(these can provide information on architectural practice and their work, professional
colleagues, interesting clients, development of architectural education and training, practice methods, influences etc.)
Administrative records
a) Corporate records Partnership agreement
Memorandum and articles of association Reports and accounts
Annual returns Meeting minutes
b) Agreements and related correspondence Major agreements
Details of acquisitions
Contracts with suppliers or agents Rental, HP and leasing agreements Deeds of title
c) Accounting and banking records Tax returns
Records required by Companies Act Other accounts
Bank statements
d) Investment records (other than pensions) Certificates and other documents of title e) Insurance records Professional indemnity Public liability Employee liability Claims correspondence f) Employee records Staff agreements
Records of senior executives/Partners Staff personal records
Payroll records Medical records Expense accounts g) Pension records
Trust deeds, variations and rules Inland Revenue approvals Contribution records Records of ex-pensioners Health policy h) Donation/subscription records Deeds of covenant Subscription records Vehicle records
[See Hamer, Andrew C. ‘The ICSA Guide to Document Retention’, 2004
VI. GLOSSARY
This glossary defines key terms used in the guidelines.
Active/current records: Records used with sufficient frequency to justify keeping them in the office of creation.
American Standard Code for Information Interchange (ASCII): Standard that designates a code for representing alphanumeric information (letters, numbers and punctuation) for use with computers.
Appraisal: Process of making decisions on initial disposition categories and final decisions on records disposal, whether for permanent preservation or destruction. The value and the disposition of records are based upon their current administrative, legal, and fiscal value; their evidential and informational value; their arrangement and condition; their intrinsic value and their relationship to other records.
Archives:
1- Materials created or received by a person, family, or organization, public or private, in the conduct of their affairs and preserved because of the enduring value contained in the information they contain or as evidence of the functions and responsibilities of their creator, especially those materials maintained using the principles of provenance, original order, and collective control.
2- An organization which collects the archives of individuals, families, or other organizations.
3- The building (or portion thereof) housing archival collections. (**)
Backup copy: Copy of all or portions of software or data files on a system kept on storage media, such as tape or disk, or on a separate system so that the files can be restored if the original data is deleted or damaged. (**)
Computer-aided (assisted) drafting or computer-aided (assisted) design (CAD): CAD software is used to design or document physical structures or ‘object/s’. (***)
Classification scheme or framework: Scheme or diagram which categorises records into classes designed to preserve the context of the records relative to each other. The full set of classes, at all levels, together constitute the classification scheme. No assumptions are made about the principles of division, which might be based on functions – activities, subjects, or themes.
Where appropriate, this scheme should be linked with the file system for electronic and paper based records to ensure that all documents of both media are managed against the same retention and disposition procedures, and that all holdings of any given subject can be accounted for.
Compact Disk(CD): A type of optical disk storage media, compact disks come in a variety of formats: CD-ROMs that are read-only, CD-Rs that you can write to once and are then read only, and CD-RWs that you can write to in multiple sessions.
Disposal: Process of preparing records for transfer to the permanent archive for permanent preservation, or final deletion/destruction.
Disposition: Initial decisions made on the appropriate retention period for a record and its eventual fate when no longer active.
Document: Recorded information, stored on a physical medium, which can be interpreted in an application context and treated as a unit. (*)
A document may be on paper, microform, magnetic or other electronic medium. It may include any combination of text, data, graphics, sound, moving pictures or any other forms of information.
Drawing Exchange Format (DXF): DXF is a proprietary file format developed by Autodesk and used for the exchange of CAD information. (***)
Dublin Core or Dublin Metadata Core Element Set: Dublin Core is the main generic standard on metadata which has emerged. This is a set of fifteen descriptive elements (which can be extended by the use of qualifiers) intended to provide a straightforward means to describing networked information resources for more effective resource discovery and retrieval. Although emerging from the Internet environment, it is sufficiently generic to be useful in a wide variety of situations and has successfully been used as the foundation of several specialist metadata standards, and enables a level of interoperability. Full information on the Dublin Core standard can be found at http://purl.oclc.org/dc/
Digital Versatile Disk (DVD): An optical disk with more storage capacity than CD-ROMs, these disks are also called digital video disks, but do not necessarily include video. Common types of DVDs include: DVD-ROM (read-only), DVD-RAM (rewritable), DVD+RW (competitor to DVD-RAM with similar functionality although slightly greater storage capacity).
DWG: DWG is AutoCAD’s native file format for CAD models. (***)
Electronic document management (EDM): This function, by supporting the management of electronic information, helps organisations to exploit their information more effectively by providing better access to stored information and by supporting teams working together with workflow software.
Electronic records (used in the ‘Guidelines’ instead of 'digital' records):
Records in electronic form. An electronic record consists of two principal kinds of information: the record content and its internal structure, and the metadata which describes the record and all it constituent parts. This metadata can be used to describe and profile the electronic objects which make up the record itself, to give indexing information about the record, or to record a history of the context and use of record.
Electronic records can be generated from a wide variety of different sources, and appear in a wide range of different formats. Use of this term is not limited to text-based records typically generated by a word processor, but also includes e-mail messages, spreadsheets, graphics and images, html/xml records, multimedia records, and other types of office document. Electronic records are a more fragile medium than paper.
Emulation: The use of one system to reproduce the functions and results of another system. Emulation aims to preserve the original software environment in which records were created. Emulation mimics the functionality of older software and hardware. (**)
File: An organized unit of documents grouped together either for current use by the creator or in the process of archival arrangement, because they relate to the same subject, activity, or transaction.
Form:
1- A printed document with clearly defined areas left blank that are to be completed later.
2- The materials and structure of an item; synonymous with format.
3- The overall appearance, configuration, or shape, independent of its intellectual content. (**)
Format:
1- A standard size or configuration; synonymous with form.
2- Computing. A structure used for the interchange, storage, or display of data. 3- The layout of a document.
A broad categorisation of electronic record format types is: text-based documents, multi-dimensional documents and multi-media documents. (**)
Integrity: Evidence that the contents of the record, including metadata and format, have not been altered since the document was declared as a record, as a result of control procedures which would prevent this.
Intermediate/semi-current records: Records that are seldom used in day-to-day operations and that are appropriate for off-site storage. (**)
Legal requirements: Legal obligations which have to be respected concerning the length of time key documents should be kept.
Life cycle of records: Life cycle of records is an archival concept that describes the lifespan of a record, whether electronic or paper, from its creation or receipt to its final disposition. The life cycle of records is divided into the following stages or phases: creation/receipt, disposition, appraisal, preservation and disposal.
Medium: The physical material, container, and/or carrier in or on which information is recorded (i.e., clay tablet, papyrus, paper, parchment, film, magnetic tape).
Metadata: The term metadata – meaning literally, data about data – refers to information describing the context, content and structure of a document or record. Metadata is a list of its particular characteristics which distinguish it as a unique object from other documents or records. As a document, metadata will include elements such as the document title, authorship, keyword indexing terms, and dates of creation, modification, etc.; such metadata is often known as a ‘document profile’. Record metadata will include, as well as the document profile, further information relating to the context and history of the document as a record, such as locati
