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Scientific Association Records Programs: A Beginner's Guide
Association Activities
and the Records they Create
- Set Direction of the Association and the Discipline
- Establish policies and priorities
- Initiate programs and projects
- Decide on the mission of the association
- Take stands on issues such as creationism
The records for this function are most often generated by the
governing bodies (Board of Directors or Council), the Executive Office (if there
is a staffed headquarters), and the President.
The agenda, minutes, reports, and other substantive records of
the governing bodies are crucial documentation for your organization. Staff
members and outside researchers commonly begin research on any topic relating
to the association by finding out what the governing bodies had to say about
it. Obviously these are permanent and vital records, worthy of the greatest
care in preservation, security, and accessibility. During the San Francisco
earthquake and fire of 1906, staff of the California Academy of Sciences risked
their lives to save the minute books from a burning building, and these documents
are among the few items of the Academy that survived the cataclysm.
The Executive Office usually oversees implementation of the mandates
of the governing bodies. It establishes procedures for the organization and
works with committees and staff to insure that the association conducts its
operations in a business-like fashion and accomplishes its mission. Its records
are a rich source of information about the long-term achievements of the group
and are frequently consulted by its own members and staff and by outside researchers.
In setting up retention schedules, records managers and archivists find that
correspondence, reports, budget files, governance records, and the like should
be retained as permanent records. What can be scheduled for disposition--and
the office itself almost always recommends this--are records relating to logistics
(such as setting up meeting times and places for the governing board) once they
aren't needed for current operations or audits. The official set of financial
records of this office is normally kept by the accounting office of the association,
but a few duplicate record series such as annual budgets may be kept by the
Executive Office for ease of reference.
The records of the President relating to the society--and of other
elected officers--are usually considered part of his or her personal papers
and are rarely accessioned by an association archive. Normally they are deposited
with the rest of the papers in the library or archives of institutions with
which the officer had their last or longest employment. Sometimes it is necessary
to copy parts of the President's or other officers' files to fill a gap in the
documentation of an important association activity. If these copies are accessioned
into the permanent files of your group, the source of them must be made clear,
as permission to quote will probably reside with the depository where the original
papers are. It is also a good idea to keep a list of where the papers of past
officers of the society are housed.
Associations are sometimes consulted about where scientists who
have been officers should place their papers. The Society of American Archivists
and some discipline history centers publish one-page brochures that can be distributed
for guidance. If there is someone to do it--a history center or committee is
ideal for this--the association may take a more active role by contacting important
past officers and helping them shepherd their papers to a depository.
- Certify Scientists and Bestow Honors
- Election to membership or fellow status
- Appointment or election to office in the society
- Certification based on exams or experience and training
- Awards for research distinction and service to science
- Awards to students
- Financial support for research or curriculum change.
Current membership lists are kept by every association, usually
in electronic form. The lists range from simple name, address, and dues paid
entries on pc word processing software that generates bills and labels to mainframe
databases that keep detailed profiles on the members, including their past activities
in the association. The AAAS member file is of the latter type, requiring four
computer screens for data entry.
Appraisal and retention for membership files are daunting. Groups
that publish a member directory may find that keeping an archival set of the
books is sufficient for verifying whether persons were members. However, there
is a limit on the size of the association that can produce a manageable volume.
The Geological Society of America has about 17,000 members and its 1995 directory,
with indexes and small but readable typefaces, over 350 pages long in 8.5 by
11 inch format. AAAS, which now has 142,000 members, hasn't published a member
directory since 1948 (although it does publish lists of fellows occasionally).
Groups too large for directories may find that microfilm or microfiche
copies of the printed out list, made once a year, are an acceptable medium for
checking on individual memberships
Directories and micro-printouts are clumsy substitutes for electronic
files if the association or an outside researcher wants to do statistical studies
of the members because the data must be sampled and reentered. For that reason,
the final choice is to keep them in electronic form. Machine readable records
present serious records management and archival challenges, and a substantial
and helpful literature has grown up to deal with them if your association decides
to keep its members records in that medium (see "Further Readings" section of
this report).
Three points from this literature cannot be stressed enough in
electronic record-keeping:
- Preserve old data on media and in computer languages that can be read
by software and hardware available today (ideally, this can be written
into the contract with an outside fulfillment vendor if you use one; if
you handle the records yourself, convert the data and test their readability
when you change software or machines or hire a conversion bureau to do
it).
- Archive all editions of the printed data entry guidebooks that tell
you what the elements of the electronic file are and what they mean (the
current guidebook for the AAAS membership system runs to 35 pages).
- Save data at least once a year on the same date(s) every time so that
members who stay with you for only a short period are recorded.
Records on office-holding, election to fellow, awards, or
other honorary status consist of nominating and evaluating papers, correspondence
and reports on the election process, and lists of persons awarded the standing.
The lists are normally permanent records, but your records survey may show them
maintained by several offices and only the set generated by the office that
administers the program usually needs to be kept beyond current needs. Nomination
and evaluation papers are often collected under a pledge of confidentiality;
if they are retained, this promise must be honored for the duration stated in
the solicitation or assessment. The forms on successful awardees are often retained
for long periods--even permanently--by associations because questions arise
on why someone won it, possibly as a precursor to awarding them something else.
However, these papers are bulky, and associations commonly discard files on
unsuccessful nominees within a few years and may sample files on awardees back
a decade or so if they lack space to keep them all.
Some care is needed with records or certification. These days
employment may hinge on whether a person has the credentials claimed, and hiring
offices may check your association to find out if the applicant did indeed pass
the certifying exam or course. If the certification has a finite time period
to it before renewal is required, you should keep records that document who
qualified under the program up until the renewal deadline is past. If certification
is indefinite, lists should be maintained of those who qualified for enough
time to cover the working life of most scientists (say, fifty years). The exams
or applications for certification need to be retained for the period during
which an accusation of fraud might be raised, as determined by the statute of
limitations in your state. A sample of them should be retained permanently as
part of the documentation of the process, as should files relating to policy
and procedure for running the program. The certificates themselves are good
exhibit artifacts and a few of each are worth preserving for that use.
- Edit and Publish on Paper or Electronically
- Journals and newsletters
- Monographs and popular books
- Software and data sets (maps, table, catalogs, fieldtrip guidebooks)
- Instrumentation and techniques guidebooks
This activity is at the heart of what JCAST termed the "facilitator
of communication" role that scientific societies play in the world of science.
Associations are well experienced in handling the enormous number of paper and
electronic records required to carry out publications programs.
Publication touches on areas where lawsuits (plagiarism, slander
and libel) may arise. The statute of limitations in your jurisdiction is crucial
for deciding the minimum time for keeping what records. For example, since Science
is published in Washington, D.C., story files (the materials gathered by the
writers of the magazine's news section) must be kept at least one year in case
a story is challenged in court. As a practical matter, story files are commonly
kept at Science for at least three years, partly on the advice of AAAS lawyers
and partly for news department operations. The writers commonly check older
story files for follow-up or in researching related issues.
Once the issue that inspired the story has died down and the likelihood
of legal challenges is past, the question arises of what to do with these records.
Most commercial publications discard story files when the topic is stale, finding
that the published version is enough and that the number of files can be overwhelming.
However, the news section of Science is such a vital part of the magazine
and so depended on by the scientific community that the AAAS archives solicits
donation of older story files by reporters for long term preservation. Some
of these have intrinsic value, such as Eliot Marshall's box full of material
on Three Mile Island, Mitch Waldrop's files on Challenger, or Gina Kolata's
interpretation of mathematics breakthroughs. Not all writers choose to send
their story files to archives, but enough are saved to show how the news department
has functioned over its nearly thirty years of existence.
Story files present another problem: writers often do interviews
under a pledge of confidentiality, and include the notes in the files. For that
reason, access to story files may be restricted. At Science, researchers
outside the news department must have the permission of the writer to use the
files, or if the reporter has left AAAS, of the head of the news section.
Central to any technical journal are the records of the submissions
from scientists and the process by which the manuscripts become published articles.
The volume of material is awesome; Science generates over thirty cartons
a year of paper worthy of at least short term preservation, plus gigabytes of
computer files, in connection with the review and publication of scientists'
research.
Journals of all sizes have some sort of tracking and indexing
system to chart the course of a submission through review and editing. This
may range from a card index with handwritten entries about actions taken on
each item to a computer database that captures many features of the submission
as well as accounting for the handling of it. As Science, the system has evolved
from one end to the other of this range. The current computer tracking system
also serves as a subject index for the technical side of the journal; a customized
thesaurus is used to optimize the reliability and usefulness of this feature
of the database. In its current incarnation, the system is a vital record of
the association, and special arrangements have been made to keep backup copies
onsite and offsite in case of disaster.
The second group of records generated by submission of research
papers is what is called a "jacket" in publishing slang. It is an envelope or
folder which contains the submission, reviewers' comment, and correspondence
between authors and editors. If the article is accepted, the file swells with
material from the editing and production process--revisions, copyedited texts,
and marked up galleys. At Science, six months after an article is published,
the file is thinned of the latter material.
At AAAS, confidentiality of the review process requires that the
computer database and jackets files are closed to researchers. Only the editorial
staff has access to these files. One exception is made on the database: the
AAAS librarian is allowed to search it when normal bibliographical channels
do not yield desired citations. Articles not accepted for publication are returned
promptly to the author, and only a slim record is kept of the transaction. The
jackets for accepted manuscripts are maintained by the journal only for its
own use for about five years after submission.
Other scientific societies conduct peer review under pledges of
confidentiality for a finite period of time or have a policy that allows disclosure
of the names of authors and reviewers to each other, in which case the group
needs to decide whether to keep submission records for the long term. Most do
not. The volume of these operations can be sizable, and if the records are maintained
beyond current operations, they may need to be sampled. Several studies of the
peer review process have been conducted by scholars using such records, but
each association needs to weigh its unique blend of resources before deciding
how long to keep them. Some organizations may decide to keep the tracking files
but not the jackets.
No matter what resolution is reached on the issue of submissions
file and story files, most scientific associations try to preserve the records
of the evolution of editorial policy and procedures. This material may be in
the form of correspondence of the editor, minutes of editorial advisory committees,
reports of ad hoc evaluative boards, memos to and from staff, and similar records.
When the records of the editorial office are well managed, they become good
permanent records for archiving on this important function. For example, the
central office papers of Philip Abelson, editor of Science from 1962 to 1984,
take up only twenty boxes in the AAAS archives. The files of his successor,
Daniel Koshland, editor from 1995, are expected to be about ten boxes. The records
of both were maintained by exceptionally competent secretaries well trained
in filing and with an eye for what was significant.
Book publication (reports, monographs, popularizations) is a common
association enterprise. With the desktop publishing, the amount of paper files
per book has declined somewhat, but the problem of what to save has been transferred
from one medium to another. The correspondence between editor and author, the
minutes of advisory boards, contracts, reports to the executive office, and
procedural guidelines are durable records of limited size, and are commonly
retained as permanent records. The proliferation of drafts, galleys, and paste-ups
can be staggering. Normally the latter records are maintained for about a year
after the book appears in print. By then the publications office has some idea
of whether a second edition is needed and if any of the artwork must be saved
for that occasion.
Software and data sets (maps, fieldtrip guides, tables, and catalogs)
should be documented in two ways: an archival set of the final version should
be maintained in a secure place, and the process by which the material was produced
should be codified. As with books, successive drafts are usually not kept long
beyond the appearance of the item, although the first draft may be deemed to
have historical value. A special consideration arises regarding the data from
which these products are formed. Normally these are retained by the office that
created the item, rather than among the records of a publications office.
Instrumentation catalogs and techniques guidebooks may generate
extensive "information" files form which the publication is drawn. The experience
of the AAAS with the files of the Guide to Scientific Instruments, a
supplemental issue of Science for several decades, may be instructive. When
the Guide was outsourced, the archivist and head of the project retired
the files to a storage area for three years. During that time, they were not
needed by researchers. The office head and archivist decided to save a one-in-twenty
sample of the files to illustrate how the guide was produced, a compromise between
the need for space and the needs of future researchers which has proven satisfactory
so far.
- On research topics within the discipline
- On societal issues relating to the discipline
- On governance (internal) issues
- Encourage student participation and presentations
Association meetings may be managed by a central meetings office
or dispersed through the organization. Also, any given meeting may cover more
than one of the above functions; the AAAS annual meeting, for example, includes
all of them. Symposia, lectures, and contributed papers given during the annual
meeting present the research findings of scientists and spell out the implications
of the work for society at large. An active pressroom insures that print and
broadcast media can efficiently disseminate the findings to the public. Both
the AAAS governing bodies (Board and Council) are convened during the annual
meeting. An awards competition for the best contributed papers, social functions,
and special registration rates are designed to have graduate students participate,
and for younger students, an entire day is taken up with hands-on science activities
for children in the host city.
Abstracts printed in a meeting program are a variant form of publication
in many fields of science, and a convenient summary of what the scientist intended
to say in the presentation. They have considerable research value and requests
to the AAAS library for abstracts from19th and 20th century AAAS
meetings are not uncommon. However, what the scientist actually said is harder
to document.
Many associations allow an outside service to tape proceedings
of lectures and technical sessions and sell them for a reasonable fee. The contract
with the audiotaping company usually promises that a set of the tapes are given
to the association and these can be archived. However, audiotapes require special
storage conditions and must be retaped periodically before sound quality deteriorates.
There are also restrictions on the distribution and use of the tapes that are
spelled out in the release form signed by the speakers and the contract with
the association; if you archive the tapes, it is crucial to keep the copy of
contract and permission form used each year for reference purposes.
Sometimes the author proves a paper copy of the presentation.
Like the abstract, this may deviate from what was actually said, but paper is
a convenient medium and many researchers will use it in preference to audiotapes.
The AAAS Office of News and Information collects papers for release to the press
during the meeting, and at its close presents a set to the AAAS archives. Not
all authors submit written versions to the News and Information staff, but many
significant presentations are saved in this guise.
Abstracts and technical session proposals may be reviewed before
acceptance for the meeting. The review records are subject to the same difficulties
regarding confidentiality as those for a technical journal, although the number
of files is likely to be more manageable. If the reviews themselves must be
destroyed to keep them confidential, the process by which the review took place
still should be documented so that members, staff, and outside researchers can
understand the way the meting was constructed. This may appear in the form of
minutes, handbooks, guidelines, letters, and memos.
Meetings on governance and internal matters are relatively painless
to record. Traditional paper files of agenda, correspondence, minutes, and reports
are generated; there may also be audiotapes of the proceedings (these do no
need to be retained if the minutes are written out). The files are usually of
modest size. Because policy, priorities, projects, and directions are hammered
out at these meetings, the records are usually of long term operational and
research value.
Student participation is partly documented when the records of
presentations are captured in some form or other, but meetings serve another
function for students that is more difficult to capture. At universities, Samuels
terms this activity "foster socialization." By seeing how scientists conduct
scholarly and practical business at meetings, students learn how they are supposed
to behave from a much bigger sample than the professors at their university.
It may require a deliberate documentation strategy for an association to collect
any material on this, for example, by surveys of registrants that include special
questions for students.
Meetings are a form of scientific communication that almost always
inspires photography. Only fieldtrips bring out more shutterbugs. Registrants
and association staff photograph nearly everything--social gatherings, lectures,
informal discussion groups milling around in the halls, the meeting site, living
quarters, the long lines at registration, banquets, and awards ceremonies. Photographs
are indisputably the best way to document exhibits at meetings. They belong
in your records. Modern film does not present the nightmares of preservation
of glass negatives, nitrate and acetate but it does require attention in cataloging
and packaging to prolong its life and usefulness. There are some good books
on photo archives to guide you (see "Further Readings" section of this report).
Scheduling retention of meeting registration records is a vexing
question. Since they record financial transactions, they have a minimum period
when they must be saved that varies among states. Most of them are now computerized,
and are useful as marketing lists for a surprisingly long time after the close
of the meeting. Once that application fades, the record that has a longer life
than the individual registrations is the statistical summary or analysis of
the data if one were done. It can be used for planning and for history, and
is commonly preserved in reports to governing boards or the executive office.
- Advance Scientific Education
- Teach short courses
- Affect curriculum
- Popularize science
- Disseminate science to the media
Scientific associations commonly offer specialized instruction
in the discipline in courses at the annual meetings of the national or regional
groups, or in special sessions throughout the year. These courses range from
a few days to a few weeks and are designed to upgrade or update technical skills
and knowledge of members and other registrants. Continuing education credit
may be provided if the course meets criteria of educational institutions that
certify its contents as sufficiently rigorous.
The contents of these courses are captured in the near-print course
syllabi, outlines, and readings lists, just like a university class. These should
be retained for at least five to seven years in case someone wants to verify
what a participant was taught. They may have considerable historical value.
Related files are the correspondence of the course director with the association's
sponsoring office and registration records. The size of these files in usually
manageable enough for associations to add them to their archives as permanent
records. If registration records are too bulky to be saved indefinitely, they
may have to be discarded (perhaps after sampling), but lists of participants
should be kept for the reasons mentioned above in the discussion of certification.
Societies may influence science teaching in schools and universities
through cooperative ventures with educational institutions and associations
or through creating new curricula for use in classrooms. This activity is one
of the most direct interactions between an association and its culture, and
has great interest for members and other researchers.
A full set of the products of these reform efforts is always worth
permanent retention. Deciding what to save and for how long from the records
of the process by which the materials was created is more problematic. Often
these projects are done under a grant from a funding agency (private or government)
or under contract, and the agreements that set them up may specify minimum retention
periods for drafts, evaluation data, and administrative records. Once that time
has passed, the issue becomes how much longer to save these materials. Nearly
all educational reform projects have some form of assessment built in, and the
amount of material from this part of the project can be formidable. About half
of the files relating to Science: A Process Approach, a post-Sputnik
curriculum project for elementary schools conducted by the AAAS, related to
the evaluation of its draft products in trials in the schoolroom. Fortunately,
most projects summarize and analyze these data in reports, making it less painful
to discard the raw data (after sampling to show how the evaluations were collected)
once the report is archived and minimum retention dates are past.
Scientific societies reach the public with the results of research
through the media--print, television, and radio. Many organizations have a publicity
officer, committee, or office that deals with the press to encourage news coverage.
Press releases, press conferences, and press rooms at meetings are employed
to get the word out about scientific discoveries reported in the association's
journal or presented at technical sessions. Some societies prepare radio or
TV programs for broadcast.
Documenting what the association said follows directly from these
activities. Files of releases and audiotapes of press conferences often find
their ways into the archives of the group. What is harder to document is what
the public actually got out of these efforts. The most common medium for showing
the effect of publicity efforts is a clippings file, which presents archivists
and records managers with a preservation headache. Newspaper has a high acid
content, yellowing and then disintegrating within a few decades unless treated,
especially if pasted onto high-acid paper scapbooks or kept in poor conditions
of temperature and humidity. If the association decides to preserve the information
(contents) of the clipping, the item can be copied into long-lifed paper, but
for exhibits, the original clipping is prized and will need deacidification,
an expensive and time-consuming procedure generally reserved for only the important
material. Organizations with an aggressive press office that uses a clipping
service may also find themselves awash in clippings. Archivists faced with this
dilemma may decide to save only one version of the story along with the tags
from the other clippings showing what other papers ran it on what days. When
space is at a premium and deterioration of clippings becomes serious, some societies
may be forced to discard them. A competent historical researcher should be able
to find most of these newspaper stories in research libraries.
- Advise Government and Voters on Scientific Issues
- Run seminars
- Give testimony on request
- Inform members of government matters of interest
- Recommend and supply scientific experts
Most scientific associations are tax-exempt under statutes
of the Internal Revenue Service that do not permit lobbying in more than minuscule
amounts. Historically, societies have concentrated instead on educational roles
in policy issues and become involved in legislative matters only on request.
AAAS, for example, runs Congressional seminars that are designed as instructive,
not didactic, and that address both sides of contentious issues. In conjunction
with several affiliated associations, it conducts a program to place scientists
and engineers in Congressional offices for a year. The association publishes
data and analysis on scientific research and development budgets in federal
agencies. Occasionally the AAAS President may be asked to testify at a Congressional
hearing on a science-related issue.
The possibility of a challenge to tax exemption because of
activities that might be misconstrued as lobbying is very real. Consequently,
it is advisable to establish retention schedules for records of government,
especially legislative, contacts and projects for a duration that would take
the association safely past an audit. Seven years is not unreasonable.
What of the value of records of government-related activities
beyond this minimum? Historians have shown great interest in this aspect of
scientific societies. Currently, for example, several scholars are researching
what associations did--and did not--do to help members who had trouble during
the McCarthy era. The role of scientific associations in Vietnam War era concerns,
their activities in arms control, and their work on preserving threatened natural
environments are predictable topics for the future. In some societies, the documentation
of the Board or Council's actions may be sufficient. But groups more active
in these matters, the records of committees and projects could be marked for
permanent retention with some confidence that members, staff, and other researchers
will use them.
- Certify Knowledge and Define Boundaries
- Take stands on controversial issues such as creationism
- Arbitrate disputes
- Offer print or in-person forums for debate
- Establish and enforce codes of behavior
- Expose quackery
Scientific theories and research can lead to stimulating debate
in the community over matters of fact and truth. Over the years, conduct becomes
codified in the scientific world through ethics guidelines, unwritten rules
of procedure taught to the young in informal venues, and experience with methods
that work in settling disputes. Technical journals, newsletters, and meetings
sponsored by scientific societies leave a record of this process. The retention
schedules and decisions on archiving their records will usually secure an adequate
body of material for staff, members, and outside researchers to investigate
how these issues came to be handled.
For intense arguments that flare quickly across the scientific
landscape, such as cold fusion and the extinction debates, researchers have
recently gathered documentation from all sorts of sources, including print output,
organizational email bulletin boards, and abstracts and audiotapes of meetings
of scientific associations. The unpublished material related to these activities
in society archives are a valuable complement to this kind of documentation.
And for the many topics that are not captured by these special targeted efforts,
the archives of the association, along with the papers of protagonists, may
be the only records for later study. The published literature--much of it issued
by associations--gives the researcher clues on where to look for such material.
When the archivist or records manager notices documentation on a serious scientific
debate in material accessioned for permanent retention, they should highlight
its existence in the finding aid that describes the collection.
- Measure and Improve the Status of the Profession
- Conduct and publish employment and educational surveys
- Assess the health of funding for research
- Track participation of various groups in science
- Run employment exchanges, job fairs, and job bulletins
- Monitor the status of persecuted scientists
Associations produce important studies of the numbers and attributes
of students and employed workers in the discipline. Sometimes these reports
are based on government data, such as the federal census, but often societies
collect the data themselves. For most purposes, the written reports provide
sufficient documentation of the project, but often the original data gathered
by the association have a research value beyond a few years. This occurs when
the detailed evidence is only summarized in the publication but can be used
later for longitudinal studies. There are several factors that can be used to
evaluate this possibility. One is whether the data were gathered in such a way
that comparisons can be made with later surveys. Often the need for preserving
confidentiality interferes with the ability to match answers from a later survey.
Also, the advice and assessment of the members or staff that collected the first
set of data are crucial; they may have anticipated long term use and planned
for it in their study design. They can also warn records managers and archivists
about the need for restrictions on data gathered under a pledge of confidentiality.
Scientific associations have been concerned since the days of
the civil rights movement with the issue of whether science is open to all segments
of the population. Nearly every group has had, and many still have, committees
that address equal opportunities for women or racial minority groups who might
be underrepresented or under-appreciated in their discipline. If there is no
special office devoted to this cause, the records of the committee are likely
to be found with the executive office. These committees and projects are rarely
content with handwringing over low numbers but are likely to encourage, survey,
publicize, and sponsor intervention efforts to improve the situation. This work
is an important index of the social conscience of science, and deserves attention
in a program to document the organization.
Job fairs and bulletins (increasingly maintained online) are a
prized service to association members. The documentary challenge is whether
to preserve only the records of the creation and conduct of the operation, or
of all of the listings also. Space considerations may dictate sampling the latter.
Some associations dedicate themselves to helping secure the freedom
of persecuted scientists working abroad, or of improving the work conditions
of members who have encountered discrimination. These activities generate case
files arranged by the scientists' name, and parts of these records may be protected
under standard rules of privacy. Case files are commonly restricted (permission
from the head of the office and the scientist involved may be needed for examining
them) and they may be closed. Case files of associations especially active in
this cause may also get voluminous. The AAAS files on Andreas Sakharov take
up one entire box. If sampling is used to reduce the bulk, a random technique
may not be desirable, but whatever process is employed, it must be written out
and accessible to researchers who might obtain the privilege of using the material.
- Finances, including sales of ads and products
- Administration (staff, phones, travel, building, computers)
- Fundraising
- Member recruitment and services
These support activities can overwhelm an association with records.
Authorities estimate that the accounting department alone generates about half
of the records of any business. Besides volume, there is variety: records from
a finance office may include the following, and the list is suggestive, not
exhaustive:
Auditor's reports Accounts payable Journal entries
Budgets Accounts receivable Timesheets
General ledger Tax forms Payroll records
Monthly reports Tax work papers Bank statements
Fixed assets Capital accounts Canceled checks
Contracts Insurance policies VAT returns
Telephone records Postal meter accounts Photocopier
readings
Invoices Collections records Check carbons
These records are also likely to be the target of regulations
about minimum retention issued by the Internal Revenue Service, granting agencies,
and state authorities.
Because of the business and legal nature of financial materials,
the records management literature, especially Skupsky, does a superb job of
indicating retention periods for them. Schedules can be set up from these books
and then customized to meet the quirks of the association's home state and the
needs of current operations within the society. The question remains which ones
associations might want to keep longer than the period required. Auditor's reports,
final copies of filled-in tax forms, financial statements to the Board or Council,
the budget as passed by the Board, and the summary year-end general ledger are
often maintained for long periods of time or treated as permanent records.
Fundraising in scientific societies is devoted to raising
from individuals (members and philanthropists) and organizations (foundations,
corporations, and government agencies). Records for approaches to each are usually
kept separate. Donor files on persons include letters outlining the worthiness
of the association, requests for donations, data on responses, copies of thank
you notes, and later rounds of appeals. Most associations also keep files on
bequest from the estates of members and others that consists of a copy of the
will, correspondence with the executor, and probate records. Files on bequests
are usually permanently archived a few years after probate, because they are
a valuable indicator of whether any restrictions were placed on the use of the
money. Individual prospect files other than bequests are commonly treated as
information files--updated with the latest data and discarded when no longer
needed for fundraising.
Development files on funding agencies include profiles on
the group, correspondence not related to a specific grant, and notes on meetings
and interviews with program officers. These are treated as information files
(thinned of out-of-date data and kept for current purposes).
The fundraising office may also keep files on grants that
duplicate in part the records of the finance office. Both sets need to be studied
before a decision is made on which to retain. The development office but not
finance is likely to keep records of unsuccessful proposals, for example, at
least for long enough to be useful in seeing what didn't work with an agency
before sending in an application for a new project.
When a development office undertakes a special campaign, such
as seeking funds for a new building, the files are apt to be segregated from
the regular files kept on individuals, corporations and agencies. The records
of one campaign tend to become the platform of the next, and may consequently
be treated as "current" records until the second campaign is finished. These
high-energy projects generate records of considerable color and say a lot on
how the association views itself and projects itself to donors. Shorn of duplicates
and routine material, they are good candidates for permanent retention.
Member recruitment activities generate promotional materials
that make good display items once they are past their current usefulness. Like
fundraising campaigns, they offer a convenient way to study how the association
envisioned and advertised itself over time. At AAAS, one example of each mailing
is kept with a one-page report on how it was deployed and its success rate.
Member service records include a lot of correspondence with
prospective and current members. This varies from routine requests to send another
copy of a missing journal to profound (sometimes highly critical) comments on
the health and effectiveness of the society. Some membership offices weed out
the routine letters shortly after the issue seems resolved or segregate the
routine from the extraordinary in filing. Others keep all letters for a year
or two to see if a pattern evolves that needs fixing, such as careless handling
of the association's journal at a particular postal center. Archivists and records
managers can help member offices cope with the volume of this mail. If they
do, records that have promise for long-term research value, such as historical
researchers, will not be lost among routine transactions. If a record series
of everyday letters does make its way to the archives, it is a good candidate
for sampling.
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