Case file

Definition


A compilation contains information about the acquisition and management of fonds or collections in the Archives Permanent Collection. Case files typically comprise paper records and electronic records.

Introduction


Case files have permanent value to an archival repository. 

Contents of a case file


Each fonds or collection has a case file that contains administrative records about the fonds or collection. Case files are maintained in paper and electronic form and may also include records stored in a database or enterprise content management system (e.g., accession record or entries in the Register of Digital Storage Devices). Case files provide vital information about the Archives Permanent Collection.

The following table describes some, but not all, of the documents that are typically found in a case file.

Document

Activity

Description

Document

Activity

Description

Correspondence with donor(s)

Acquisitions

Correspondence pertaining to the negotiation of the donation agreement, management of fonds / collection, and other as

Donation agreement

Acquisitions

Legal document that explains the terms and conditions of the transfer of ownership from an external donor to the University. Produced during acquisition activities.

Transfer agreement

Records management

Signed departmental records transfer form (must be signed by department contact and by Archives staff),

Accession record

Accessioning

Form that summarizes standard information about material acquired by an archival repository and the process of acquiring the material.

Archival appraisal report

Archival appraisal

Report that summarizes the methodology and outcomes of an archival appraisal. Records the criteria used to identify material from the appraisal unit that is selected for permanent retention.

Monetary appraisal report

Monetary appraisal

Report that summarizes the methodology of an external qualified appraiser invited to determine the fair market value of the material selected for permanent retention.

Cultural property application

Monetary appraisal

Application to have an acquisition certified as Canadian cultural property by the Canadian Cultural Property Export Review Board (CCPERB).

License agreement

Rights management

Legal agreement that outlines the terms and conditions of a license for the University to reproduce and/or distribute digital copies of copyrighted material. 

Researcher agreement

Access services

Legal agreement that outlines the terms and conditions that allow a researcher to access restricted information in the Archives Permanent Collection.

Legacy descriptive information, inventories, etc.

Processing

Box lists, inventories, and other descriptive information that has been superseded by multi-level finding aids published and maintained in the Archives Catalogue.

Processing plan

Processing

Report that summarizes the levels of processing and other details of a project to process a fonds or collection.

Deaccession record

Archival appraisal

Form that summarizes information about previously acquired material that has been re-appraised and determined to be no longer suitable for permanent retention. Deaccession records explain the rationale for the deaccession and the disposition of the materials removed from the Archives Permanent Collection.

Training material


Case study: Case files at the Dalhousie University Archives

The Dalhousie University Archives wiki includes information about the management of case files, which are considered to be a form of University administrative records.

Related terms


Acquisition

Archives Permanent Collection

University administrative record