Introduction
This essay aims to develop a code of ethics for records managers and archivists working within a university archive, an environment where the preservation of historical, academic, and administrative records is paramount. Universities hold vast repositories of sensitive information, ranging from student records to research data, which demand ethical handling to ensure trust, accountability, and integrity. Drawing on established principles in records management and archive administration, this essay proposes a tailored ethical framework for such professionals. The purpose is to address the unique challenges faced in a university setting, including balancing access with privacy and ensuring long-term preservation. The main body will outline and explain five key ethical principles: accountability, confidentiality, impartiality, professional competence, and stewardship. Each principle will be explored with reference to its relevance and application, supported by academic literature and professional guidelines. Ultimately, this essay seeks to provide a practical and theoretically sound code of ethics that can guide university archivists and records managers in their daily responsibilities.
Context of University Archives
University archives serve as repositories for institutional memory, capturing the history, research, and administrative functions of the institution. These archives often include sensitive personal data (e.g., student records), proprietary research, and historically significant documents. The dual role of providing access for research purposes while protecting privacy creates ethical dilemmas for records managers and archivists. Moreover, the digital age has introduced complexities such as cybersecurity risks and the need for sustainable digital preservation (Cook, 2013). A code of ethics, therefore, must address both traditional and contemporary challenges. Professional bodies like the International Council on Archives (ICA) and the Archives and Records Association (ARA) in the UK provide general ethical guidelines, but these often require adaptation to specific institutional contexts. The following five principles form a bespoke code of ethics for a university archive, ensuring alignment with broader professional standards while addressing the unique needs of the academic environment.
Principle 1: Accountability
Accountability is a cornerstone of ethical practice in records management and archiving, ensuring that professionals are answerable for their actions and decisions. In a university archive, this means maintaining transparent processes for the acquisition, storage, and disposal of records. For instance, archivists must document their decision-making processes when determining which records to preserve or deaccession, ensuring these choices align with institutional policies and legal requirements (Danielson, 2010). Accountability also involves adhering to data protection legislation, such as the UK’s Data Protection Act 2018, which governs how personal information is handled. By fostering trust through accountable practices, university archivists can reassure stakeholders—students, staff, and researchers—that records are managed responsibly. This principle is particularly critical in preventing misuse of records or accusations of bias in collection policies, thereby safeguarding the institution’s reputation.
Principle 2: Confidentiality
Confidentiality is essential in protecting sensitive information held within university archives, such as student records, medical data, or unpublished research. Archivists and records managers must ensure that access to such information is restricted to authorised individuals and that data breaches are prevented, especially in the context of digital records. As MacNeil (2002) argues, confidentiality is not merely a legal obligation but an ethical duty to respect the rights of individuals whose information is archived. For example, unpublished research data may involve intellectual property concerns, requiring archivists to implement strict access controls. In practice, this principle demands robust security measures, including encryption for digital records and secure storage for physical ones. Furthermore, confidentiality must be balanced with the need for access, a tension that requires careful ethical judgement. Indeed, breaching confidentiality, even unintentionally, can undermine public trust in the archive’s integrity.
Principle 3: Impartiality
Impartiality refers to the obligation of records managers and archivists to avoid bias or favouritism in their professional conduct. In a university setting, this principle is vital when curating collections or providing access to records, as personal or institutional biases could skew historical narratives or prioritise certain research agendas over others. For instance, prioritising records from a specific department or donor due to political or financial influence would compromise the archive’s objectivity (Jimerson, 2009). Impartiality ensures that the archive serves as a neutral repository of knowledge, accessible equitably to all users. This principle also extends to appraisal processes, where archivists must evaluate records based on their long-term value rather than subjective preferences. By upholding impartiality, university archives maintain credibility as trusted sources of information, a critical factor in academic research environments.
Principle 4: Professional Competence
Professional competence requires archivists and records managers to maintain and develop the skills necessary for effective management of university records. This includes staying abreast of technological advancements, such as digital preservation techniques, and understanding relevant legal frameworks. As Cook (2013) notes, the rapid shift to digital records has heightened the need for continuous professional development in areas like metadata standards and cybersecurity. In a university context, competence also involves specialised knowledge of academic record types, such as theses or grant applications, which may have unique preservation needs. For example, an archivist lacking expertise in digital formats might fail to preserve born-digital research data, leading to significant loss. Therefore, commitment to ongoing training and adherence to professional standards, such as those set by the ARA, is non-negotiable. Indeed, competence underpins the ability to implement other ethical principles effectively.
Principle 5: Stewardship
Stewardship encompasses the responsibility to preserve records for future generations while ensuring their accessibility and usability. In a university archive, this principle is particularly relevant given the institution’s role in advancing knowledge through research and education. Stewardship involves not only physical or digital preservation but also proactive strategies to mitigate risks such as obsolescence of file formats or environmental damage to physical records (Danielson, 2010). For instance, archivists might need to migrate digital records to new platforms to prevent data loss. Additionally, stewardship requires advocacy for adequate resources and funding to support long-term preservation efforts, a challenge often faced by university archives with limited budgets. By acting as stewards, archivists ensure that the institution’s legacy endures, supporting both current and future scholarly pursuits. This principle, arguably, ties together the ethical obligations of care and responsibility central to the archival profession.
Conclusion
In conclusion, this essay has proposed a code of ethics for records managers and archivists at a university archive, comprising five key principles: accountability, confidentiality, impartiality, professional competence, and stewardship. Each principle addresses specific ethical challenges inherent in managing university records, from protecting sensitive data to ensuring equitable access and long-term preservation. Together, they form a cohesive framework that aligns with broader professional guidelines while catering to the unique needs of an academic institution. The implications of adhering to this code are significant, fostering trust among stakeholders, enhancing the archive’s reputation, and contributing to the university’s mission of knowledge preservation and dissemination. However, implementing these principles requires ongoing commitment to training, resource allocation, and ethical reflection. Ultimately, such a code not only guides daily practice but also reinforces the critical role of archivists and records managers as custodians of institutional memory in an increasingly complex information landscape.
References
- Cook, T. (2013) Evidence, memory, identity, and community: Four shifting archival paradigms. Archival Science, 13(2-3), pp. 95-120.
- Danielson, E. S. (2010) The Ethical Archivist. Chicago: Society of American Archivists.
- Jimerson, R. C. (2009) Archives Power: Memory, Accountability, and Social Justice. Chicago: Society of American Archivists.
- MacNeil, H. (2002) Trusting records in a postmodern world. Archivaria, 54, pp. 36-47.
