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OVERVIEW OF PROCESSING
—Accessioning, Arrangement &
Description
Archival and manuscript materials are
the product of an activity through which records were created or accumulated and
can come in many forms. These records were saved for some probable future
value.
Why do
we preserve records?
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They are essential to scholarly inquiry,
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They have administrative, legal and social uses,
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They are important to individuals, communities,
corporations and society as a whole, and
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They protect rights, privileges, and property by
establishing citizenship, ownership, eligibility and participation.
Principles of Arrangement and Description
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Accessioning |
Arrangement |
Description
Principles of Arrangement and Description
Basic Archival Principles
Archival
records are an organic byproduct of an institution, activity, or person.
Maintaining the context in which archival material was created is essential to
future historical understanding of these entities.
Provenance
The best method
of maintaining the context is to organize the records according to the
“provenance” or creator. This means, materials from one records creator should
not be intermixed with those of another records creator despite similarities in
subject matter.
Original Order
Original order
is the principle that records are to be maintained in the order and with the
designations which they received in the course of the official activity
established by the creator. The original order of the collection should be
maintained or restored wherever possible.
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ACCESSIONING
As soon as acquisition and appraisal
procedures have been completed accessioning begins.
Accessioning is the steps taken to gain
initial physical, administrative, legal and intellectual control over newly
acquired material.
Transfer Procedures
Physical Transfer
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Physical transfer of records can be the responsibility of
either the donor or the archives.
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It is preferable the material be transferred in 1 cubic
foot bankers boxes with handles
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The archives can provide boxes for transferring if
necessary
Boxing and Listing on Site
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Records to be transferred should be reviewed before being
boxed.
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Items
are placed in acid-free archival boxes,
maintaining their internal file order
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Boxes labeled on site. The labels will serve as an
initial control document. Labels should:
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Identify the creator or office of origin,
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The type of records,
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The beginning and end of the file groups in the box
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Indicate the total number of boxes transferred (i.e. Box
4 of 20)
Acknowledgement procedures
Acknowledgement
includes establishing a gift agreement with the donor or completing the records
transfer process if a university department, and writing thank you letters
acknowledging the gift or transfer.
Gift
Agreements
Records
Transfer
Physical Analysis of the Records
A general review of the records is
conducted noting the condition of the records. This analysis should concentrate
on the records, containers, the condition of the enclosed files and papers, and
the disposition of non-archival materials.
Archival materials can be very dusty
and, at times, moldy. Both of these conditions may cause some problems when
processing material. If any hazardous material is found (i.e. mold, bugs, etc.)
care must be taken not to contaminate the rest of the collections. If questionable
material is discovered in a collection, it is isolated away from any
other collections, until the material can be assessed.
This is
also a good time to identify separate
collections within an accession. Organization records can include the records
of predecessor agencies, merged agencies or related organizations. These can be
maintained as sub-groups within the collection, but if continuity is lacking it
is more appropriate to establish a separate collection. Manuscript (or
personal) papers can contain records of more than one person or sets of business
or organization records. Determination of a separate collection should be
established and depends on the individuals and the integrity of the filing
system. Sometimes public records are found in private custody and may be
recoverable by public authorities.
Time is
taken to verify basic
information about the title, volume, time span, contents and arrangement of the
records. This will provide the foundation for descriptive work.
This is also a good time to do some
weeding of the collection, disposal of duplicates and blank forms, and identify
large groups of records with no permanent value.
Restrictions to the collection
are also
noted at this time. Restrictions may include: Security
classified records, personnel records, or materials restricted for a term of
years under the gift agreement. Records should be labeled accordingly so they
are not handled by unauthorized staff or made available for use before
processing.
Preliminary Container List
A preliminary container list of
accessioned material is created listing all materials received in a collection.
The best arrangement for the collection is often identified with the help of
this list, particularly if someone different will do the final processing. This
list will also be used to access the material before it is fully processed.
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ARRANGEMENT
The arrangement of records is the
activity most often identified with archives. Arrangement, also called
processing, is the process of organizing archival materials. The goal of
arrangement is a collection physically divided into discrete series or sub-series
to illustrate function or activity, and assembled, at least on paper, into
different subgroups to document creating organizational units. Processing
consists of arrangement and description of archival records and makes up a large
portion work in South Dakota State University Archives.
Reviewing and surveying the collection
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Become familiar with the records by reviewing the boxes
and any lists created to provide a summary of the contents, arrangement and
physical condition.
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Note existing file structures, gaps in the records, loose
or disordered documents, or items that require item level processing.
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Note major subjects and events, important individuals and
strengths and weaknesses in terms of content.
Preparation of work plan
After reviewing the collection, the
processor can now determine specific processing needs. This can take the form
of a work plan. The plan will give the processor the opportunity to propose the
arrangement and determine the required resources and supplies necessary to
process the collection.
Basic
research on records and creators
It is a good idea to conduct further
research before beginning arrangement. This will give a full understanding of
the context and activities that generated the records so they can be properly
arranged. This may include consulting the donor file, accession data form,
publications, or visiting with the creator or donor.
Deciding when to retain/discard original order
The original order of the collection
should be maintained or restored wherever possible. Original order is the
principle that records are to be maintained in the order and with the
designations which they received in the course of the official activity
established by the creator.
Sometimes, particularly in manuscript
collections, this original order cannot always be maintained. Some filing
systems are no longer comprehensible or records were received in disorder and it
is necessary to sort and arrange the material into logical sections. According
to archival standards, original order should be retained when it:
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Preserves inherent documentary relationships,
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Provides information about the creation and use of or
activity documented in the records, or
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Adds to the value of the archives as unbiased evidence of
that activity.
Imposing an arrangement—choosing a system
Identifying and separating materials
into appropriate record groups, sub-groups and series is the key to processing a
collection. The best way to accomplish this is by identifying or bringing
together sets of records, derived from a common source, which have common
characteristics and a common file structure. This also includes identifying
relationships among sets of records and between records and their creators
The different types of arrangement
described below provide the framework for the organization of records. This
allows archivists to arrange records in the distinct ways appropriate to the
preservation of provenance, filing systems and physical integrity or ordered
records, as well as the organization of completely disordered records.
The four levels of arrangement are
described below:
Repository-Level Arrangement
Many
repositories have physically and administratively separate
divisions to which different types of record groups or
collections are assigned. Such arrangement at this level
is concerned primarily with facilitating the logical and
efficient administration of the institution. The most
common division is between manuscripts and archives. At
SDSU Archives material is
arranged into University Archives (UA) and Manuscript Archives (MA).
University
Archives
University
Archives consists of university records having permanent historical value to
SDSU and the wider community, including administrative records, departmental and
student group records, faculty papers, publications, Agricultural Experiment and
Cooperative Extension materials, and materials from individuals and
organizations associated with the university. Permanent value of University
records may be established 1) by the State Records Destruction Board through
formal records retention scheduling procedures or 2) through appraisal process.
Manuscript
Archives
Manuscript
collections come from a variety of sources. Many of the collections relate to
rural life in South Dakota. Also included are the papers of some alumni. Most
of the collections offer significant insight into South Dakota or the region.
Arrangement by Provenance
In arrangement
by provenance holdings are organized according to origin and all records are
linked to at least one creator.
Arrangement by filing structure
Archivists
organize and manage physical groups of records primarily in terms of series and
sub-series which they identify or create. Arrangement by filing structure is
concerned with the reality of sorting and grouping the records themselves.
There are five
levels of arrangement:
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Sub-Group
A “sub-group”
is a body of documents within a record group maintained as a unit because they
result form the same accumulation or filing process, the same function (ex.
Dept. of Electrical Engineering within the College of Engineering).
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Series
A “series” is a
body of documents within a series identifiable in terms of filing arrangement,
type, form or content. Series are better described in terms of minutes,
memoranda, correspondence, etc.—each type of record having its own
characteristics. (ex. Correspondence within the Benjamin Reifel).
A coherent filing system in which records are arrange
alphabetically, chronologically, geographically, or some other consistent
classification system
A set of records which may be a mixture of file types and
arrangements but which derives some unity from a common format, function or
activity.
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Sub-series
Sub-series are
used where there are significant and logical division within a series.
(i.e.
Series—correspondence Sub-series—Letters Received; Letters Sent)
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Folder
A “folder’ is a
folded sheet of acid free folder stock that serves as a container for a number
of items (or documents).
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Item
An “item” is
the smallest indivisible archival unit, also known as a document. Items
accumulate to form series. (e.g. a letter, memorandum, report, leaflet, or
photograph)
Arrangement by Physical File Units
This is in
handling file units such as folders or bound volumes. The order imposed by the
creator is generally the structure which defines the files as series—generally
chronological, alphabetical, or by some internal classification system.
Folder-level organization and folder labeling
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Loose or undated materials should be integrated as far as
possible within the existing file structures by interfiling documents in
existing folders or by creating new file units.
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Avoid using nondescript names, such as “Miscellaneous” or
“General.” If these names must be use, try to categorize the material:
“Miscellaneous Correspondence” or “General Reports.”
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Examine undated documents in an attempt to find at least
an approximate date, if possible. Write supplied date in brackets in upper
right hand corner of document.
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All materials are to be placed in appropriately sized
acid free folders. Old containers should be discarded.
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Label folders neatly using a pencil. Identify with the
collection number, record group, sub-group, series, box/folder numbers,
description, and date(s) (if no date can be found on the material use n.d.
for no date). Folders should be dated consistently, using standard
abbreviations as appropriate.
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Materials that cannot be foldered or must be separated
from the collection because of format must be identified. Write (as though
it were a folder) the collection number, box/folder number, folder heading,
dates, and collection name on item across rear bottom of item. If this is
not possible, write the information on most appropriate place.
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Chronological arrangements should start with the earliest
date and work backwards.
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Sometimes correspondence series contain large numbers of
letters written by one person. These should be arranged alphabetically
under the name and placed directly after the general alphabetical listing.
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Items with enclosures should be clipped together
Preservation During Processing
It is during the processing step the
physical cleaning and weeding the collection occurs. Often a collection may be
very dusty, wrinkled, or torn. Mold may also be present. Materials that are
not in good condition must be made presentable.
Some of the special treatments applied
to materials are:
Refoldering
All items are
removed from original folders placed in acid-free archival folders of the
appropriate size for the material.
Boxing
All folders are
placed in acid-free archives containers of the appropriate size for the
folders. Folders should be upright and supported in the container. If the
container is not completely full, place crumpled paper to fill the empty space
and provide support to the folders.
Remove harmful fasteners
These include,
but are not limited to, rubber bands, paper clips, straight pins, and staples.
Care should be taken not to damage the document when removing these items.
These may be replaced with Plastiklips, if necessary. But it is more desirable
to separate with sheets of acid-free bond paper, especially thicker bundles of
paper.
Flattening
These include,
but are not limited to, folded, rolled or otherwise wrinkled items. Place the
item on a large, flat surface, larger then the item to be flattened. Place a
piece of acid free paper between each item. Place boards on top for weight for
at least one week (it generally takes longer). Check the item periodically.
Some items may require humidification.
Photocopy
Photocopy items
onto acid-free paper if necessary. All newspaper clippings should be
photocopied and only the photocopy retained, exceptions would include if the
clipping or newspaper holds some intrinsic value. If an entire newspaper has been
saved, photocopy only the pertinent article(s). Sometimes certain original documents will need to be
photocopied, particularly if they are unreadable or very brittle. For the most
part, original documents should be retained along with the photocopy. Make sure the photocopy is legible and that all pertinent information about the
clipping is retained (the newspaper or publication title, date of publications,
page numbers, etc.)
Encapsulation
and Phase Boxes
When processing
collections, you may come across certain items that require the construction of
special housing.
Encapsulation
Mellinix is a
special type of polyester plastic used to encapsulate materials and allow for
expanded use. In processing a collection, Mellinix is used only to encapsulate
very fragile and very important items that will receive a lot of handling. It
is not done regularly.
Phase Boxes
Unusually
sized or shaped items, fragile books, scrapbooks, and photo albums may require a
special box.
Weeding
Unrelated
materials
Sometimes
materials that will not be preserved are found in the unprocessed collection.
It is impossible for us to keep all materials. The major consideration in
deciding whether something should be kept with a collection is if the document
is directly related to the creator of the collection. Anticipated public use is
also a factor. For example, all correspondence and diaries of an individual
should be kept, but not news clippings that have nothing to do with the
individual or their activities. Financial ledgers and minutes of an
organization should be kept, but not blank forms and magazines that have nothing
to do with the organization. A list of all types of materials removed from
a collection should be maintained. This information will be used in the description.
In general the
following should be removed from collections and discarded:
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Duplicates;
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Common, multiple, and blank forms;
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Instruction booklets, warranties, etc.; and
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News clippings other than those dealing with the creator
of the collection.
In some
collections, material may not be thrown away or recycled without permission of
the donor, or must be returned to donor as established in the gift agreement or
records transfer.
The following
items are disposed of as indicated if found in a collection:
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Loose envelopes should be discarded. Envelopes that are
attached to correspondence and provide the only contact information for the
writer should be left with the correspondence, attached with a Plastiklip.
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Books and printed materials NOT DIRECTLY RELATED to the
creator of the collection are set aside for evaluation by an
Archivist. These include books, magazines, newspapers, pamphlets,
brochures, and government publications. Many books and journals will be
used to fill out the library’s collections. Items directly related to the
collection should be left until further processing occurs.
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Audiovisual materials NOT DIRECTLY RELATED to the creator
of the collection are set aside for evaluation by an Archivist. These
include films, filmstrips, videos, slides, cassettes, reel to reels, disks,
diskettes, etc. Items directly related to the collection should be left
until further processing occurs.
3-D
Artifacts and Oversize Material
Sometimes
material appears in collections that is inappropriate for storage with the rest
of the collection. Because each collection is unique, these items may include
but are not limited to:
These items
are housed separately from the rest of the collection.
Identifying
restricted records and records with potential confidentiality problems
Classified and restricted records
are isolated and clearly marked so that staff can retrieve documents without
either seeing or retrieving these materials.
Records with potential confidentially
problems include:
Labeling
boxes
Labels
should include all collection record groups, sub-groups and series
names; an indication of the material housed inside the container
(i.e. Correspondence 1950-1970), the collection number, and the box
number (i.e Box 1 of 10)
Miscellaneous
Collections /SD Board of Regents / Minutes
UA 52.5.1
Box 8 of 9
Ex.
Final
Notes on Arrangement
It is always a good idea to takes notes
about the collection as you process it. Notes taken during arrangement can be
useful in developing a written account of the content of the series and in
analyzing the value of the records to researchers. This will prove helpful in
writing the description. Some things to note down are:
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Material separated during processing (images,
publications, electronic media, oversize items, etc.) and note where they
were separated
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Material discarded during processing
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Material duplicated during processing (items photocopied)
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Strengths and weaknesses of record groups, sub-groups,
series
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Any notable items (items that may be of interest to
researchers)
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DESCRIPTION—The Finding Aid
Description is the process of analyzing,
organizing, and recording information that serves to identify, manage, locate,
and explain the holdings of an arranged collection. The end result of the
description process is a finding aid.
What
is a Finding Aid?
Finding aids are used by patrons to
research our collections. These aids include the name of the collection and its
collection number, the size of the collection, a note about the provenance of
the collection, a short biographical or historical statement about the
collection, a note describing the scope and contents of the collection, and
subject headings. It is followed by a box-by-box listing of the various series
and the titles of each folder in the collection.
Finding aids should:
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Provide information about the intellectual content of the
records
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Provide information about how to use the records,
including their accessibility and their relation to other records
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Inform the researcher of the physical characteristics of
the records
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Provide information on how to gain physical access to the
records
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Provide information about the records creators, origins,
and context
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Describe the nature and products of their work on the
records
Arrangement of Finding Aids
Not every finding aid will contain all
of the following, but every attempt should be made to include as much as
possible. The following information should appear on finding aids.
Collection Summary
Creator—Office
of origin, creator of the records
Title—Collection
name
Dates—the dates of the entire collection:
Inclusive
dates indicate the entire dates that the material in the collection covers.
Ex.
Inclusive: 1900-1930
Bulk dates
indicate the dates that a majority of the collection covers.
Ex.
Bulk: 1915-1920, 1927-1929
Abstract—Brief
scope of the collection
Physical Description—The physical
description of the collection that includes the linear footage and the number of
containers it fills. This is where the
exact number of images, media, and other items is indicated.
Ex.
Physical Description: 2.5 linear feet—5 boxes, 12 cassette
tapes, 3 videotapes,
157 images
Or .21
linear feet—1 box (5 folders)
Collection Number—Identification
number assigned to the collection
Background or Biography
Research is conducted on the person and/or organization from which the collection originated
for a brief written history or biography. An individual will have a biography;
an organization will have a background. Landmark events, such as marriages,
founding dates and significant achievements are noted.
Ex.
Biography
Robert Floyd
Kerr was born April 12, 1850 at Sugar Grove, Indiana. He attended Wabash
College and later DePauw University, where he graduated in 1877. After teaching
in Indiana for 2 years, he taught English and Mathematics at Hirosaki, Japan in
1879. Upon his return to the United States in 1880, Kerr taught again
throughout the Midwest, settling finally in Brookings in 1885, where he was
professor of political economy and Principal of the Preparatory Department. In
1892, he was ousted from the college and went to Illinois to work but he
returned to Brookings in 1898, this time as Librarian and Principal of the
Preparatory Department.
In addition to these roles, he also served as steward and
manager of a boarding club, ran the men’s dormitory and acted as advisor to the
Dakota Agricultural Cadets, the military organization on campus. In addition to
his work on the SDSU campus, Kerr was also active in Brookings. He was
instrumental in founding the Forum, a men’s association in town, and he was
active with the Masons. In 1905, Kerr accepted a position as private Secretary
to Governor Elrod. In 1911 and 1913, he served on the South Dakota
legislature. In his later years, he lived in Brookings, edited a farm paper and
remained active in many community organizations. He died October 16, 1921.
Arrangement and Content
The arrangement and
content portion of a finding aid consists of a scope
describing the types of material found in the collection, what the collection
documents and to what extent, and notes how the records are arranged. It can
also note any strengths or weaknesses of the collection and indicate pertinent
materials that may be of interest to researchers.
In the case of
larger collections, or collections which include a number of different series or
subgroups, include a brief note about the arrangement used in the collection.
While information about the arrangement will appear in the scope note, this aids
in placing the information into context.
In smaller
collections, with no sub-groups or series, a brief note about the arrangement
will generally describe if the collection was arranged alphabetically
,chronologically, etc.
Ex:
Arrangement and Content
The Allen
Barnes Papers sub-group is arranged into series.
Faculty Papers / Allen Barnes Papers: Centennial
Collection Number: UA 53.3.1
Dates: 1980-1981
Physical Description: .21 linear feet—.5 box (13 folders), 1
audiocassette
Scope: This series consists of Barnes’ files relating to the Centennial celebration of
the college. The majority of them are related to the College of Arts and
Sciences activities related to the events on campus. Included are the College
of Arts and Science centennial committee notes, transcripts of lectures given in
the College, copies of departmental histories, correspondence, files from
various activities such as the dinner dance, the musical production, an art
exhibit, scholarship activities, a special course, and alumni days activities.
Also included are some material related to the Theodore Schultz Symposium and
the Centennial Steering Committee subcommittee responsible for it. This series
offers a more in depth look at what went on during the Centennial year in this
particular college, an aspect touched upon without depth in the Centennial
Steering Committee files.
OR:
Arrangement and Content
The Robert
Floyd Kerr Papers sub-group represents what can only be a portion of items from
Kerr’s personal files. They consist mainly of correspondence, but also include
some diaries and writings, ledgers, class records and even Kerr’s 1879 traveling
papers for his stay in Japan. The bulk of the material is correspondence, which
is both personal and related to his work at the university. Some of the letters
chronicle his dismissal from the university, which is an integral part of the
early history of South Dakota State University.
When a larger
collection is divided into series, each series will have its own description,
and will be indented. The container list will follow each series.
Container List
Creating a
container list is an important step in creating a finding aid. Even if no other
steps are taken to describe the materials, this list provides a great degree of
access. This list (a box-by-box, folder-by-folder description of the processed
collection) must be standard in format and clearly written. A copy of the
container the list is to be placed inside the first box of the collection.
Ex.
Container List example
Container List: UA 53.6—Robert
Floyd Kerr Papers
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Container List: UA 53.6—Robert Floyd Kerr Papers
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Box |
Folder |
Description |
Dates
|
|
1 |
1 |
Certificate—Dept. of Public
Instruction |
1899 |
|
|
2 |
Class records |
1885-1886 |
|
|
3 |
Class records |
1886-1887 |
|
|
4 |
Class records |
1887-1888 |
|
|
5 |
Class records |
1891-1892 |
|
|
6 |
Correspondence |
n.d. |
|
|
7 |
Correspondence |
1881-1885 |
|
|
8 |
Correspondence |
1886-1889 |
|
|
9 |
Correspondence |
1890-1891 |
|
|
10 |
Correspondence |
1892 |
|
|
11 |
Correspondence |
1893 |
|
|
12 |
Correspondence |
1894, 1905 |
|
|
13 |
D.A.C. Cadets |
n.d. |
|
|
14 |
Diary |
1886 Jan.-Oct. |
|
|
15 |
Diary |
1886 Oct.-1888 Feb. |
|
|
16 |
Diary |
1887 Jan.-Apr. |
|
2 |
1 |
Kerr's Block Map and Manual of South
Dakota |
1906, 1913 |
|
|
2 |
Ledger |
1888 Fall |
|
|
3 |
Notes |
1893-1894 |
|
|
4 |
Scrapbook |
1885-1888 |
|
|
5 |
Traveling papers |
n.d. |
|
|
6 |
Writings—A Few words in favor of the
Jews |
n.d. |
|
|
7 |
Writings—Autobiographical sketch |
1887 |
|
|
8 |
Writings—College history |
n.d. |
|
|
9 |
Writings—Early History of Brookings
County |
c. 1897 |
|
|
10 |
Writings—History of Brookings County |
n.d. |
|
|
11 |
Writings—Trip to Europe |
1891 |
Restrictions
Any
restrictions on the collection is indicated here. If no
restrictions exist, it is stated the "This collection is open for research without
restrictions."
Subject Terms
Subject
headings are supplied wherever appropriate. These are usually derived
from parts of the inventory.
Bibliography
A
bibliography of items published by the individual, organization, or
department.
Related Material
Related
materials available either in the Special Collections or in the larger library
collections are noted if they are significant and may help a
researcher conduct their research.
Administrative Information
Preferred Citation
This
portion of the finding aid indicates how researchers should cite
material from the collection they are researching.
Provenance
A short
note about the donor of the collection and when it was donated, is written. Other
pertinent information related to the don | 
