SOUTH DAKOTA STATE UNIVERSITY ARCHIVES
& Hilton M.
Briggs Library Special Collections
How
we do things .... mostly
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 | 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.
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
Physical transfer of records can be the responsibility of either the donor or the archives.
It is preferable the material be transferred in 1 cubic foot bankers boxes with handles
The archives can provide boxes for transferring if necessary
Boxing and Listing on Site
Records to be transferred should be reviewed before being boxed.
Items are placed in acid-free archival boxes, maintaining their internal file order
Boxes labeled on site. The labels will serve as an initial control document. Labels should:
Identify the creator or office of origin,
The type of records,
The beginning and end of the file groups in the box
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
Gift agreements are generally arranged by the University Archivist. Gifts may be accepted with conditions as to their dispositions, use or locations. All such conditions will be set forth in an Instrument of Gift signed by the donor and a library representative.
Records Transfer
Transfers from SDSU offices will be noted on a Records Transfer Form.
This form is to show what materials were transferred and by whose authority.
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.
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
Become familiar with the records by reviewing the boxes and any lists created to provide a summary of the contents, arrangement and physical condition.
Note existing file structures, gaps in the records, loose or disordered documents, or items that require item level processing.
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:
Preserves inherent documentary relationships,
Provides information about the creation and use of or activity documented in the records, or
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:
Record Group
A “record group” is a body of organizationally related materials created or compiled by the same entity or person. (ex. College of Engineering or Benjamin Reifel)
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).
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.
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)
Folder
A “folder’ is a folded sheet of acid free folder stock that serves as a container for a number of items (or documents).
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
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.
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.”
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.
All materials are to be placed in appropriately sized acid free folders. Old containers should be discarded.
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.
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.
Chronological arrangements should start with the earliest date and work backwards.
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.
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:
Duplicates;
Common, multiple, and blank forms;
Instruction booklets, warranties, etc.; and
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:
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.
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.
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:
Plaques
Framed Artwork
Posters/Broadsides
Architectural drawings
Textiles
Photographs
Video and audio cassettes and reels
Films
Computer disks
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:
Security classified records
Personnel records
Case files
Contracts
Financial records (that indicate account numbers, etc.)
Medical records
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
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1980 Sep.-Oct.—1983 May-Jun.
UA 52.5.1
Ex.
Final Notes on ArrangementIt 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:
Material separated during processing (images, publications, electronic media, oversize items, etc.) and note where they were separated
Material discarded during processing
Material duplicated during processing (items photocopied)
Strengths and weaknesses of record groups, sub-groups, series
Any notable items (items that may be of interest to researchers)
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 imagesOr .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
Container List: UA 53.6—Robert Floyd Kerr Papers
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 donation is also included here.
Resources for Finding Aid
A list significant resources to create the finding aid are noted, particularly if they may help a researcher.
Processing Information
All finding aids include an indication of who prepared the document and when. Significant revisions are also be noted. This is also where processing procedures such as, preservation photocopying, conservation treatment, and separation of significant items (photographs, audio/visual material, etc.) is noted.