Survival ArchivalSurvival ArchivalArchival Processing for the Clueless LibrarianMissouri Library Association – 2010 conference

Patricia L. Walker, CA

Digital Collections Coordinator, MDH

Basic DefinitionsBasic Definitions

Archives

Provenance (respect des fonds)

Original Order

Artificial Collection

Manuscript Collection

Papers

Records

Appraise

Accession

Process

Record Group

Series

Subseries

File

Item

Basic DefinitionsBasic Definitions

Archives

Provenance (respect des fonds)

Original Order

Artificial Collection

Manuscript Collection

Papers

Records

Appraise

Accession

Process

Record Group

Series

Subseries

File

Item

ArchivesArchives

◦ Materials created or received by a person, family, or organization, public or private, in the conduct of their affairs and preserved because of enduring value, especially those materials maintained using the principles of provenance, original order, and collection control

◦ An organization that collects the records of individuals, families, other organizations, or an organization’s division responsible for maintaining the organization’s records of enduring value

ProvenanceProvenance

◦ The origin or source of something

◦ Information regarding the origins, custody, and

ownership of an item or collection

◦ This is a fundamental principle of archives. It

refers to the chain of custody that created or

received the materials in a collection.

◦ This principle dictates that records of

different origins be kept separate to

preserve their context.

Original OrderOriginal Order

◦ The organization and sequence of records

established by the creator of the records

◦ Preserves existing relationships and evidential

significance that can be inferred from the

context of the records

◦ Saves time, especially if the creator has

already set up access tools like an index

Basic DefinitionsBasic Definitions

Archives

Provenance (respect des fonds)

Original Order

Artificial Collection

Manuscript Collection

Papers

Records

Appraise

Accession

Process

Record Group

Series

Subseries

File

Item

Artificial CollectionArtificial Collection

◦ A collection of materials with different

provenance assembled and organized to

facilitate its management or use.

◦ Arranged for the convenience of description

or retrieval

◦ A vertical file or ready reference file are

examples of artificial collections

Manuscript CollectionManuscript Collection

◦ A collection of materials that share the same

provenance, applicable to personal or family

papers or nonofficial records

◦ A manuscript collection may contain

typescripts, photographs, diaries, scrapbooks,

news clippings, handwritten documents, and

published works

PapersPapers

◦ A group of materials with some unifying

characteristic

◦ A collection of personal or family documents;

personal papers

◦ Government records indicating an individual’s

identity or status

RecordsRecords

◦ A collection of records that share the same

provenance and are of a convenient size for

administration

◦ A hierarchical division representing the

records of an agency and its subordinate

divisions.

◦ Technically a record group, colloquially

referred to as records – can cause confusion

Basic DefinitionsBasic Definitions

Archives

Provenance (respect des fonds)

Original Order

Artificial Collection

Manuscript Collection

Papers

Records

Appraise

Accession

Process

Record Group

Series

Subseries

File

Item

AppraisalAppraisal

◦ the process of identifying materials offered to

an archives that have sufficient value to be

accessioned

◦ the process of determining how long records

should be retained based on legal

requirements and usefulness

◦ the process of determining the market value

of an item.

AccessioningAccessioning

◦ Materials physically and legally transferred to a repository as a unit at a single time – an acquisition

◦ To take legal and physical custody of a group of records or other materials and to formally document their receipt

◦ To document the transfer of records or materials in a register, database, or other log of the repository’s holdings

◦ An accession may be a part of a larger collection

ProcessingProcessingA

rran

gem

ent: • the process of

organizing materials with respect to their provenance and original order, to protect their context and to achieve physical or intellectual control over the materials

Desc

ription:

• the process of creating a finding aid or index to facilitate access and improve security by creating a record of the collection.

• Includes information on physical characteristics, content, and functional purpose of the materials

Housi

ng:

• placing materials in folders, boxes or other appropriate containers with necessary labeling

The arrangement, description, and housing of archival materials for

storage and use by patrons.

May also be used more generally to include accessioning.

Basic DefinitionsBasic Definitions

Archives

Provenance (respect des fonds)

Original Order

Artificial Collection

Manuscript Collection

Papers

Records

Appraise

Accession

Process

Record Group

Series

Subseries

File

Item

Collection (Record Group, Papers, Manuscript Collection)

Subseries – a body of documents within a

series that is distinguishable from the whole by type or

format.

File – a group of documents related by use or topic, typically

housed in a folder

Series – A group of similar records

arranged according to a filing system

Item – a thing that can be distinguished from a

group and that is complete in itself

Document – any written or printed

work; a writing

Manuscripts (mss)Manuscripts (mss)

◦ A handwritten document

◦ An unpublished document

◦ An author’s draft of a work submitted for

publication

◦ Typed documents are generally classed as

manuscripts but are more accurately

described as typescripts

Initial Evaluation Initial Evaluation –– Ask YourselfAsk Yourself

◦ Is the collection worth accepting?

◦ Does the collection come within the scope of

my library’s collection policies?

◦ Do I have space for the collection?

◦ Can I care for its conservation needs?

◦ Will I have time to arrange the collection?

◦ Can I afford to re-house the collection if

necessary?

Accepting the CollectionAccepting the Collection

If you accept a collection then you need:

A signed Deed of Gift (DoG)

An accession record

Separate housing of collections

A secure storage area

Before You StartBefore You Start

Create a standard Processing Checklist Collection Name and Number

Deed of Gift

Accession Folder (Accession Number & Donor info)

Size of the collection

Location

Formats or type of material present

General Condition

Processing Plan

Staff assigned to

Date processing started & ended

Were materials re-housed, labeled, photocopied, sleeved?

Notes of material discarded or weeded from the collection

Tools & SuppliesTools & Supplies

Processing Checklist

Processing Plan

2 empty boxes

Goof folders

Paint mask

Apron or painter’s

smock

Pencils (soft lead)

Pencil sharpener

Staedtler plastic

eraser

Ruler

Microspatula

X-acto knife

Hake brush, 3 shaft

Square of glass

Enclosure &

Separation sheets

Post-Its

NEVER Use These!NEVER Use These!

On documents:

Pens

Rubber bands

Tape

Near documents:

Food or drink

Lotions

Pens

Perfumes

White-out

Before You StartBefore You Start

Review the Accession folder, including the DoG and donor correspondence

◦ Are there any restrictions on the collection?

◦ Are there any concerns about copyright or intellectual property rights?

◦ Is there any historical or biographical information that helps put the collection in context?

Before You StartBefore You Start

Without reorganizing the materials, thumb through and get an idea of what’s there Is the collection already organized?

Are there pockets of organization?

OR

Did the grandchildren clean out the attic/basement?

What type of statistics do you need for grant writing or digitization projects?

Before You StartBefore You StartSet up a plan of attack by creating a rough outline

showing arrangement

Series: Correspondence Subseries: Personal Correspondence

• File: Alphabetical or Chronological

• Item: Individual letter with attachments

Subseries: Professional Correspondence

• File: Alphabetical or Chronological

• Item: Business letter with attachments

Series: Research NotesFile: Alphabetical by topic then chronological

• Item: Individual articles or sets of notes

Series: MiscellaneousFile: Alphabetical by topic then chronological if applicable

• Item: Random materials of intellectual interest but not enough to need own file

Work Area SetWork Area Set--upup

◦ Fasten your processing checklist and plan to a wall

◦ Keep the smock or apron handy to protect your work clothes

◦ Keep the mask handy in case you run into mold

◦ Label one box for discards and stash it under your work area.

◦ The other box is to file materials into as they are processed, so place it to one side of your work area.

◦ Arrange the remainder of materials within easy reach of your dominant hand

Arrangement: Arrangement: Starting OutStarting Out

◦ Wash hands

◦ Pull out small batches of loose paper at a time

◦ If material is foldered, work on one folder at a

time

◦ Remember working to establish or “repair”

hierarchical order

◦ Records collections are generally in far better

order then personal papers

Arrangement: Questions Arrangement: Questions to Askto Ask

◦ What is this item’s intellectual value?◦ What is it’s artifactual value?◦ How can it be used?◦ What is the condition of this item?◦ Are there any copyright issues?◦ Is this item worth retaining?

Arrangement: Intellectual ValueArrangement: Intellectual ValueFormat Value

Paper Documents Do not retain multiple copies of a document; choose the copy

in the best condition.

Newspaper Clippings Ties directly to creator’s research interests, photocopy and

discard.

If an attachment to documents, photocopy, note as enclosure,

and discard.

Photographs Retain best copy if there are multiple copies.

Retain if person or photographer/studio is identified.

Retain if is a good example of period dress, work environment,

community life or customs, or architecture.

Audio-Visual Materials Ascertain content from labels, etc. Moving image you can

actually see the frames, use a loupe or magnifying glass to help.

Audiotape, cassettes, VHS, or Beta might have to be played to

evaluate intellectual value.

Published works Transfer to a special collections or a library’s general collection,

depending on condition, inscriptions, & marginalia.

Government – Local,

County, State, or Federal

Check with the appropriate agency responsible for retention and

disposal of those records.

Weeding MaterialWeeding Material

If the item is not worth keeping, discard it

Place it in your discard box.

Larger collections might need several boxes.

Do not toss the contents of this box until you

have finished processing the collection.

Dispose of weeded contents in keeping with

the terms of the Deed of Gift.

PaperPaper

Wat

ch F

or Mold & Mildew

Insects & Mice

Rubber bands & tape

Acid migration

Fasteners & binders

Curling & tightly folded materials

Organic materials

Binders & bound volumes:

• Rust

• Red Rot

• Broken hinges

• Detached spinesC

are &

Housi

ng 30 pages/folder or 1-2

bound volumes

Photocopy or buffer acidic documents

Photocopy & discard heavily molded items

Clean & humidify documents

Remove hair & flowers

Remove documents from 3-ring binders

Wrap bound materials in acid-free paper & bind with unbleached cotton strips

PhotographsPhotographs

Wat

ch F

or Oozing

Bubbling

Flaking

Fine cracks

Silver migration

Color change

Strong odors

Nitrate film stock

Car

e &

Housi

ng WEAR gloves

15-20 photos per folder

Place photos in mylar or paper envelopes

Do not clean, especially:

• daguerreotypes,

• ambrotypes

• tintypes

Use the glass pane and a soft lead pencil to write captions on the back of photos

AudioAudio--VisualVisual

Wat

ch F

or Oozing

Bubbling

Flaking

Spoking

Cupping

Debris or Mold blooms

Splices

Strong odors

Nitrate film stock

Car

e &

Housi

ng WEAR gloves

Wear mask if odors present or are cleaning off debris

Clean tape pack with a soft brush and a light hand

Rewind tape pack to correct problems

Should be boxed & shelved individually

Store film flat

Store audio reels on edge (so hub supports tape pack)

Consult a conservator if smells are noted & segregate item

ArrangementArrangement

If you are establishing the order, separate:

AV formats

Oversize items

Artifacts (3-dimensional items)

Photographs (optional)

OrganizingOrganizing

If there is an order already established for the collection, then ask “Can this film, cassette, reel, photograph safely stay with these other materials?”

Yes

• Place it in mylar sleeve or a paper envelope or enclosure

• Place it in folder

No

• Fill out a separation sheet

• Label the separated item or it’s enclosure or box

• Re-house the item (place photos in mylar, place oversize items or ledgers in appropriate housing)

• File it with similar formats

NotationsNotations

How do you note information on original documents?

Always make notes:

• In pencil

• Notations are placed inside [square brackets]

Dates:

• Use internal evidence to help place time frame of a document

• For approximate dates, use c. or ca. to indicate circa

• Use perpetual calendars

Enclosures & Fragments

• Enclosures may be noted using [square brackets] if using enclosure sheets is an issue

• Partial documents should have [fragment] written at the top of the document

StorageStorage

How many pages per folder and folders per box?

Foldering

• 30 pages per folder on average

• Ok to have folders with 1-5 items, but should be materials that do not fit elsewhere or folders at the end of a series or subseries

• Consider using legal size folders so you don’t have to use separation sheets for legal size documents

Boxing

• Number of folders varies depending on type of box

• A full box should be packed so that there is slight resistance when removing a folder

• Use inserts to keep folders in partially-filled boxes from bowing

Shelving

• Do not store archival materials on the floor

• Avoid the use of wood shelving if possible

• Avoid storing archival materials under water lines, steam pipes, and sprinklers if possible -place plastic sheeting over the area otherwise

DescriptionDescription

How do I make this collection accessible?

Choose a thesaurus to use

• Library of Congress Subject Headings

• Sears

• Thesaurus of Graphic Materials

• Local controlled vocabulary

Notes

• Use Post-Its to note key events, people, topics, and subjects on the folders

• Keep a spreadsheet with all your terms listed and which folders they occur in

Writing the finding aid

• Sets the context for a collection much like a preface does for a book

• There are several sections to a finding aid so make notes of any biographical info from within the collection.

The Finding AidThe Finding Aid

What are the parts of a finding aid?

Collection Name

Collection Size Introduction

Donor InfoAccess /

Restriction Info

Bio SketchScope & Content

Box or Folder

List

Finding Aid Finding Aid -- DefinitionsDefinitions

Name• Official title given to the collection

Size• Size of collection measure in item count, folders, cubic feet, or a combination thereof

Intro• A brief 1-2 paragraph description about the collection

Donor

• A brief paragraph noting when and who gave the collection. Also which accessions if more than one.

Access

• Notes whether there are any restrictions on the collection. Restrictions may be on copying, publication, or access per the DoG or processor concerns.

Bio• Information about the individual, family, or organization which created the material.

Scope & Content

• A section describing the creation and characteristics of the materials, as well as what functions and activities produced the records.

Folder List

• A list of the folder numbers and titles in the collection. Some institutions will use a box list instead. Other institutions will add a list of all of the index terms for the collection.

URLs: Missouri InformationURLs: Missouri Information

• http://www.moga.mo.gov/STATUTES/C109.HTMRevised MO Statutes 109

• http://www.sos.mo.gov/records/recmgmt/faq.asp#GeneralState Retention Schedules

• http://www.sos.mo.gov/archives/localrecs/schedules/County & Local Gov Retention Schedules

• http://www.sos.mo.gov/library/development/grants.aspLSTA Grant Information

• http://www.sos.mo.gov/archives/mhrab/guidelines.aspMHRAC Grant Information

URLs: IdentificationURLs: Identification

• http://www.loc.gov/preserv/pubscare.htmlCollections Care and Conservation,

LoC

• http://www.dlib.indiana.edu/projects/sounddirections/facet/facet_formats.pdf

Audio Tape Identification

• http://videopreservation.conservation-us.org/vid_id/index.htmlVideo Identification

URLs: Preservation & EmergenciesURLs: Preservation & Emergencies

• http://unfacilitated.preservation101.org/loggedin.asp

• http://www.nedcc.org/resources/leaflets.list.phpNortheast Document Conservation

Center

• http://www.loc.gov/preserv/pubscare.htmlCollections Care and Conservation, LoC

• http://www.climatenotebook.org/downloads.htmlClimate Notebook from the Image

Permanence Institute, RIT

• http://www.heritagepreservation.org/free/Index.html

• http://www.dplan.org/Emergency Resources

• http://www.heritagepreservation.org/HHI/HHIsummary.pdfHeritage Health Index

URLs: DescriptionURLs: Description

• http://authorities.loc.gov/cgi-bin/Pwebrecon.cgi?DB=local&PAGE=First

LoC Online Authorities

• http://archives.nd.edu/research/perpetual.htmPerpetual Calendars

• http://politicalgraveyard.com/

• http://bioguide.congress.gov/biosearch/biosearch.asp

• http://www.sos.mo.gov/archives/history/historicallistings/governors.asp

• http://shs.umsystem.edu/famousmissourians/

Biographical links

Questions?Questions?

• Digital Collections Coordinator, MDH

• Patricia.walker@sos.mo.gov

• 1-800-325-0131, ext. 10

Tricia Walker, CA

• Processing Archivist, MDH

• Sharon.brock@sos.mo.gov

• 1-573-526-5326

Sharon Brock, CA

• Metadata Cataloger, MDH

• Haiying.qian@sos.mo.gov

• 1-800-325-0131, ext. 13

Haiying Qian