Forsyth County Public Library

Forsyth County Public Library Central Library North Carolina Room

Archival Processing Manual

Winston-Salem, NC ________________________________________________________________________

Contact Information: Forsyth County Public Library North Carolina Room 660 West Fifth Street Winston-Salem, NC 27101 Telephone: (336) 703-3070 Email: [email protected] URL: http://www.forsythlibrary.org/

© 2009 Forsyth County Public Library. All rights reserved.

Table of Contents I. What is a Finding Aid? ................................................................................................................ 1 II. Overview of Basic Principles of Archival Description .............................................................. 2 III. Arrangement ............................................................................................................................. 3 IV. Overview of Processing a Collection ....................................................................................... 4 V. Getting Started ........................................................................................................................... 6 VI. Re-housing Materials ................................................................................................................ 7 VII. Processing Guidelines ............................................................................................................. 8 Appendixes ....................................................................................................................................... Appendix A. Additional Resources .................................................................................... 10 Appendix B. Definitions of Terms and Resources ............................................................. 12 Appendix C. Sample finding aid layout of front matter with descriptions ........................ 14

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I. What is a Finding Aid? The written description of a collection is referred to as a finding aid. Finding aids are what enable library users and researchers to discover what a collection is about and its contents. They are made publicly available through the FCPL Library Catalog and will become part of ArchiveGrid (www.archivegrid.org). Finding aids are comprised of two parts, front matter and container list.

Front Matter Front matter outlines generalities about the collection. Essential components of the front matter are: location of collection, collection number, collection name, name of the creator, date range, size, abstract, acquisition information, biographical information, scope and content note, arrangement, access and use restrictions, and indexing terms. In addition, there are several optional components of the front matter that may be used when appropriate for a collection. Most front matter is completed after the arrangement and description of the collection contents. While the front matter is not done until a later stage, it is good to be aware of what types of information you will need to gather while you are working with the collection. For example, you may come across a newspaper clipping, resume, or obituary that will be helpful when writing the biographical note about the creator.1

Container List The container list typically describes each file that is in the collection. The collection may be described to the box level, folder level, or all the way down to the item level. The level of description is a decision that is made while developing a processing plan for the collection. Descriptions should be clear and concise. The file level description is usually comprised of the box and folder number, description of file, and date.

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For a detailed description of the front matter elements, see Appendix C

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II. Overview of Basic Principles of Archival Description 1. Provenance Provenance refers to the origin of an item or collection, identifying the original owner or creator of the material. It also tells the history of ownership, so that it is known who subsequent owners or creators have been. Provenance also refers to the principle that archives of a given records creator must not be intermingled with those of other records creators Provenance stresses the original context, use, and meaning of archival materials

2. Original order Records should be maintained in the order in which they were placed by the organization, individual, or family that created them. Original order maintains the creator’s organizational structure, which is useful to researchers studying the material Processing a collection is also more manageable when you work with the structure already in place. Maintaining original order is an archival principle that sounds easy to follow, but in practice can be a challenge. For example, suppose you are working with a collection and find an item that clearly does not belong with the other materials in that particular folder. Should you move it to where you think it fits best or should the original order be maintained? These types of questions should be discussed with the Department Head.

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III. Arrangement Arrangement is the physical, hierarchical organization of materials in an archival collection. Every collection will have some level of arrangement, but may not necessarily include all four levels that are outlined below. You will work with the Department Head to decide on the appropriate level of arrangement for your collection.

1. Collection The broadest level of arrangement is the collection as a unit. Of course, all collections will at least have this level of arrangement. The collection name should be clear and understandable, giving the researcher an idea of what kind of materials are in the collection. To construct a collection title, you may refer to the guidelines in Describing Archives a Content Standard (DACS) (section 2.3, pages 17-23) to create a title for your collection.

2. Series Series is a group of files or materials that are united by a common theme, typically subject matter or physical type. The series in a collection are identified by examining the existing organization of the collection. Some examples for series are: correspondence, meeting minutes, photographs, scrapbooks, and diaries. Some collections warrant further breakdown of the series, dividing parts of a series into subseries. For example, in a collection of materials about the Junior League, the series “Publications” may be divided into several subseries including “Brochures,” “Maps,” etc.

3. File Individual items are placed into storage containers, and for most items this is an archival file folder. A file can hold one or many individual items. File arrangement is usually determined by the original order of the materials and is often alphabetical, chronological, or by subject.

4. Item An item is an individual letter, report, photograph, or any other materials that are found in a file. It is not standard to describe a collection to the item level, but occasionally, collections may warrant it. Forsyth County Public Library Archival Processing Manual Updated May 2009

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IV. Overview of Processing a Collection The Department Head will be working closely with you on processing the collection you will be working with. But to give you an idea of how it all happens, here is a brief outline of the steps that will be taken. 1. To start, you will learn about the basic archival principles, arrangement, description, and preservation techniques that are outlined in this document. This will give you a solid understanding of how archival collections are processed. 2. Make a pass through the entire collection to become familiar with the materials. Take a lot of notes. This will give you a good idea of what kind of materials are there and help you determine the series for the collection. Meet with the Department Head to discuss your initial thoughts and ideas about how you would like to approach the collection. 3. With the assistance of the Department Head, develop a processing plan. This processing plan should include: a. The series you have identified for collection b. The level of arrangement and description that will be used c. Preservation steps that will be taken and the supplies needed d. A timeline with milestones for completion 4. Once the processing plan is in place, you are ready to start processing. Begin a second pass through the collection, this time sorting the collection into the series that you have determined. 5. Process each series to the file level (or other level of arrangement that has been determined), including: a. Noting preservation steps such as re-foldering materials, removing staples, sleeving, matting, etc. b. Noting materials that require special preservation treatment that is to be done at a later date, such as Xeroxing items onto acid free paper, special casings, encapsulations, etc. c. Writing description of materials on each folder d. Arranging materials within the series e. Finalizing the box and folder arrangement f. Writing, with pencil, the box and folder numbers on each folder Forsyth County Public Library Archival Processing Manual Updated May 2009

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6. Now you are ready to begin creating the container list for the finding aid. Enter the descriptions to the folder level (or item level when appropriate) in the database set up for your collection. This typically includes the box number, folder number, description, and date range. 7. Begin compiling information for the front matter for the finding aid. Start with the front matter components that require the most thought and research, writing the most specific sections first, then the broader sections that cover the entire collection. Refer to DACS and Appendix C of this document for further explanation of the elements. a. Arrangement/series description b. Scope and content note (DACS 3.1, p. 35) c. Creator name (DACS 2.6, p.33) d. Biography or administrative history (DACS 10, p. 93) e. Abstract 8. The last details of the front matter should be easy to bring together a. Name of collection b. Collection number c. Date Range (inclusive and bulk) d. Extent e. Physical location f. Language(s) in collection g. Access restrictions h. Acquisition information i. Date processing completed j. Your name, as processor of the collection 9. The Department Head will review and make any necessary edits to the finding aid. 10. Put any important notes, website printouts, correspondence related to collection, and information relevant to the provenance of the collection into a “collection file” to be held by the Department Head. 11. The finding aid is now complete! A MARC record will be made for the FCPL Library Catalog, which will have a link to the finding aid on ArchiveGrid.

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V. Getting Started With assistance from the Department Head, you will be creating a processing plan and timeline that will set your course of action through your projects. Work closely with the Department Head through the initial stages, a well thought out plan will help the processing go smoothly.

Read through the existing finding aids (if any) and collection documentation thoroughly. Spend time “surveying” your collection. What types of materials are there? How are they organized? Think about provenance and original order. When possible, it is best to maintain the original arrangement of the records. However, if no order exists an organizational scheme should be developed. Take a lot of notes and form an outline of the arrangement of the collection. Document what series (if any) that you think should be established. Share with the Department Head your ideas and together you will come up with a plan. Familiarize yourself with the ArchiveGrid (www.archivegrid.org). Look and compare your collection to the arrangement and description of other finding aids. Try to find collections that are similar to the collection you will be working on in content and structure. You will be using an Excel spreadsheet to create your container lists. Customize the template for your needs with the Department Head’s assistance, and let her know if you need additional training with these programs. Discuss with the Department Head what supplies you will need to process the collection. If there are any special boxes or other archival supplies that need to be ordered, this should be done in the early stages of your project.

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VI. Re-housing Materials In order to successfully preserve collections for future generations, materials must be maintained in a controlled environment. The most important factors for properly storing a collection are already in place. These include a storage room that controls the temperature and humidity levels with limited exposure to light.

In addition, when you are processing a collection, some or all of the papers will need to be removed from deteriorating or acidic containers and placed in new archival boxes or folders. This is called re-housing. The Department Head will help you determine what kind of treatment the collection you are working on will require. Some common techniques used when processing a collection include: Placing materials in acid free boxes Re-foldering materials in acid free folders Removing staples, metal bindings (clip folders), vinyl folders, and metal paper clips Isolating items that were stapled by folding a piece of archival paper around them or use a plastic clip Protecting photographs and other fragile materials by inserting them into Mylar or other acid free enclosures Interleaving materials, such as scrapbooks or acidic newsprint, with acid free paper or tissue Removing materials: Discard all vinyl, metal, or cardboard binders UNLESS the binder has important information (that cannot be transcribed) or is valuable for other reasons. Folder the contents and throw out the binder. Throw away deteriorating, acidic containers—such as old manila envelopes— that lack evidentiary or informational values. When you are getting started, check with the Department Head before throwing anything out! Once you are accustomed to re-housing, you will be able to make more decisions on your own. Forsyth County Public Library Archival Processing Manual Updated May 2009

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VII. Processing Guidelines The Department Head will be going over the system you will be using (Microsoft Excel). Because each collection is unique, the arrangement and description will vary. The Department Head will help you establish the fields that you will be using. Below are the standard fields used to describe a collection, along with a brief description of how to properly enter the information in a consistent manner.

Descriptive Fields Folder Title: Create a title that best describes the item. The title should describe the item in basic terms, but should not attempt to provide an exhaustive description. The titles should be simple, clear and consistent. Try to capture important keywords or access points. If you are working with a collection that already has existing folder titles, use titles that reflect or duplicate the original heading when appropriate. The Department Head will review your folder titles with you. Only the first word of the title is capitalized unless the title includes proper noun(s). Omit initial articles (the, a, etc) from title unless the article is an essential part of the title or supplied by the creator in the original title. In addition to entering the folder title into the database, also transcribe it onto the upper left hand corner of the folder in pencil. Date: Enter year, month, day (in this order) if available o 1972 March 17 o 1967 April o 1968 Typically “ca.” (short hand for “circa) is used to imply an estimated date o ca. 1939 Other acceptable forms of estimated dates that may be used when appropriate o before 1867 o after 1867 January 5 Forsyth County Public Library Archival Processing Manual Updated May 2009

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o 1892 or 1893 o 1890s o See DACS (2.4, p. 24) for additional examples If you do not know the date, or cannot make an educated guess, write: o undated

Number of items: An item includes a letter, envelope, enclosure, or a packet of materials stapled or wrapped together, which serve as an individual unit. Each item made up of multiple pages should be clipped together or housed in an acid free folder or paper. Count the number of items per folder. For example, “5 photographs,” or “10 postcards.”

Some important tips to keep in mind while describing a collection: Do not use abbreviations! Remember, most people will be accessing the finding aid online, typically finding what they are looking for through keyword searches. If words are abbreviated, they will not find what they are looking for. Stay focused—your descriptions and organizational choices will help generations of researchers discover materials relevant to their inquiries. You may discover important or exciting materials along the way! Do not attempt to read every item in the collection. The collection will never be processed if you do! We all tend to love the collections that we work with and it is very easy to get immersed in the minutia. Look at the items only enough so that you have a sense of what they are about and can briefly describe them. When you are in doubt, ask the Department Head!

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Appendixes Appendix A.

Additional Resources

Resources on the Web Description Getty Research Institute. Art & Architecture Thesaurus Online. http://www.getty.edu/research/conducting_research/vocabularies/aat/ Library of Congress. Library of Congress Authorities. http://authorities.loc.gov/ Society of American Archivists. Glossary of Archival and Records Terminology. http://www.archivists.org/glossary/index.asp Getty Research Institute. Union List of Artist Names (ULAN) http://www.getty.edu/research/conducting_research/vocabularies/ulan/

Preservation National Archives and Records Administration. Preservation and Archives Professionals. http://www.archives.gov/preservation/. Preservation Department of Stanford University Libraries. Conservation Online (CoOl). http://palimpsest.stanford.edu/. Stanford University.

General Association of College and Research Libraries, Rare Books and Manuscripts Section (RBMS). Directory of Web Resources for the Rare Materials Cataloger. http://lib.nmsu.edu/rarecat/. Getty (The). Introduction to Archival Organization and Description. http://www.getty.edu/research/conducting_research/standards/introarchives/index.html

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Appendix B.

Definitions of Terms and Resources

AACR2: Anglo-American Cataloging Rules, 2nd Edition. A large, complex guide to the standardized principles of bibliographic description in English-speaking countries. AACR2 supplies the practical foundation for all original book description, which is then input into MARC records by catalogers. AACR2 is most frequently used for books, but can be used (with adaptation) to describe audio, visual, graphic, and archival materials as well.

DACS: Describing Archives: A Cataloging Manual, published in August 2004. DACS is the new data content standard that will replace APPM in US archival practice. DACS was developed from the General International Standard Archival Description, 2nd Edition (ISAD(G)), and guides archivists through all the levels of description that occur throughout processing—administrative, biographical/historical, collection-level, folder-level, and item-level. In this way, DACS liberates archival description from the MARC output format (though many of the collection-level fields map to MARC) and loosely models the archival tradition of multi-level description in a finding aid.

EAD: Encoded Archival Description. EAD is a relatively new SGML/XML formatting standard for finding aids. EAD specifies tags that “wrap” around the different types of information found in a finding aid. Once an EAD finding aid is published on-line, they can be viewed in a keyword searchable, structured display that preserves a series hierarchy. EAD has paved the way for standardizing finding aid structures, and making archival collections more accessible via enhanced internet searching.

Finding Aid: A written description of the contents of an archival collection. Finding aids all contain the same types of information, though the level of descriptive detail varies greatly from collection to collection. Finding aids all include: Front matter: Front matter consists of administrative data related to who and what the collection is about, its provenance, restrictions on use, and processing history. Front matter contains scope and content notes about the collection, biographical histories of the creators, abstracts, and index terms.

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Container List: The container list shows the contents of the series, boxes, and folders in a collection. Series: A series is a level of order (determined by provenance, material designation, or type) within an archival collection. For example, one collection can have several series, including series for correspondence, business files, printed material, and artwork. The Printed Material series may have subseries: catalogs, invitations, and publications. Series reflects the intellectual arrangement of the papers; boxes and folders reflect the physical arrangement of items.

MARC records: Machine-Readable Cataloging records stored in bibliographic databases (like OCLC’s Worldcat, and FCPL’s library catalog.) The MARC data format was developed in the sixties as a “cutting edge” way to format, store, and share bibliographic data. Every data type, such as title, author and publisher, corresponds to a numerically coded field. These fields are usually suppressed in online-catalogs—but as an archivist or cataloger, you should be aware of them. Archival collections that are fully described in online finding aids will also have a collection-level MARC record created for the library catalog. Example of a MARC record: 000 01061nam a2200313Ia 450 001 364908 005 20040516123456.7 008 800305s1981 nyu b 000 0 eng 010 __ |a 80012577 020 __ |a 0898740835 035 __ |a (OCoLC)06143534 035 __ |9 07-AAH-9692 040 __ |a DLC |c DLC |d m.c. |d CLU 043 __ |a n-us--050 0_ |a HN90.R3 |b A6752 1981 082 0_ |a 303.6/4/0922 : |b the rhetoric of reform 245 00 |a and revolution / |c edited by Thomas E. Hachey and Ralph E. Weber. 260 __ |a Huntington, N.Y. : |b R. E. Krieger Pub. Co., |c 1981. 300 __ |a 170 p. ; |c 23 cm. Forsyth County Public Library Archival Processing Manual Updated May 2009

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500 __ |a "Some material originally published under the title: Voices of revolution." 504 __ |a Includes bibliographical references. 650 _0 |a Radicalism |z United States. 650 _0 |a Social reformers |z United States. 650 _0 |a Revolutionaries |z United States. 700 1_ |a Hachey, Thomas E. 700 1_ |a Weber, Ralph Edward. 910 __ |a it 011882 935 __ |a MC2016597 910 __ |a MARS ArchiveGrid: ArchiveGrid, as part of the OCLC, supports and facilitates access to archival material by serving as a one-stop search tool for archival collection descriptions.

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Appendix C. Sample finding aid layout of front matter with descriptions

Finding Aid for the

, Collection number: <XXXX>

Central Library North Carolina Room

Winston-Salem, NC ________________________________________________________________________ Contact Information: Forsyth County Public Library North Carolina Room 660 West Fifth Street Winston-Salem, NC 27101 Telephone: (336) 703-3070 Email: [email protected] URL: http://www.forsythlibrary.org/ Processed by: Name of Processor, Date that processing was completed [DDMMYY]

© 2009 Forsyth County Public Library. All rights reserved.

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Descriptive Summary Title , Collection number <XXXX> Creator Extent <X number of boxes in collection (X linear ft.)> Repository Forsyth County Public Library, North Carolina Room. Winston-Salem, NC 27101. Abstract [A succinct, single-paragraph summary of the entire collection. (usually a combination of the scope/content and biography/history notes)] Physical location Stored in North Carolina Room. Advance notice is required for access to the collection.

Administrative Information Restrictions on Use and Reproduction Property rights to the physical object belong to the Forsyth County Public Library. Literary rights, including copyright, are retained by the creators and their heirs. It is the responsibility of the researcher to determine who holds the copyright and pursue the copyright owner or his or her heir for permission to publish where Forsyth County Public Library does not hold the copyright. Restrictions on Access Open for research. Advance notice required for access. Contact the North Carolina Room for access information. Provenance/Source of Acquisition . Preferred Citation [Identification of item], (Collection <XXXX>). North Carolina Room, Central Library, Forsyth County Public Library, Winston-Salem, NC.

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Biography/History A concise essay or chronology that places the materials in context by providing information about their creator(s). Includes significant information about the life of an individual or family, or the administrative history of a corporate body.

Scope and Content A prose statement summarizing the range and topical coverage of the described materials, often mentioning the form and arrangement of the materials and naming significant organizations, individuals, events, places, and subjects represented. The purpose of the scope and content note is to assist readers in evaluating the potential relevance of the materials to their research. It may highlight particular strengths of, or gaps in, the described materials and may summarize in narrative form some of the descriptive information entered in other parts of the finding aid.

Organization and Arrangement Information on how the described materials has been organized into smaller units, e.g., record groups into series, identifying the logical or physical groupings within a hierarchical structure. Can also be used to express the filing sequence of the described materials, such as the principle characteristics of the internal structure, or the physical or logical ordering of materials, including alphabetical, chronological, geographical, office of origin, and other schemes. Identifying logical groupings and the arrangement pattern may enhance retrieval by researchers.

Indexing Terms The following terms have been used to index the description of this collection in the library's online public access catalog. [Indexing terms are provided by the library's cataloger.]

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Items Removed from the Collection [Optional- section will be deleted if no information is provided] Information about materials that are associated by provenance to the described materials but that have been physically separated or removed. Items may be separated for various reasons, including the dispersal of special formats to more appropriate custodial units; the outright destruction of duplicate or nonessential material; and the deliberate or unintentional scattering of items among different repositories.

Related Material [optional- section will be deleted if no information is provided] Materials and collections that are not physically or logically included in the material described in the finding aid but that may be of use to a reader because of an association to the described materials.

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