Processing Decisions for Manuscripts & Archives, SPEC Kit 314 (November 2009)

Hackbart-Dean, Pam; Slomba, Elizabeth

SPEC Kit 314: Processing Decisions for Manuscripts &Archives · 29
No cataloging or processing.
No intellectual or physical control whatsoever.
No inventory or only a partial inventory of the collection.
No listing at all.
No listing other than an accession record awaiting processing.
No publically accessible form of description. All internal controls.
No summary Archon record, no box and folder list, and still in transfer cartons.
No work done.
Not discoverable or usable by patrons.
Not yet removed from original packing materials no inventory that provided by donor or institution.
Not yet worked on, after being donated to library.
Nothing done to the collection.
RBSC: not online and not accessible by public.
Register/Finding Aid not prepared collection unprocessed and not yet rehoused.
Rehoused in standard size boxes (e.g., cubics or 5” record boxes) if needed.
Still in order it was received in sometimes has been transferred to archival sources, but no arrangement/description has
been done.
The collection has been accessioned, with all necessary donation/ownership agreements in place. Any restrictions have
been identified. All the materials are in the physical control of the UNM Center for Southwest Research.
The collection has not received any of the above.
The collection is housed as received, no intellectual access.
These materials generally have an accession record and nothing else. Sometimes there is a box list.
Title/author level description only or no description.
Two categories: 1: Material that was “processed” prior to 2004 (item-level control of subjectively selected
correspondence, little to no control over the remainder of the collection irregular finding aids brief MARC records and
2: collections received from donor/purchase with no formal organization or arrangement.
Unarranged and undescribed.
Unprocessed – donations of manuscript material awaiting all or some of the following actions: appraisal, arrangement,
preservation, description, access provided.
“Unprocessed” refers to material for which an accession record only has been created.
Unsorted no re-housing into archival folders and boxes no register no MARC record(s).
Usually box list, but nothing else.

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SPEC Kit 314: Processing Decisions for Manuscripts & Archives (November 2009) resources

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SPEC Kit 314: Processing Decisions for Manuscripts &Archives · 29
No cataloging or processing.
No intellectual or physical control whatsoever.
No inventory or only a partial inventory of the collection.
No listing at all.
No listing other than an accession record awaiting processing.
No publically accessible form of description. All internal controls.
No summary Archon record, no box and folder list, and still in transfer cartons.
No work done.
Not discoverable or usable by patrons.
Not yet removed from original packing materials no inventory that provided by donor or institution.
Not yet worked on, after being donated to library.
Nothing done to the collection.
RBSC: not online and not accessible by public.
Register/Finding Aid not prepared collection unprocessed and not yet rehoused.
Rehoused in standard size boxes (e.g., cubics or 5” record boxes) if needed.
Still in order it was received in sometimes has been transferred to archival sources, but no arrangement/description has
been done.
The collection has been accessioned, with all necessary donation/ownership agreements in place. Any restrictions have
been identified. All the materials are in the physical control of the UNM Center for Southwest Research.
The collection has not received any of the above.
The collection is housed as received, no intellectual access.
These materials generally have an accession record and nothing else. Sometimes there is a box list.
Title/author level description only or no description.
Two categories: 1: Material that was “processed” prior to 2004 (item-level control of subjectively selected
correspondence, little to no control over the remainder of the collection irregular finding aids brief MARC records and
2: collections received from donor/purchase with no formal organization or arrangement.
Unarranged and undescribed.
Unprocessed – donations of manuscript material awaiting all or some of the following actions: appraisal, arrangement,
preservation, description, access provided.
“Unprocessed” refers to material for which an accession record only has been created.
Unsorted no re-housing into archival folders and boxes no register no MARC record(s).
Usually box list, but nothing else.

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30 · Survey Results: Survey Questions And Responses
Please enter any other terms used to describe different levels of processed materials and their
definition. N=17
Accessioned processed.
Before collections are processed, a review is undertaken to determine the level of arrangement and description the
default is folder level but sometimes we process at series or item level.
Box (or container) level: university archives often uses this level to describe the contents of the box for minimally
processed collections in order to provide access to researchers.
Level 1 — Provide just enough physical preparation and description to make collection available to the researcher.
Level 2 — A series level arrangement if collection warrants. Assignment of index terms, brief biographical/historical
description, and scope and content notes. Level 3 — Refoldering, reboxing, formal arrangement, detailed biographical/
historical information, scope and content notes, container lists of content at folder and/or item level.
Levels 1, 2, and 3 physical and intellectual control. Level 1: Accession record, inventory list, preliminary inventory,
processing record Level 2: Level 1, plus series level arrangement, box level preservation, finding aid, MARC record, EAD
Level 3: Level 2 plus DACS “Multilevel Optimum Added Value.”
Past practice created in-house card catalog descriptions of fully processed materials.
“Preliminary container list available. Please consult manuscript librarian for assistance.”
“Preliminary processing” is another term used here to denote what would now be called minimal processing but
with the expectation that it would receive full processing in the future. Preliminary processing was considered a still
unprocessed state. We have found that many collections that received preliminary processing in the past can now
be considered processed under minimal processing guidelines and removed from the backlog and be considered a
processed collection.
Pro-actively accessible: 1. Collection arranged to most appropriate intellectual level—series, subseries, folder, item,
etc. 2. Material housed in alkaline folders and document cases or other appropriate archival containers. 3. For non-
paper material, the originals are appropriately stored and use copies are available. 4. Preservation steps taken as
required. 5. Full collection guide prepared. 6. Full MARC record produced. 7. Collection may be digitized. 8. Collection
screened for security and sensitivity concerns and appropriate action taken. Adequately accessible: 1. Collection guide
prepared, with at least descriptive summary, administrative information, biographical/historical note, collection scope
and content note, and folder or box list. Series may or may not be established. Description will generally extend to the
individual folder level. 2. Material housed preferably in document cases (occasionally in records center cartons) or other
appropriate archival containers. Original file folders are retained if in good condition and labeled accurately. 3. For non-
paper material, originals are appropriately stored and use copies can be made on request. 4. MARC record produced
or modified. 5. Security, sensitivity, and preservation concerns considered and basic steps taken to minimize risks that
may exist in one or more of these areas. Not accessible: 1. Information about the collection is haphazard, incomplete
and possibly incorrect. 2. Material housed as received. 3. No existing public finding aid. 4. Security, sensitivity, and
preservation concerns have not been assessed. Inadequately accessible: 1. Preliminary inventory prepared, with
available information, including descriptive summary, administrative information, biographical/historical note, collection
scope and content note, and box (or other container) list. Description will generally not extend to the individual folder
level. 2. Security, sensitivity, and preservation concerns considered and plans made to minimize risks that may exist in
one or more of these areas. 3. Material housed as received. 4. Basic MARC record produced or modified.
Processing divided into tiered system: Level 1 Description: MARC record if it exists, legacy finding aid/list untouched.
Arrangement: None. Preservation Issues: None. General Guidelines: Organizational records are accessioned as

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28 · Survey Results: Survey Questions And Responses
Accessions with no discovery/access tools (except accession register listing).
As it came in the door.
Boxed in acid free boxes with accession record only.
Brief catalog record created temporary accession number assigned.
Collection has not been arranged but may be described with a catalog record and/or a preliminary inventory (container
list).
Collection is accessioned it is given an accession number but no call number collection is described for internal and
donor needs in a preliminary box list or box and folder list it is not sorted, weeded, or arranged.
Collection level record or no record at all.
Collection may or may not have been appraised. It has not been physically or intellectually processed beyond re-boxing
in some cases.
Donations that have not been processed.
Has a container list for local, in-house use only.
Having no presence on the MU Archives Web site and not yet fully accessioned.
Housed in archival boxes and some times has been rehoused in archival folders “accession description” perhaps with
rough box list catalog record locally and in WorldCat for manuscript collections, but not university records.
In original containers has no finding aid.
In various physical stages of processing, some with catalog records, some with only in-house inventories.
Lacks anything but the most basic description in OPAC, unsorted and untouched.
Limited /Brief finding aid.
Little assessment brief internal description (varies by collection).
Material accessioned, rehoused depending on condition, and minimally described at the collection level.
Material that has not been processed.
Materials have an accessions note in the database and re-housed. They otherwise remain in the condition in which they
were received.
Materials that have been accessioned, but for which more detailed organization and preservation has not occurred and
for which finding aids and catalog records have not been created.
Materials that lack any kind of finding aid, aside from a very general description in an accession record.
May have a brief appraisal, accession report created, may be re-housed, some separated material removed.
Neither of the above.
No inventory whatsoever. (2 responses)
No arrangement or description.
No box list no record. This applies to very few collections, primarily current incoming collections.

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Page 7Survey Results click to expand contents

Page 123Representative Documents click to expand contents

Page 125Job Description of Processing Decision Maker click to expand contents

Page 129Job Descriptions of Processing Staff click to expand contents

Page 133Processing Policy click to expand contents

Page 137Processing Procedures Manuals click to expand contents

Page 143Processing Worksheets click to expand contents

Page 151Procedures for Prioritizing Processing click to expand contents

Page 155Collecting Processing Statistics click to expand contents

Page 159Sample Statistics Reports click to expand contents

Page 163Selected Resources click to expand contents

SPEC Kit 314: Processing Decisions for Manuscripts & Archives (November 2009) resources

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SPEC Kit 314: Processing Decisions for Manuscripts & Archives (November 2009) resources

SPEC Kit 314: Processing Decisions for Manuscripts & Archives (November 2009) resources