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

Hackbart-Dean, Pam; Slomba, Elizabeth

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

Extracted Text (may have errors)

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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SPEC Kit 314: Processing Decisions for Manuscripts &Archives · 31
processed Boxes barcoded and sent to offsite. Level 2 Description: MARC record Finding aid and box list full
description where practicable. Arrangement: Intellectually arranged (series level) generally no refoldering metal, tape,
etc. Stays no appraisal. General Guidelines: Assess physical extent to determine any need to rebox Boxes barcoded
and sent to offsite does collection have some research demand? on processing wish list? Notes: Unless egregious and
obvious, preservation neither noted nor addressed presence of AV/digital noted but not addressed. Product: 35–50
l.f./month. Level 3 Description: MARC record finding aid full description. Arrangement: Combination of intellectual
and physical arrangement (series/sub-series level) combination of box and folder level control. Preservation: Refolder if
needed flag egregious needs metal, tape, etc. Stays minimal appraisal (duplicates). General Guidelines: On processing
short list? accessible in current form? staff to dedicate to project? Notes: Presence of AV/digital noted not addressed
Product: 23–30 l.f./month. Level 4 Description: Finding aid full description MARC record. Arrangement: Folder-level
control. Preservation: folders/archival boxes preservation needs referred to conservation metal stays full appraisal, AV/
images/digital addressed. General Guidelines: on processing short list? compelling justification (funding: administrative
priority? is collection in demand? faculty demand/support?) outreach component? curriculum support? Product:
11–15 l.f./month.
Single manuscripts and codex manuscripts are considered either cataloged or uncataloged (has or does not have a
MARC cataloging record).
The above terms apply generally to folderable and boxable documents. There are collections, however, for which an
inventory, even at the piece rather than folder level, does not adequately expose content. I think, for example, of a
collection of scrapbooks 1890–1920 in which theater manager pasted weekly reports on programming. These are
well described at the volume level, but the real — and very important — content is in the performer names and
performance descriptions, and only deep indexing would provide adequate access.
We do not use formal definitions: we know the categories when we see them.
We have 4 processing levels: Accession-level control (Established at time of acquisition with basic collection information
taken from the accession record. May have box list.) Box-level control (Materials sorted as to particular form or in rough
series—rarely used.) Folder-level control (Materials are arranged into series order, properly foldered and are described
at the folder level, but little or no effort made to sort within folders. A complete finding aid produced (includes title
page, table of contents, administrative information, creator’s sketch (biographical/historical note), scope and contents
note and intellectual/physical arrangement). A complete catalog record and EAD version of the finding aid are
created). Full intellectual and physical control (Materials are sorted and arranged by series and sub-series, refoldered
and reboxed. Records are properly arranged within each folder. Collection is described at the box and folder level and
a complete finding aid produced (includes title page, table of contents, administrative information, creator’s sketch
(biographical/historical note), scope and contents note at various levels and intellectual/physical arrangement). A
complete catalog record and EAD version of the finding aid are created).
We purposely don’t have definitions because not having them helps us remain flexible and responsive to the needs of
any given collection (or part thereof). So we’re comfortable with saying that a particular collection is “fully processed”
when the same treatment applied to a different collection might result in that second collection’s being “minimally
processed.” Not having definitions also helps us explain to curators, public services staff, other colleagues, and even
donors how we operate.
We tend to see this as a continuum, with most collections somewhere between unprocessed and fully processed.
We typically use the terms pre-processed and processed instead of minimally and fully (and add post-processed for
those collections we revisit, update, or otherwise alter). “Minimal” sets the wrong tone and too often guides archivists
to aspire to the minimum.

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

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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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