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

Hackbart-Dean, Pam; Slomba, Elizabeth

SPEC Kit 314: Processing Decisions for Manuscripts &Archives · 61
The default is folder level, but we assess the level of processing for each collection.
The folder level is the most common level in the CSWR, however within a collection we also do series descriptions.
Usually we include series information and then file-level information, but it depends on the size, complexity, and content
of the collection.
We almost never go beyond the folder level. We’re currently working on digitizing a complete collection with an NHPRC
grant, but that is also only folder-level description.
We customarily process to folder level. In some cases, most often in photograph collections and in collections that
include (or consist of) printed ephemera, we describe at the item level. For manuscript collections consisting of a single
item, we ordinarily create an item-level MARC record.
We have done all four types of processing at different times and for different reasons. We are presently engaged in
generating at least collection-level records for all 2000+ of our collections. Our policy for new collections is to create a
collection-level description with corresponding MARC record immediately upon accession. If possible we will also do a
series-level description. Folder-level processing is prioritized based on a variety of factors, and the vast majority of our
inventories are done to the folder level. We rarely perform item-level processing though some of our collections that
were done years ago are item level, today it would be done only in unusual circumstances (e.g., such access is required
to make the collection useful to researchers). We have no problem with different parts of a collection having different
levels of description, as appropriate.
We have often described at a consistent level throughout the collection, sometime we describe at the series and box
levels rather than the folder level in cases where the materials are rather undifferentiated or homogeneous.
We have processed and described the correspondence series to item level for a particular collection other series are
processed and described to the folder level for this collection.
We may use all of the levels within a given collection if warranted.
We most frequently process to the folder level. We may process at the series or collection level for collections, or parts
of collections, that we expect to be infrequently used. If our assessment is wrong and the collection is used, then we
can do additional processing. We very rarely process at the item level. Any level may be used for any part of a collection.
Most frequently, a whole series would be described at any one level.
We no longer process at the item level with the exception of images, but it had been done in the past at this institution.
Most full collection processing will go to the folder level. In recent years, we have decided to strategically process at the
collection, series, or folder level as expected/known research demands indicate.
We rarely use item-level cataloging any more folder level consists of folder titles used in the container lists.
We use all levels needed to make the materials usable.
We use all levels of description. Item level is used only for very important material.
We usually use series and folder, but in our Manuscripts unit we sometimes use series, folder, and item level.
Within a collection only one level is used.
Within a collection we process to the series level if it has high demand or probably will have high usage and is worthy
of a preliminary inventory. If we process at the collection level, the materials get either a summary description or a full
preliminary-inventory with folder-level control.

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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 · 61
The default is folder level, but we assess the level of processing for each collection.
The folder level is the most common level in the CSWR, however within a collection we also do series descriptions.
Usually we include series information and then file-level information, but it depends on the size, complexity, and content
of the collection.
We almost never go beyond the folder level. We’re currently working on digitizing a complete collection with an NHPRC
grant, but that is also only folder-level description.
We customarily process to folder level. In some cases, most often in photograph collections and in collections that
include (or consist of) printed ephemera, we describe at the item level. For manuscript collections consisting of a single
item, we ordinarily create an item-level MARC record.
We have done all four types of processing at different times and for different reasons. We are presently engaged in
generating at least collection-level records for all 2000+ of our collections. Our policy for new collections is to create a
collection-level description with corresponding MARC record immediately upon accession. If possible we will also do a
series-level description. Folder-level processing is prioritized based on a variety of factors, and the vast majority of our
inventories are done to the folder level. We rarely perform item-level processing though some of our collections that
were done years ago are item level, today it would be done only in unusual circumstances (e.g., such access is required
to make the collection useful to researchers). We have no problem with different parts of a collection having different
levels of description, as appropriate.
We have often described at a consistent level throughout the collection, sometime we describe at the series and box
levels rather than the folder level in cases where the materials are rather undifferentiated or homogeneous.
We have processed and described the correspondence series to item level for a particular collection other series are
processed and described to the folder level for this collection.
We may use all of the levels within a given collection if warranted.
We most frequently process to the folder level. We may process at the series or collection level for collections, or parts
of collections, that we expect to be infrequently used. If our assessment is wrong and the collection is used, then we
can do additional processing. We very rarely process at the item level. Any level may be used for any part of a collection.
Most frequently, a whole series would be described at any one level.
We no longer process at the item level with the exception of images, but it had been done in the past at this institution.
Most full collection processing will go to the folder level. In recent years, we have decided to strategically process at the
collection, series, or folder level as expected/known research demands indicate.
We rarely use item-level cataloging any more folder level consists of folder titles used in the container lists.
We use all levels needed to make the materials usable.
We use all levels of description. Item level is used only for very important material.
We usually use series and folder, but in our Manuscripts unit we sometimes use series, folder, and item level.
Within a collection only one level is used.
Within a collection we process to the series level if it has high demand or probably will have high usage and is worthy
of a preliminary inventory. If we process at the collection level, the materials get either a summary description or a full
preliminary-inventory with folder-level control.

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62 · Survey Results: Survey Questions And Responses
10. What factors are considered to determine which level of description to use for a given collection
or part of a collection? Check all factors that are considered. Check up to three of those factors
that are the most important in determining which level of description to use for a given collection.
N=73
Factor Considered
N=73
3 Most Important Factors
N=72
Size of the collection 70 38
Patron access needs 67 48
Anticipated high-use 66 39
Staffing level 59 30
Homogeneity of the collection 57 25
Preservation risks 51 8
Backlog 44 6
Processing policy 43 11
Other factor(s) 15 7
Please describe the other factor(s) and how much weight it has in determining which level of
description to use for a given collection. N=14
1. Staff reference needs. 2. Existence of supporting documentation and detailed description, especially from purchased
literary manuscripts. 3. Value of items within a collection. 4. Need to highlight strengths or unique items within a
collection.
As above, gifts in kind requiring tax receipt are usually described in more detail to ensure accurate fair market value. File
lists for university records required to comply with provincial privacy legislation.
Complexity of organization — perhaps of equal weight as homogeneity of the collection.
Digitization potential ease of processing arrangement — how well arranged was the collection when it came through
the door?
Does the processing staff have the language ability or subject knowledge required to process a collection?
Expected privacy or security issues condition of collection (lacks order) formats found in the collection are all important
factors.
Funding from a donor, grant, or other source. Or, likelihood that collection will be scanned.
If a fonds/collection is being considered for an application for certification as Canadian cultural property a much more
detailed description is required. In some cases, such as AV items, technical issues may also be considered.
If a register and container list is being created for a modern manuscript collection, we describe at the folder level. If no
register is being created, then we describe only at the collection level with a MARC record. No register will be created
when there is such a homogeneity to the materials that a cataloging record is sufficient description.
Other: donor agreements format (i.e., photographs, ledgers, or particular special objects, etc.)
Restrictions (closed series) often mean no description is given.

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

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62 · Survey Results: Survey Questions And Responses
10. What factors are considered to determine which level of description to use for a given collection
or part of a collection? Check all factors that are considered. Check up to three of those factors
that are the most important in determining which level of description to use for a given collection.
N=73
Factor Considered
N=73
3 Most Important Factors
N=72
Size of the collection 70 38
Patron access needs 67 48
Anticipated high-use 66 39
Staffing level 59 30
Homogeneity of the collection 57 25
Preservation risks 51 8
Backlog 44 6
Processing policy 43 11
Other factor(s) 15 7
Please describe the other factor(s) and how much weight it has in determining which level of
description to use for a given collection. N=14
1. Staff reference needs. 2. Existence of supporting documentation and detailed description, especially from purchased
literary manuscripts. 3. Value of items within a collection. 4. Need to highlight strengths or unique items within a
collection.
As above, gifts in kind requiring tax receipt are usually described in more detail to ensure accurate fair market value. File
lists for university records required to comply with provincial privacy legislation.
Complexity of organization — perhaps of equal weight as homogeneity of the collection.
Digitization potential ease of processing arrangement — how well arranged was the collection when it came through
the door?
Does the processing staff have the language ability or subject knowledge required to process a collection?
Expected privacy or security issues condition of collection (lacks order) formats found in the collection are all important
factors.
Funding from a donor, grant, or other source. Or, likelihood that collection will be scanned.
If a fonds/collection is being considered for an application for certification as Canadian cultural property a much more
detailed description is required. In some cases, such as AV items, technical issues may also be considered.
If a register and container list is being created for a modern manuscript collection, we describe at the folder level. If no
register is being created, then we describe only at the collection level with a MARC record. No register will be created
when there is such a homogeneity to the materials that a cataloging record is sufficient description.
Other: donor agreements format (i.e., photographs, ledgers, or particular special objects, etc.)
Restrictions (closed series) often mean no description is given.

60 · Survey Results: Survey Questions And Responses
documentation (especially when supplied with purchased literary manuscripts). Levels may and do vary within a
collection.
Manuscripts: collection, series, subseries, etc., folder and sometimes item level. Archives: record group, subgroup,
series, subseries, box or folder and sometimes item level.
Most collections are processed at folder level. Archives and other suitable collections are processed at the series level.
Diaries, scrapbooks and some correspondence are processed at the item level. Backlog collections and newly received
large collections are processed at the collection level.
Most of our collections are processed at the file unit level while a single folder containing all related documents is the
most common example of a filing unit, a large file spanning several folders is also considered a single filing unit. We only
use item-level processing for significant media materials (photographs, audio-visual materials) or extremely rare, fragile,
and significant items. However, we have processed collections at the collection level, series level, and subseries level
when that level of control was all that was required for adequate access and preservation given our best guess for the
projected level of use and significance of the collection.
Most processing is at folder or series level. Item level is used primarily with photographic collections, small research-
significant series such as correspondence, and audiovisual items.
Nearly all collections processed are at folder level, with some at the box level where the content/format is oversize.
Often we do not go to the folder level description, if the series are all the same type of material such as financial records
they are simply listed by years.
On occasion, all levels could be used within a collection. The combinations of item and folder level or folder and series
are most likely and most common.
Our baseline is folder level, but in pre-processing descriptions we typically describe at series or collection level, and for
single item collections (e.g., a single account book or diary) item level is identical to collection level. In the past, our dept
rarely described at item level, but we very rarely do so today.
Primarily collection level and folder level processing. Almost never conduct item level unless needed for security reasons
or materials will be digitized for digital library. Folder level is quickly becoming quick and dirty inventory work, we rarely
arrange anymore.
Series, sub-series, folder, item.
Small collections tend to get item-level lists. (small =less than .50 cubic foot).
Small collections, including early records (19th century volumes) and other types of records (e.g. Photographs, maps,
sound and moving image material) may receive item level treatment. Larger manuscript collections and university
records normally are processed at the folder, series, and collection level.
Some fonds have all 4 levels, but most do not include item level description.
Sometimes we process one portion of a collection only. We do this when one part is thought to be high-demand and
another part might only have only minimal demand.
Special media — often are described at item level. File level — required for most university records acquisitions because
of privacy legislation. Series and Fonds/Collection level — for all other finding aids
The approach differs based on the presumed research value of the materials, on the degree of access restrictions which
may be placed on the materials, and the time available to attain production goals.

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

Extracted Text (may have errors)

60 · Survey Results: Survey Questions And Responses
documentation (especially when supplied with purchased literary manuscripts). Levels may and do vary within a
collection.
Manuscripts: collection, series, subseries, etc., folder and sometimes item level. Archives: record group, subgroup,
series, subseries, box or folder and sometimes item level.
Most collections are processed at folder level. Archives and other suitable collections are processed at the series level.
Diaries, scrapbooks and some correspondence are processed at the item level. Backlog collections and newly received
large collections are processed at the collection level.
Most of our collections are processed at the file unit level while a single folder containing all related documents is the
most common example of a filing unit, a large file spanning several folders is also considered a single filing unit. We only
use item-level processing for significant media materials (photographs, audio-visual materials) or extremely rare, fragile,
and significant items. However, we have processed collections at the collection level, series level, and subseries level
when that level of control was all that was required for adequate access and preservation given our best guess for the
projected level of use and significance of the collection.
Most processing is at folder or series level. Item level is used primarily with photographic collections, small research-
significant series such as correspondence, and audiovisual items.
Nearly all collections processed are at folder level, with some at the box level where the content/format is oversize.
Often we do not go to the folder level description, if the series are all the same type of material such as financial records
they are simply listed by years.
On occasion, all levels could be used within a collection. The combinations of item and folder level or folder and series
are most likely and most common.
Our baseline is folder level, but in pre-processing descriptions we typically describe at series or collection level, and for
single item collections (e.g., a single account book or diary) item level is identical to collection level. In the past, our dept
rarely described at item level, but we very rarely do so today.
Primarily collection level and folder level processing. Almost never conduct item level unless needed for security reasons
or materials will be digitized for digital library. Folder level is quickly becoming quick and dirty inventory work, we rarely
arrange anymore.
Series, sub-series, folder, item.
Small collections tend to get item-level lists. (small =less than .50 cubic foot).
Small collections, including early records (19th century volumes) and other types of records (e.g. Photographs, maps,
sound and moving image material) may receive item level treatment. Larger manuscript collections and university
records normally are processed at the folder, series, and collection level.
Some fonds have all 4 levels, but most do not include item level description.
Sometimes we process one portion of a collection only. We do this when one part is thought to be high-demand and
another part might only have only minimal demand.
Special media — often are described at item level. File level — required for most university records acquisitions because
of privacy legislation. Series and Fonds/Collection level — for all other finding aids
The approach differs based on the presumed research value of the materials, on the degree of access restrictions which
may be placed on the materials, and the time available to attain production goals.

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

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