# PROCESSING MANUAL AND POLICY GUIDE

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######## ARCHIVES AND MODERN MANUSCRIPTS PROGRAM

HISTORY OF MEDICINE DIVISION

NATIONAL LIBRARY OF MEDICINE

Compiled and written by John P. Rees, Assistant Curator

June 15, 2000

**TABLE OF CONTENTS**

I.  BACKGROUND AND PURPOSE P. 3

II. GENERAL ARCHIVAL PRINCIPLES P. 5

III. PROCESSING LEVELS P. 6

IV. INTELLECTUAL ARRANGEMENT P. 7

V.  NAMING AND ARRANGING SERIES AND SUB-SERIES P. 10

VI. FINAL FOLDERING AND BOXING P. 14

VII. PREPARING THE FINDING AID OR REGISTER P. 16

VIII. COMPOSING FOLDER DESCRIPTIONS P. 19

IX. RESTRICTIONS ON ACCESS P. 22

X.  SPECIAL HANDLING P. 25

XI. CONSERVATION AND PRESERVATION P. 28

> XI\. BIBLIOGRAPHY P. 30

XII. APPENDICES

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A.  Checklist of series types

B.  Restrictions guidelines

C.  Processing rates

D.  Processing methods cheat sheet

E.  Creating folder description guidelines

F.  Box in-processing checklist

G.  Sample box label template

H.  List of computer file locations

I.  Sample separation sheet

J.  Sample Deaccession form

K.  Sample of checklist-inventory finding aid

L.  Sample of complete finding aid

# I. BACKGROUND AND PURPOSE

This manual is written to instruct staff, students, interns, and
volunteers in the Archives and Modern Manuscripts Program in the
established procedures for arranging and describing collection
materials. The intent is to provide a clear and concise guide to our
most common archival procedures, and also to offer a conceptual
framework for managing problems and challenges not specifically
discussed here. This manual primarily addresses the unprocessed
collections backlog and any new accessions.

Lack of written procedures and staff turnover have resulted in a
collection of personal papers, institutional and organizational records
and artificial collections all processed in various manners with a
variety of styles of finding aids. This manual hopes to establish
uniform control over the physical and intellectual processing of
collections with the goal of producing consistently worded and formatted
finding aids, consistently organized physical collections, and
regularized and codified practices.

Collection files are located in the large bank of filing cabinets along
the B2 level cage wall. Here are a mixture of collection management
files arranged by collection title or by the donor name of a collection
or portion of a collection. These files contain relevant correspondence,
donor information, finding aids, background information and processing
notes. This filing structure is being modified to create a filing
structure organized by collection title only. Original deeds of gift can
be found in several folders located at the beginning of the collection
files. Copies of deeds can be found in the black ring binders along the
permanent wall. Finding aids are located in the filing cabinet next to
the assistant curator's desk, and are arranged alphabetically by
collection title. Shelf lists and accession log information for
unprocessed collections can be found on HMD's S:\\MSS share drive.

Typically, four types of archival materials can be found in the
manuscript collections:

+----------+-----------------------------------------------------------+
| # Papers | Personal records collected by an individual of family     |
|          | documenting their activities over time.                   |
+----------+-----------------------------------------------------------+
| #        | Organizational or institutional records, created in the   |
|  Records | regular business activities of the entity, after they     |
|          | have served the function for which they were originally   |
|          | designed.                                                 |
+----------+-----------------------------------------------------------+
| # Col    | Records or materials artificially assembled by a          |
| lections | collector or organization documenting some topical        |
|          | interest, either about a particular subject or individual |
|          | (Historical postcards; Nobel Prize winners; female        |
|          | physicians; AIDS posters)                                 |
+----------+-----------------------------------------------------------+
| # Oral H | Taped interviews of significant individuals in the        |
| istories | medical field or interviews conducted for special topical |
|          | projects (FDA oral history project)                       |
+----------+-----------------------------------------------------------+

Four types of numbering systems are used for the different types of
manuscript collections. These are numbered using an initial prefix of MS
for manuscripts, followed by one of four letter codes and then a
sequential number for each collection. Oral histories are the last type,
using an initial prefix of OH, followed by sequential numbering.

+--------+-------+-----------------------------------------------------+
| #      | #     | # EXPLANATION                                       |
| PREFIX |  CODE |                                                     |
+--------+-------+-----------------------------------------------------+
| MS     | F     | **Folios** -- unbound or bound, oversized           |
|        |       | manuscript materials, usually clamshell boxed.      |
+--------+-------+-----------------------------------------------------+
| MS     | B     | **Bound** -- bound manuscript materials (diaries,   |
|        |       | notebooks)                                          |
+--------+-------+-----------------------------------------------------+
| MS     | C     | **Collection** -- Typical archival materials such   |
|        |       | as personal papers, organizational/institutional    |
|        |       | records or artificial collections                   |
+--------+-------+-----------------------------------------------------+
| OH     |       | **Oral history** -- Oral history tapes and          |
|        |       | transcripts                                         |
+--------+-------+-----------------------------------------------------+

####### GENERAL ARCHIVAL PRINCIPLES

Archivists are guided by two primary principles: **provenance and
respect for original order.** Also known as respect des fonds, the
principle of provenance mandates that the records of a person, family,
or corporate body must be kept together and not mixed or combined with
the records of another individual or corporate body. Materials with no
clear provenance may be inter-filed as subject collections.

Respect for original order means that the archivist is to maintain the
order in which records were originally filed. Maintaining this order
preserves the contextual information reflected by the interrelationship
between the records and complements the informational content of the
records. Maintaining the filing system of the creator provides an
intellectual basis for understanding the creator's functions and the
purposes for which the records were created. In reality, many
collections arrive highly disorganized or with no structure whatsoever.
In these cases the archivist is further mandated to establish some type
of intellectual and physical control over those records to facilitate
description and access.

For those records that arrive with no real intellectual or physical
order, archivists have developed a set of standards and best practices
for imposing order. Generally, archives are arranged into units defined
as "groups" and "series." Groups are defined as "sets of records derived
from a common source which have common characteristics and a common
filing structure."[^1] Groups can be defined as the collection in
itself, or formed by separate components (sub-groups) of a collection
that have distinct functional values apart from the creator's primary
activity such that it can be considered a separate activity. For
instance, the NLM has six main divisions (OCCS, SIS, Extramural
Programs, Library Operations, LHNCBC and NCBI) that can be considered
sub-groups within NLM, performing separate administrative functions
enabling the whole to function. More rarely will a personal papers
collection have sub-groups, but they can occur, especially if a large
amount of records revolve around a several family generations,
professional interest or outside activity (e.g., records created as
president of a professional society). Series are the individual sets of
records that make up a filing system (Accounting files). Series can be
divided into any number of sub-series, as they were originally organized
(Accounting files: Taxes, 1995) or as deemed necessary/logical to
illuminate the activities of their creator (Correspondence: Personal:
1956-1982).

####### PROCESSING LEVELS

Several levels of physical and intellectual control can be applied to
archival materials. Currently, our processing "norm" is a folder-level
inventory, listing folder titles within each box with little or no
series information but with good biographical/historical descriptions of
the creator and its records. These are essentially collections processed
at Level 2 or 3 as described below. Folder titles are either taken from
original titles or supplied by the processor. This manual calls for an
upgrading of current processing levels so collections are arranged and
described either at, or between, Level 3 and 4, excluding NLM's own
institutional records. For estimating processing time, a helpful
Processing Rates Chart based on Processing Levels is available as
Appendix C.

-   **Level 1: Accession-level control**

Established at time of acquisition with basic collection information
taken from the accession record. Consists of title, creator, approximate
size, date spans, description of the types of records found, names of
prominent individuals, subject matter covered, and the like. May be
accompanied by a preliminary folder list or transfer list prepared by
donor.

-   **Level 2: Box-level control**

Materials sorted as to particular form or in rough series
(correspondence, personal works, legal files, photographs), perhaps
roughly sorted within these categories with a box-level listing.

-   **Level 3: 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. All necessary conservation
actions performed or conservation staff notified.

-   **Level 4: 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 and intellectual/physical arrangement). A
complete catalog record and EAD version of the finding aid are created.
All necessary conservation actions performed or conservation staff
notified.

SUMMARY OF PROCESSING STAGES

-   Review collection management files for background information,
    historical/biographical information, accession records, donor
    correspondence, content information, ideas for creating series.

-   Locate all component parts of collection and assemble in staging
    area.

-   Begin preliminary collection survey, making notes on series types,
    formats, conservation/preservation issues, items for separation,
    time needed for processing. Write up notes into a processing
    proposal memo for approval by supervisor. Be prepared to justify
    series descriptions and processing plan and to suggest alternate
    arrangement strategies.

-   Collection is processed, re-housed, and a draft finding aid/box
    listing compiled. Regular progress report meetings should be
    occurring to resolve questions or problems that arise. Significant
    changes must be approved and re-submitted to supervisor before
    implementation.

-   De-accessioned materials unnecessary to the collection are set aside
    for handling by curator.

-   Curator completes preliminary review of box listing and arrangement.
    Front matter is then drafted using notes compiled during the
    processing regarding records and their relationships to each other
    and how they reflect the creator (scope and contents). Any special
    actions are also noted. Biographical notes are compiled into
    Creator's Sketch. Curator also reviews front matter for approval.

-   Collection number assigned, final folder labeling and box numbering
    takes place. Labels printed and affixed. Collection re-shelved.
    Inventory updated.

-   Voyager record and EAD products created from final version of
    finding aid. Accession records updated in database with new MSS
    number and date processing was completed. Update MSS spreadsheet
    with new MSS number and location. Place paper version of finding aid
    in collection file, finding aid cabinet and reference desk
    collection. Update restriction binder at reference desk as needed.

-   Place folder with all processing notes in collection management
    file.

####### INTELLECTUAL ARRANGEMENT

## Preliminary review and sorting

Creating arrangements for Level 3 and Level 4 collections is basically
the same, only the output for Level 4 processing will be much more
detailed. The initial collection survey should proceed quite rapidly,
but will form the basis for final processing and definition of groups
and series.

The initial step is collecting together multiple accessions and
performing the box-level survey. Originally, accessions were given a
sequential number beginning with #1 and ascending in order (e.g.,
1-500). In 1997, the curator adopted the more standard form of assigning
numbers based on the year of the accession and a sequential number for
each accession received during the year (e.g., 97-1). These accession
records are located in various places and in various paper and
electronic formats. If a box list accompanies the accession, check the
actual contents of each box against the existing list and note any
discrepancies. Most of the processed collections do have some type of
intellectual access, either in a catalog record or in a finding aid.

Make separate notes for each box, compiling information about the
content and condition of the materials, subject matter, significant
people or organizations, subjects documented by the creator of
historical interest, notable correspondents, any gaps in the records as
well as the strong-points of particular series and any other noteworthy
details. **TAKE MANY NOTES!** You will not remember everything, not
matter how obvious the issue or problem. These notes will provide much
of the substance for the biographical sketch, scope and content notes
and box listings.

**Identifying and naming series, sub-series, and subgroups**

### Series and Sub-series

Series constitute the primary intellectual "groupings" of archival
processing, around which the collection is sorted, arranged, and
described in the finding aid and catalog record. Series are the
individual file units or documents maintained as a unit because they are
the result of the same accumulation or filing system, the same function
or activity, or have a particular form. They can also have some other
similar relationship arising from their creation, receipt, or use by the
creator.[^2] Individual series often contain many related records that
can be grouped as sub-series. For example, the Correspondence Series can
consist of General, Business, Professional, or Family sub-series because
the letters in each grouping relate to each other in specific ways
documenting specific activities.

Series are arranged in descending order of importance, although AMMP
generally starts off with a Biographical Materials series for researcher
convenience. The most significant series is placed first and the least
is placed last. Any series defined by material form (e.g., photographs)
should come at the end. Importance can be determined primarily by two
factors: A). Content. The series's intellectual content that best
documents the creator's activities; B). Bulk. Generally, the most
important series is Correspondence for archives of personal papers, or
Executive Office-type records for business archives. Next in importance
would be any lab or experiment information (i.e., lab notebooks, lab
diaries, etc.). Series should be established only when there is
sufficient material present to make a meaningful gathering, or if the
material is sufficiently distinct or requires special housing (e.g.
artifacts, oversize materials, photographs, posters).

Sub-series may or may not exist, but if they do, all materials should be
brought under some sort of sub-series control. That is, if part of a
series is identified as a sub-series, then the remaining materials must
also be formed into subordinate sub-series. To avoid creating single
sub-series, revise the series names or add appropriately titled
sub-series to clarify the nature and extent of the materials.

Notes should also be taken as to the dates, the physical extent of each
series or the number of items. For example, a series arrangement should
appear this way:

+--------------------------+--------------+----------------------------+
| **Series I:              |              | **Series I:                |
| Correspondence,          |              | Correspondence, 1960-1982  |
| 1956-1982 (3.5 lin.      |              | (3.5 lin. ft.)**           |
| ft.)**                   |              |                            |
+--------------------------+--------------+----------------------------+
|                          |              | > Folder                   |
+--------------------------+--------------+----------------------------+
| General Correspondence,  |              | > Folder                   |
| 1960-1982                |              |                            |
+--------------------------+--------------+----------------------------+
| > Folder                 |              |                            |
+--------------------------+--------------+----------------------------+
| > Folder                 | **NOT**      | **Series 2: Business       |
|                          |              | Correspondence, 1959-1982  |
|                          |              | (3.5 lin. ft.)**           |
+--------------------------+--------------+----------------------------+
|                          |              | > Folder                   |
+--------------------------+--------------+----------------------------+
| Business Correspondence, |              | > Folder                   |
| 1959-1979                |              |                            |
+--------------------------+--------------+----------------------------+
| > Folder                 |              | **Series 3: Family         |
|                          |              | Correspondence, 1956-1982  |
|                          |              | (3.5 lin. ft.)**           |
+--------------------------+--------------+----------------------------+
| > Folder                 |              | > Folder                   |
+--------------------------+--------------+----------------------------+
|                          |              | > Folder                   |
+--------------------------+--------------+----------------------------+
| Family Correspondence,   |              |                            |
| 1956-1982                |              |                            |
+--------------------------+--------------+----------------------------+
| > Folder                 |              |                            |
+--------------------------+--------------+----------------------------+
| > Folder                 |              |                            |
+--------------------------+--------------+----------------------------+

**Sub-groups**

Rarely encountered within AMMP collections, sub-groups consist of a
subset of papers with a distinctly separate provenance within a larger
collection. As discussed before, these are most frequently subordinate
administrative divisions within a company, agency or organization. But
sub-groups can also be found in personal papers. The Smith Family Papers
may have materials dealing with several generations of family members,
and each could be considered a separate group (e.g., John Smith Papers;
Jane Smith Papers; David Smith Papers).

Sub-groups should be listed sequentially, either alphabetically or
beginning with the most prominent or most important sub-group, with the
name of each sub-group repeated at the series level for the finding aid.
For example, NLM's Library Operations would have four primary subgroups
-- I. Bibliographic Services Division II. History of Medicine Division
III. Public Services Division IV. Technical Services Division.

#### V. NAMING AND ARRANGING SERIES AND SUB-SERIES

#### 

#### Here is where HMD past practice varies according to the individual processor or internal practice and where there is the greatest need for consistency. The following definitions and practices should be noted and applied to each series processed. Of course, the needs of individual collections will vary to some degree, but these guidelines should eliminate most difficulties. See Appendix A for a list of common series types and titles. AMMP generally adopts the ten basic types of materials described in the Society of American Archivists\' Basic Manual Series *Archives and Manuscripts: Arrangement and Description* (1977). AMMP's special needs are reflected in additional series types described below.

-   Correspondence (incoming and outgoing letters, greeting cards,
    letterpress copybooks, telegrams, etc.)

-   Financial documents (account books, budgets, ledgers, etc.)

-   Legal documents (agreements, contracts, mortgages, policies, wills,
    etc.)

-   Literary works **\["Writings" for Modern Manuscripts\]**
    (manuscripts, memoirs, reminiscences, reports, research notes,
    sermons, speeches, etc.)

-   Printed materials (brochures, certificates, clippings, pamphlets,
    programs, proofs, etc.)

-   Records (diaries, minutes, etc.)

-   Scrapbooks

Other types (generally housed separately from the manuscripts based on
environmental needs and odd size):

-   Audio recordings **\["Audiovisual Materials" if combination of
    tapes, films, etc.\]** (tapes, disks, electronic media)

-   Maps, charts, diagrams

-   Photographs (positive and negative film and prints, slides, movies,
    etc.)

> However, refrain from creating series based on physical format---the
> primary organizing concept should be a functional or intellectual one.

**A). PERSONAL AND BIOGRAPHICAL**

Materials relating to the creator's personal life, including individual
academic pursuits apart from the creator's professional life, should be
arranged into this series. Types of materials normally encountered
include personal diaries or journals, biographical materials (e.g.,
*Who's Who in America*), formal tribute materials, diplomas, curricula
vitae, memorabilia, and the like. Arrange these materials
chronologically. Do not use this series as an excuse to place materials
not easily arranged into other series. Use Other Papers or Additional
Papers instead.

#### B). CORRESPONDENCE 

#### 

#### Most collections contain a combination of incoming and outgoing letters filed together either by each correspondent or by a chronological arrangement. Therefore, a single arrangement is most useful. Remember to maintain the creator's filing structure whenever possible. Letters to and from a correspondent are usually interfiled under the name of the correspondent and in chronological order. If the creator retains copies of letters within a correspondence series, make a statement about this practice in the scope and contents note for the series. If significant drafts of responses are found, make a note of these variant editions, as well. Also, if correspondence is originally found among the records of another series such as Financial or Professional Activities, describe it as a sub-series and do not remove the letters to a separate correspondence series.

#### 

#### Generally, letters should be arranged alphabetically by last name of the sender, with separate folders for each correspondent, or within an alphabetical range (e.g., A-C, D-G, etc.). Within each folder, letters should be arranged chronologically in ascending order, beginning with the oldest date and continuing to the most recent date. Partially dated or undated letters should be filed at the end of each correspondent\'s series. Letters of unknown or partial origin should be filed at the end of the correspondence series. Keep any envelopes and place them behind their accompanying letters. Often, time will not permit detailed re-arrangement of the correspondence series.

If there is no order to the letters within the original filing
structure, remove the letters and arrange them chronologically as best
as possible according to "Outgoing" and "Incoming" correspondence
series. If there are enclosures or extraneous materials within a folder,
maintain the original order (See Julius Axelrod Papers) and do not
re-arrange.

#### 

#### Whenever at least one additional sub-series exists, create a General Correspondence sub-series to help provide order to the Correspondence Series. If a more specific heading can be applied, use that instead (e.g., the bulk is General Correspondence but there is a sub-series of Family Correspondence).

#### Family Correspondence is used when the bulk consists of letters between family members.

#### Personal Correspondence is a general term and normally contains letters from family and friends, but does not deal with professional activities.

#### Professional Correspondence is used for correspondence dealing exclusively with the creator's professional life or career.

#### Business Correspondence can be either a series or a sub-series in place of Professional Correspondence. This series may involve personal business records (Banking records, Tax info.) or a combination of the two. Consultation may be needed for this series type. Many times, professional relationships evolve into personal ones, especially among scientists and other collaborators. All things being equal, the ultimate relationship should take precedence when defining the proper placement of the correspondence -- Personal Correspondence in this case. It all depends on the content of the correspondence. Make cross-references if equally split between Professional and Personal.

#### Other Correspondence or Third Party Correspondence may be a series type for materials falling outside any other scope. Generally, arrange these letters chronologically and make a note in the series description.

**C).** **LABORATORY NOTES**

An especially vital series often found in the papers of scientists are
their lab notebooks, diaries or loose notes. These are notes created
during the course of an experiment, study, or investigation, documenting
the scientific process. Generally, scientists believe that professional
articles and lab diaries contain all the information one needs to
document their professional activity. Lab notes can consist of formal
bound notes, sketches of devices used, charts, graphs, databases,
three-dimensional objects, or other experiment data. Arrangement should
be broadly by research topic according to its importance in the
creator's career and chronologically therein.

**D).** **RESEARCH OR SUBJECT FILES**

This series contains background information and material relating to the
creator's scientific or academic activities or any topical subjects
collected (i.e., hemophilia, immunology, John Shaw Billings, surgical
history, medical librarianship). Often a dumping ground for unknown
materials, this should never be the case in Modern Manuscripts. Instead,
the records in question should constitute a discrete series. Some
materials may be closely related to the Writings or Laboratory series so
as to warrant the creation of a sub-series. Generally, research files
will already be organized in some fashion, but if not, arrange these
materials alphabetically by topic.

## E). WRITINGS

This series includes writings in various drafts and associated materials
(notes) for published and unpublished textual works, either fiction or
non-fiction. Generally, material in this series originates from the
creator or is closely related to an individual's activities, but
sometimes they can relate to third parties or topics. Colleagues may
pass along, or an individual may collect, what are thought to be
relevant articles or works. In these cases, a sub-series Writings of
Others may be necessary. Writings should be arranged alphabetically by
first filing character (exclude initial articles). It may be necessary
to divide Writings into Articles and Books sub-series depending on bulk.

The Writings series can include a wide variety of materials, including
monographs, notes, proofs, drafts, outlines, background research
articles, charts, or graphs. Be sure to make relevant scope notes in the
series description.

**Off-prints/Reprints**

For Modern Manuscripts, offprints of journal articles are especially
troublesome due to the prolific nature of scientific publication. Their
handling depends on bulk, generally. Offprints written by the
collection's creator should be arranged alphabetically by title. If more
than one copy exists, keep two, one as a use copy and the other for
preservation. Writings by others collected by the creator in support of
research are usually non-archival unless heavily annotated. Most often,
they should be de-accessioned and a bibliography substituted, depending
on the stature of the author and the availability of the writings in
question.

**F).** **PROFESSIONAL ACTIVITIES**

Scientists often maintain active public lives, promoting their research
field or institution in one way or another. They may be active as
members or officers of professional societies, attendees of numerous
professional conferences, symposiums, special lectures and congresses,
or other meetings. Materials in this series may include transcripts of
speeches, correspondence, working papers, notes, awards, videos,
audiotapes, or ephemera collected at conferences. Depending on the bulk
and nature of the conference materials, a sub-series may be required for
those materials. This will be an important category for Noble Prize
winners, documenting a unique experience within an important component
of the Archives and Modern Manuscripts current collection development
strategy.

**G). PHOTOGRAPHS AND AUDIOVISUAL MATERIALS**

Ideally, photographs and other visual materials should be intellectually
arranged according to their component activities (Conference, Personal,
Professional, Laboratory). Practically, however, researchers look for
these items as a collective format type and they are best arranged
separately; therefore, remove and re-house large accretions of
photographs, audiovisual and moving image materials. If small amounts of
photographs appear in folders, it is not necessary to separate them out,
but do identify them in the folder description. If dates are known, a
chronological arrangement is best, but if materials are organized around
a topic, experiment, or conference activity, maintain the original
order.

## 

## H). FINANCIAL RECORDS

Perhaps not as prevalent in the more modern personal papers collected by
Modern Manuscripts, financial records do compose an important component
to personal papers and laboratory, association, and agency records. They
may consist of accounting files, budgets, tax records, and the like, and
should be arranged chronologically. Personal financial records can
create problems of access and restriction, so be sure to examine any
existing Restrictions Information for further details. Typically,
personal financial records are considered non-archival and are should be
de-accessioned to the creator, his or her heirs, or destroyed.

**I).** **OTHER PAPERS/ADDITIONAL PAPERS**

This series is used to classify papers that do not logically belong in
any other established series. **Only in the rarest instance should**
**Miscellaneous ever appear as a series or folder title.**

####### FINAL FOLDERING AND BOXING

Foldering and description should go hand in hand. The finer amount of
description provided in the box listing, the finer attention given to
foldering. However, several discrete items can be placed in a single
folder. For example, several articles can be filed together and
described fully in the box list. Or, a group of deeds can be placed in a
single folder and labeled "Deeds." In some cases, items with high
artifactual value, fragile items, odd sizes or unstable media (newspaper
clippings, photographs) should be individually foldered, sleeved in
Mylar or otherwise specially handled.

Examine each box and try to determine the predominant size of paper and
use the appropriate sized folders for housing, either letter- or
legal-size. For Level 3 processing that involves little item level
processing (e.g. unfolding individual sheets), a general examination
will suffice. If there are any legal size items, they should be unfolded
and legal size folders used for the entire box of materials. As a
general rule, the processor should err on the side of using legal size
folders, as they provide added protection for individual pages that may
become loose and have their edges crumpled.

# Physical sorting

Physical sorting should take place after the papers have been finally
arranged\--it is difficult to maintain the order of materials if you
attempt to remove fasteners during the initial sorting of series.
Sorting includes removal of staples, rubber bands, and any other metal
fasteners and replacing them with stainless steel paperclips and a paper
buffer for protection against tearing. Use common sense---if the paper
is so thin that the paperclip will create a fold of crinkle, create an
envelope from a sheet of Permalife instead.

**How full should a folder or box be?**

A basic rule of thumb is to fill a folder to 1" max, but a 1/4\--1/2"
stack of paper (20-25 typed letters) is more appropriate. More fragile
items should be more finely foldered. If the original folder is
overstuffed, or the item is large, use as many extra folders as needed.
Label them "Folder 1 of --". For box fullness, a general rule of thumb
is that one's flattened hand should be able to easily fit between the
materials and the box's rear.

-   Always square the bottom of the folder using the crease lines
    appropriate to the volume of material in it so the folder sits
    squarely on the bottom of the box.

-   Never fill a folder so much that its sides bulge out.

-   Boxes should not be filled so much that they bulge, either. Also,
    folders should fit closely along the bottom of the box, not too
    loosely nor too tightly, to prevent damage to materials at the
    bottom edges. If a box is only partially filled, use acid-free
    spacers to fill the box.

-   Diaries, notebooks, and other delicate bound items should receive
    individual folders. Loose bindings should be tied with cotton
    ribbon. Especially fragile volumes will be sent to the conservator
    for Phase boxing.

-   Smaller items or ones you think will tend to slide around or shift
    in boxes are best stored in separate non-standard boxes, especially
    if there is a large number of them (e.g., a set of pocket diaries).

-   Photographs and slides should be separately foldered and slides
    placed in slide sleeves within folders.

# Labeling and final check/cleanup

-   Use the MS Word label templates (See Appendix G) to generate box
    labels. Be sure to include the collection number, collection title,
    series description, and box number. Labels should go on the long
    side of record cartons and on the bottom half of the short end of
    Manuscript boxes (the side with the string pull), not on the lid
    half. Use the Smaller Label template for manuscript boxes and other
    custom boxes.

-   Place on appropriate shelving and update Shelflist MS Access
    database and Accession Record database. Add MS C number and date of
    final processing to all Accession Records for the collection.

-   Place paper copies of the finding aid in collection management files
    and at reference desk.

-   Create complete catalog record and update restrictions status.

####### PREPARING THE FINDING AID OR REGISTER

The electronic EAD XML document serves as the master finding aid version
and it is generated via the Create EAD database. Using a tabular
workflow, the database contains most all the data for a complete finding
aid out side of a few exceptions (see the database documentation for
details). Data entry can be performed in the database itself, but for
larger collections with more description and long box lists, using
Excell is recommended. An Excell data template is available. Two
stylesheets are available (nlm.xsl and print.xsl) to assist with
conversion to HTML and a printed edition. Both require post-production
editing, especially the print version. Print.xsl's main function is to
reorder the top-level descriptive information and generate a container
list with titles left justified and box/folder information right
justified.

**Basic elements of a finding aid**

**A).** **Title page:** Contains HMD logo, name of repository,
collection title (including unit dates), MS number, quantity, finding
aid author, processor, date of completion (year/month/day), and date of
the finding aid's most recent update. This information will facilitate
the EAD encoding process.

**B).** **Table of contents**

**C).** **Administrative preface:** Contains repository descriptions for
NLM, HMD, and basic collections access information. Create individual
statements for acquisition information, listing accession numbers, and
for any access restrictions, unique provenance details regarding the
collection's acquisition, whether gift or purchase, accession numbers,
etc. HMD's copyright and ownership statement should be included here, as
well.

**D).** **Biographical sketch or historical note:** Provides background
and historical information about the creator, whether it be an
individual, agency, company or organization, and helps identify the
creator in a particular place and time. Include information such as an
individual's birth and death dates, dates of professional activity,
founding dates of an organization, or circumstances about the creation
of an artificial collection. It should briefly cover the overall life of
a person or organization, emphasizing particular aspects that pertain to
the collection being described. A brief chronology may also be included
for personal papers, noting selected awards, degrees, professional
positions held, memberships, and other distinctions. For organizational
records, similar types of information might include terms of significant
officers, major organizational accomplishments, and other institutional
highlights.

**E).** **Scope and contents note:** Describes the scope of the
collection and its record content, how these records relate to the
creator and how the records relate to each other. Strengths and weakness
or omissions should be highlighted. Do not make personal judgments about
the research potential of the collection or series, but make general
statements about the usefulness of particular series and
cross-references between series, illuminating how they interact and
contribute to the functions of the creator.

Scope notes should not be elaborate narratives, but should use
boilerplate language and be concise. Modern Manuscripts intends for its
finding aids to have a similar "tone," regardless who processed the
collection or who crafted the guide. Here the terms "organized" and
"arranged" should be used. Collections are "organized" into series and
sub-series and the materials within these series are "arranged" in some
fashion (alphabetically or chronologically, normally). The first
sentence should be a general iteration of the series, bulk date spans,
and how the papers/records relate to the creator and its functions. Next
should be a general description of the types of records found,
functional activities, organizational information and history, and
contextual information regarding how the records interact and complement
each other. This first paragraph will serve as text for the MARC 520
field in the catalog record. A description of each series and how they
are organized should follow. Specific references to boxes and folders
should be noted parenthetically. Important subjects, individuals,
places, and dates should be brought out in series descriptions.

For smaller collections, scope notes should be no more than a page long.
More detailed scope notes are expected for Level 4 collections, as well
as series descriptions to be included at the beginning of each series'
box listing.

E). **Container list:** Consists of a folder-level list of the contents
for each series, with box and folder locations given. The level of
detail can vary according to the collection or series. For Level 3
collections, transcriptions of folder titles or basic supplied titles
will suffice (e.g., "Correspondence, 1924-1936"; See checklist inventory
template Appendix K).

Processing archivists should use the Excell spreadsheet template to
facilitate EAD database data entry---Word's tables will also suffice.
Separating folder titles and dates into individual data cells is of
vital importance, as dates are uniquely encoded within EAD.

##### General Conventions

-   Collection titles should be in direct order and follow standard
    initialization.

-   Names of correspondents and other name headings should appear "Last
    name, First name" and follow AACR2 (Chap. 22) and DACS (Part III)
    form. See also AACR2 Chap. 23-24 and DACS for forming geographic and
    corporate headings.

-   Precede dates with a comma. Separate additional dates with a
    semi-colon (1982; 1987).

-   Processor-supplied information should appear in square brackets \[
    \].

-   Question marks (?) should accompany questionable information in
    closest proximity to, and following, the information in question
    (Smith, Gerome?). This includes questionable spelling of a name or
    dating of materials.

-   Follow AACR2 Appendix B for abbreviations. Use generally accepted
    descriptive abbreviations for items not included in AACR2.

Above all, container lists should be designed as intellectual
arrangements, not mere folder lists. For instance, if an item is
oversized, it should be listed within the appropriate series, not in a
separate Oversize series. Also, never name an oversize box "Oversize."
Folder titles appear on the left of the page, box and folder numbers on
the right side.

**Brief example:**

> Box Folder

Rodbell's diary, 1939 \[photocopy\] 1 1

Rodbell diary, 1939 \[original\] 26

Curricula vitae, 1964-1997 1 2

B.A. degree, Johns Hopkins University, 1949 June 14 Map drawer 10 1

If one is supplying additional descriptive information to that which
appears on a particular folder, use "Contains" ("Contains photographs
from Nobel Prize ceremony"). If you are highlighting only a portion of
the folder's contents, use "Includes" (e.g., "Includes name tags from
Paris conference").

Remember to describe all textual materials within their corresponding
series. As previously stated, large accretions of visual materials such
as posters, prints, or photographs should be removed into a separate
appropriate series, such as Photographs or Printed Material. Make a
separate list of all Map Case items for the curator's master Map Drawer
list (See Section IX. Special Handling. Oversize)

F). **Appendices**: Level 4 collections may include an index to
correspondents. This should be an alphabetical list of significant
people represented in the collection's correspondence and notes the box
and folder each letter. Other appendices could be bibliographies of
off-prints and articles and lists of separated items.

**VIII. COMPOSING FOLDER DESCRIPTIONS**

Wording should be basic on folders and should not substitute for
information in the finding aid's container list. Additional descriptive
information should appear in the register, not on the folder label.
Wording should be concise, to the point, and easy to pick up with a
quick glance of the eye.

# Basic Labeling

-   Write directly on folder tab.

-   Collection title ad call number should appear on the left-hand side
    of the folder tab (use the stamp).

-   Series name should appear in the middle of the folder tab.

-   Contents description should appear on the right hand side of the
    folder tab.

-   Folder numbers should appear below the contents description on the
    right hand side. Numbering should be for folders within each box,
    not for the entire collection (e.g., 1 of 15 for a box; not 1 of 123
    total folders).

-   Print hand-written folder information. Do not write in cursive.

> Folder tab example:

+-----------------------------------------------------------------------+
| MS C 495 Personal Correspondence Smith, John, 1975-1984               |
|                                                                       |
| Julius Axelrod                                                        |
|                                                                       |
| Folder 1 of 15                                                        |
+-----------------------------------------------------------------------+

> OR

  --------------------- --------------------- ----------------------------
  MS C 541              University of Utah    1973

  Grant Rasmussen                             

                                              Folder 9 of 15
  --------------------- --------------------- ----------------------------

##### A). Titles

Transcribe all titles of published and unpublished works from the item
in hand, including initial articles (e.g., *The World According to
Garp*). Italicize titles of published or printed works, audio visual
materials and works of art. Use quotation marks for titles of articles
in periodicals and newspapers, speeches, chapter titles, television and
radio programs, and manuscripts of writings of all kinds (Books,
articles, speeches, etc.). Enclosed supplied titles in square brackets.

Foreign titles should follow conventions for the particular language of
the work. See AACR2 Appendix A for capitalization rules.

-   English: Capitalize all significant words and proper nouns (an
    exception to AACR2).

-   French: Lower case all but proper names and initial letter of
    corporate bodies.

-   German: Capitalize all nouns.

-   Italian: Lower case all but proper names.

-   Russian: Lower case all but proper names.

-   Spanish: Lower case all but proper names.

##### B). Processor supplied information

Information used to identify materials but is not found in the item
itself is to be supplied using square brackets \[ \] (i.e., names or
dates taken from envelopes, guesses at undated material). If you are
adding information to the item itself, use a soft lead #2 pencil and
record it in the upper right hand corner, or verso of the item (For
Level 4 processing only). Make sure not to conceal or obliterate any
information or deface the item.

##### C). Dates

Date formats depend on the quantity of dates involved.

For single items, provide the complete date, or as much as you have, in
year, month, day format (1893 Dec. 2).

For date spans, include the two digits for the century (1975-1984;
1894-1921). If there is a gap in records extending for 5 years or more,
create another set of dates (1872-1884; 1889-1943) or use an explanatory
note (e.g., Chiefly 1900-1918). If the span crosses days or months,
format as (1936 May 2-5 or 1936 May-June).

Undated material is identified by \[n.d.\], however this should be
rarely used.

For material with no or an incomplete date, attempt to date, or to
complete a date, using internal information from the document. Supply a
best guess if the context allows. However, err on the side of not
supplying a date or attempting to supply a more precise date than is
given. A perpetual calendar may help date an item if the day is known
and the general year is evident. Always enclose in brackets and supply a
question mark. If you cannot provide strong evidence to support your
guess, don't guess.

> Some standard dating examples for undated material:
>
> May \[1943\] Month given, year known
>
> \[1945 June 6\] Date known
>
> \[1934 May 13?\] Pretty certain of date
>
> \[1973?\] Pretty certain of date
>
> \[pre-1910 June 15\] Definite month and day, but cannot be more
> specific on year
>
> \[pre-1910?\] Definite about time period, but cannot be more specific
>
> \[after-1910\] Definite about time period, but cannot be more specific
>
> \[ca. 1910-1912\] Pretty certain of range
>
> \[1910\] Only year known
>
> \[192-\] Decade known
>
> \[19\--\] Century known

\[n.d.\] No date, none supplied

# 

# IX. RESTRICTIONS ON ACCESS

If a donor leaves explicit instructions in the deed of gift to restrict
portions of a collection, of course these need to be followed. However,
creating an absolute policy for applying periods of restrictions to
individual categories of unprocessed records is more problematic.
Case-by-case decisions occur more often than not, but this section will
attempt to provide some firm categories of materials that are candidates
for restriction, periods of restrictions, and guidelines for action if
potential restricted materials are encountered during processing. Also,
no legal statutes exist that codify specific time periods for
restricting particular record formats; privacy laws (Privacy Act of
1974; 5 USC 552a and amendments) exist to generically protect an
individual from intrusions into their private lives, to prevent public
access to confidential records, and to ensure the accuracy of the
information legally collected on individuals. No mechanisms are mandated
for the administration and service of these records, however. Those
functions are ceded to whichever internal administrative body is
responsible for custody of those records. Therefore, archivists must
rely on precedent and good professional practice, much as will a court
of law if a complaint is adjudicated. If the archivist can point to a
documented policy or set of procedures that are applied consistently,
liability should be limited.

The U.S. Census Bureau closes its enumerations to the public for 72
years and archivists have generally adopted this period restriction.
Increased to 75 years, this period of restriction helps ensure that
personal information, if used, will be old enough to have a limited
impact on the personal lives to which any information is attached. The
Modern Manuscripts Program should be conservative in applying current
legal requirements for restricting materials such as patient records or
official school records, but should be liberal in promoting local
physical access to collection materials. Restriction issues should be
discussed with the curator during the development of intellectual series
and throughout processing.

**Categories of restricted materials**

Medical records or records bearing personally identifiable health
information (PHI) are very sensitive materials and rarely should be
accepted as part of a collection. Personal medical records may appear in
personal papers collections, in agency or corporate records, as part of
legal case files, or as part of a scientific study, and access should be
restricted. However, legitimate researchers collecting summary data may
be granted limited access to personal medical information. In these
cases the researcher must apply for access using the AMMP Access to
Personal Health Information application process. A copy of this policy
is available in the restrictions binders and the MSS share drive. A list
of collections restricted in this manner is available in the
restrictions binders and as a query in the Accessions Database.
Individual boxes are labeled "Restricted PHI." Otherwise, medical
records and hospital records are restricted for 110 years from the
individual's date of birth to ensure the subject has died before opening
them to researchers.

Official student records should also not be accepted as part of a
collection. The Family Educational Rights and Protection Act (FERPA \--
34 CFR Part 99) protects a student's right to privacy and provides a
mechanism to ensure the accuracy of these confidential materials. School
records such as official transcripts and official recommendations should
be closed for 75 years from the date of the record. Similarly,
correspondence (or other form of a request) about grade changes should
be closed for 75 years. Other records that document official business of
any sort by a professor or a student should be closed for 75 years.
Unofficial, personal recommendations or references from a school
official or professor regarding a student should not be considered an
official school record and should most likely be weeded as non-archival.

Personnel records are another troublesome, common record type,
oftentimes voluminous in corporate records. Official personnel disputes,
evaluations, or complaints are extremely sensitive and should not be
considered archival records. If these records do appear in a collection,
they should be restricted from the general public. If a company or
association uses the NLM as its de facto ongoing archival program (MLA,
for instance) there may be instances where we will need to store
personnel records for their continued administrative purpose, but they
are not to be considered for public consumption if permanently retained.
Moreover, modern individual time cards are not considered archival and
should be weeded. There may be reason to save examples of older types of
time cards, if only to show how record forms changed over time at a
company with an extensive history, or reason to sample a series of time
cards for informational value.

Thirdly, editorial peer reviews of scientific journal submissions are
kept secret from the submitting author. In other disciplines, academic
debates are usually carried out in various public forums, so the impact
of a negative review usually reflects back on the reviewer, not the
article's author. In fact, peer reviews provide good insight into the
specific nature of an academic debate. And since scientific knowledge
changes at such a rapid pace, many arguments often become moot or
superceded by ancillary debates. If a manuscript collection contains
copies of the various peer reviews submitted as part of the editorial
process, they need not be closed to research use, but a copy should be
made of the review with the author's name and the article's title
redacted. It will then be difficult to trace any negative attacks to a
particular individual.

Grant applications present a fourth category with restriction issues.
Grant applications for funding scientific research are extremely
sensitive materials and those found in archival collections should not
be open to the public. Successfully funded grants will be publicized by
the granting agency and it will determine what information is for public
consumption. Reviewers or granting agencies may keep copies of the
applications for which they are asked to review, but any archival record
of the review process should remain private. Grant materials should be
restricted for 75 years from the date of the application.

A fifth major record type encountered in AMMP collections are special
session board minutes. Many association records have two sets of board
minutes: regular meetings that are usually public knowledge; and special
session segments of regular board meetings wherein sensitive strategic
business and financial decisions are often made and personal/personnel
issues regarding board members are debated. The deed of gift should make
note of any restrictions of regular board minutes (private associations
have every right to restrict these records), but if not, the processing
archivist should look for special session minutes or other board records
that contain personal issues or private debates.

Lastly, financial and business records often contain personal
information that would not normally be public knowledge. But if a donor
has included them in the collection, one might assume that the donor has
no privacy concerns about personal financial information. However, the
curator should double check with the donor about keeping financial
records and offer to return them.

**Application** **Guidelines**

See Section X. Special Handling, for guidelines on physically separating
sensitive and otherwise restricted materials.

Appendix B also provides some guidelines for restricting certain types
of records. It should not be followed verbatim, as its primary function
is to guide Digital Manuscripts Program archivists in determining
restricted digital access on the Web to private, or potentially harmful,
personal or organizational information. It is one thing to not create
digital access to a record; it is another to restrict physical access
for on-site patrons. The Digital Manuscripts Program publishes an
alternate form of an item to the public, with all the accompanying
ramifications surrounding our institutional responsibility for the
information the published version contains. However, restricting items
from Web access is not a mandate to over-restrict physical access.

**IX. SPECIAL HANDLING**

# Separations, Oversized, and Restricted Materials

Items that require special handling or are restricted based on fragility
or sensitivity should be described in normal sequence in the finding
aid, but physically separated from the collection using separation
sheets (See Appendix I). Identify the item specifically, its location
within a series and its former box and folder location. Identify the new
location on the form. Place a flag and a copy of the separation sheet in
the original location during initial processing and remove the item to
its new location during final boxing. A second copy of the separation
sheet should accompany the item to its new location. Boxes of restricted
materials should come at the end of the collection and should be CLEARLY
marked as restricted.

Sensitive materials should be identified as to category of restricted
nature and restricted from use accordingly (See Appendix B for
categories and guidelines). As a final step in processing, a list of
restricted materials should be made from the separation sheets noting
their final location (a box of restricted materials), original location,
title, and the date the restriction is to be lifted. Place copies of the
restricted list in the restrictions binder at the reference desk, in the
curator's office, and in the box of restricted materials. This is not
meant to be a public document. A note should be made in the catalog
record and the series description, alerting the researcher to possible
restricted items. The reference archivist should check the list of
restrictions before serving materials and notify the researcher.
Restrictions should be reviewed annually for items to be released and
the finding aid and restrictions list updated.

Films and other AV materials should be described in a separate series.
Use separation sheets to note their location within a particular
manuscripts container. Master and one-of-a-kind films and videos are
stored in the manuscripts cabinet in the cold storage vault on the B3
level and they are arranged by manuscript collection number. Similarly,
original copies of audiocassettes are stored separately in the vault's
colder and dryer environment and use copies with the collection
materials. Transcripts of oral histories should be filed with other
paper materials. Physical care of these AV materials is essentially
transferred to Historic Audiovisuals (HAV), including re-housing, proper
environmental storage, and the copying of films and videotapes, but the
AV's remain part of the manuscripts collection from which it came. Use
copies for AV materials are housed in manuscript or record center boxes
and stored with the collection. If no use copy exists, consult the
Manuscripts Curator on a case-by-case basis on whether to serve patrons
the original copy. Finding aids will include item level description of
all AV materials, and the MARC catalog record requires mention of these
materials, as well.

In selected cases, HAV will inform AMM that a particular title is worthy
of individual attention. In this case, the AV will be formally
transferred from AMM to HAV. HAV will catalog the item (assign an HF
number, an NLM call number, the MS number, and link the film to its
parent manuscript collection). The original copy will move to the HAV
section of the vault or be sent for off-site storage. The use copy will
be incorporated into the HAV use copies for patron service. The AMM
finding aid for the collection will be annotated to reflect the
provenance change and indicate the new HF number.

# Fragile Items

Preservation photocopies should be made of all important documents on
ephemeral, highly acidic or damaged paper media (such as newspaper
clippings, thermofaxes, telegrams). Newspaper clippings may be
discarded, but retain all other originals and house separately in
another folder or acid-free paper folder to prevent chemical migration.
A surrogate, either a preservation photocopy or some other reference
print, should replace items withheld because of their fragile physical
condition (e.g., brittle paper). Make a note in pencil in some
out-of-the-way place noting that the item is a copy. The originals
should be housed separately and an additional list created for a
"Restricted Fragile" box, but described in its particular series in the
finding aid with a restrictions note. If the item is only somewhat
fragile, or Mylar sleeving can provide the necessary support, the item
may be left in its original location. Photographs should always be
individually sleeved.

# 

# Oversize

Oversize, generally, is treated as a storage location and not an
intellectual arrangement. Items should be described in their original
series, and a separate list placed at the end of the finding aid as
needed, describing all oversize items and their storage locations.
Oversized items should be properly foldered with a short descriptive
note and folder number for easy identification and stored flat in
appropriately sized boxes or in the manuscripts map cases. Works of art
and paintings should be tagged and placed in the appropriate art storage
space (the Cataloging/Conservation Librarian manages these items).
Artifacts remain under manuscripts control and are stored with
manuscript collections. Framed items should be reviewed by the curator
for a decision about removing the frames. Any items poorly framed should
be unframed and the original item appropriately housed.

**Lab Specimens**

Although rarely encountered, lab specimens or pathology samples pose a
difficult preservation problem. Specimens may contain organic,
infectious or other hazardous materials that require special handling or
disposal. These types of materials should be identified before the
collection is acquired, but if they do appear in a collection, notify
the curator immediately.

# Deaccessioning

Items with no intellectual, intrinsic, or artifactual value should be
weeded from the collection. This decision should always be made in
consultation with the curator. Ideally, irrelevant materials should be
identified during the initial appraisal and not accepted with the
collection. A de-accession memorandum is prepared listing all items must
accompany materials to be discarded and bearing an authorizing
signature.

Duplicates of printed materials should also be discarded. Keep the best
two versions of multiple items. Place the remaining duplicates in a
separate box clearly marked as "Duplicate material" and set aside until
the collection is completely processed. The curator should then make
decisions about discarding the items, transferal to another library
unit, or referral to a dealer. Books authored or collected by the
creator that are to be retained should either be integrated into the
NLM's general collection, or be stored separately in boxes and listed
alphabetically by title in the finding aid (To be included in "Related
Materials" element for EAD finding aid). Annotated photocopies should be
kept and noted as a copy in the finding aid. In general, photocopy
duplicates of original material are considered excess and are to be
discarded.

# Additions

Additions to existing collections should be interfiled whenever possible
if the series arrangement and space within boxes allows. Significant
additions, such as those accompanying associational records, should be
treated almost as a separate collection for processing. New materials
should be described within the appropriate existing series but
separately housed (see page 21 for example). Use the last box number of
the existing collection as a jumping-off point for numbering the new
boxes.

# XI. CONSERVATION AND PRESERVATION

Routine preservation activities are carried out by the processing
archivist---any questions or complicated treatments are handled by the
curator. Routing activities include re-housing into acid-free folders
and record cartons or manuscript boxes; removing staples, paper clips,
clasps and other metal fasteners; unframing and removal of acidic mats;
Mylar sleeving and encapsulation; and preservation photocopying. More
complex situations include removal of any organic matter; special
handling of any laboratory specimens or devices; flattening rolled
items; appropriately re-housing odd-shaped or oversized items
(clamshells, Phase boxes, map cases, rolls).

First priority is given to materials showing evidence of pest
infestation, papers with active mold spores or mold damage, nitrate film
stock (a very rare occurrence), or degrading acetate film stock. If any
of these situations appear during processing, stop and consult the
curator. Damaged papers with high monetary or intellectual value should
be immediately marked for treatment by the staff conservator. Less
valuable items or items in better overall condition can be treated as
the collection is processed. Any item with an immediate risk of losing
its textual or visual integrity if handled, or that poses a chemical
threat to other materials it may come in contact with, is an immediate
candidate for conservation treatment, and the curator should be
consulted. Similar action is required for delicate or damaged bindings
or bound manuscript materials.

Mylar of all types is used for sleeving or rolling large items such as
blueprints. There is an abundant supply of Permalife paper for
photocopying newspaper clippings or creating small enclosures, and there
are various sizes of acid-free paper sleeves for other custom needs.

Photographs as enclosures have been previously mentioned, but the
procedure is re-iterated here. Photographs should always be identified
in the finding aid container list. If photographs exist in any
significant number, a separate series should be created. Generally,
sleeve all photographs individually and assume the item in hand is the
only existing copy. Each image should be regarded as intellectually
significant, no matter the initially perceived importance. Cracked or
peeling emulsions should be handled delicately. Curled or otherwise
rolled pictures should be carefully humidified for flattening. Consult
the Prints and Photographs Collection Manager for advice on the handling
of deteriorating negatives and prints.

Electronic media, audiovisual playback machinery, obsolete media
formats, and fragile audiovisual and motion picture materials will be
handled on a case-by-case basis.

**BIBLIOGRAPHY**

*Describing Archives: A Content Standard*. Chicago: Society of American
Archivists, 2004.

Bellardo, Lewis J., and Lynn Lady Bellardo, comps. *A Glossary for
Archivists, Manuscript Curators and Records Managers*. Chicago: Society
of American Archivists, 1990.

Ellison, Todd. *Special Collections Archival Procedure Manual: Center
for Southwest Studies*.
http://www.fortlewis.edu/acad-aff/swcenter/archvpro.html, 2000.

Gracy, David B., II. *Archives and Manuscripts: Arrangement and
Description*. Chicago: Society of American Archvists, 1977.

Hensen, Steve, comp. *Archives, Personal Papers and Manuscripts: A
Cataloging Manual for Archival Repositories, Historical Societies, and
Manuscript Libraries (2nd ed.[)]{.underline}*. Chicago: Society of
American Archivists, 1989.

Manuscript Unit, Beinecke Rare book and Manuscript Library, Yale
University. *Archival Processing Manual*.
http://www.library.yale.edu/beinecke/manuscript/process/index.html,
1997.

Miller, Frederick M. *Arranging and Describing Archives and
Manuscripts*. Chicago: Society of American Archivists, 1990.

![](media/image1.wmf)

+----------------+------+-------------+-----------+------------------+
|                | *    | **RESTRICT  | **R       | **LENGTH OF**    |
|                | *SCA | PHYSICAL**  | ESTRICT** |                  |
|                | N?** |             |           | **RESTRICTION?** |
|                |      | **ACCESS?** | **        |                  |
|                |      |             | DIGITAL** |                  |
|                |      |             |           |                  |
|                |      |             | **        |                  |
|                |      |             | ACCESS?** |                  |
+================+======+=============+===========+==================+
| **Peer Reviews | **Y  | **YES**     | **YES**   | **Serve redacted |
| for**          | ES** |             |           | version;**       |
|                |      | **(redact   |           |                  |
| **Journal      |      | nam         |           | ## 75 YEARS      |
| Articles**     |      | es/title)** |           |                  |
|                |      |             |           | **(from date of  |
|                |      |             |           | review)**        |
+----------------+------+-------------+-----------+------------------+
| **Official     | **Y  | **YES**     | **YES**   | **75 YEARS**     |
| School         | ES** |             |           |                  |
| Records**      |      |             |           | **(from record   |
|                |      |             |           | date)**          |
|                |      |             |           |                  |
|                |      |             |           | **\[Case-by-case |
|                |      |             |           | decision**       |
|                |      |             |           |                  |
|                |      |             |           | **for            |
|                |      |             |           | unofficial\]**   |
+----------------+------+-------------+-----------+------------------+
| **Letters of** | **Y  | **YES**     | **YES**   | **50 YEARS (if   |
|                | ES** |             |           | official)**      |
| **Re           |      |             |           |                  |
| commendation** |      |             |           | **\[Case-by-case |
|                |      |             |           | decision**       |
|                |      |             |           |                  |
|                |      |             |           | **for            |
|                |      |             |           | unofficial\]**   |
+----------------+------+-------------+-----------+------------------+
| **Grant        | **Y  | **YES**     | **YES**   | **75 YEARS**     |
| Applications** | ES** |             |           |                  |
|                |      |             |           | **(from date of  |
|                |      |             |           | application)**   |
+----------------+------+-------------+-----------+------------------+
| **"Derogatory" | **Y  | **NO**      | **Case-   | **Case-by-case** |
| or**           | ES** |             | by-case** |                  |
|                |      |             |           | **decision**     |
| **"Private"    |      |             | **d       |                  |
| Material**     |      |             | ecision** |                  |
+----------------+------+-------------+-----------+------------------+
| **Medical      | **   | **YES**     | **N/A**   | **110 YEARS**    |
| Records**      | NO** |             |           |                  |
|                |      |             |           | **(from date of  |
|                |      |             |           | birth)**         |
+----------------+------+-------------+-----------+------------------+
| **Curriculum   | **D  | **NO**      | **NO**    |                  |
| Vitae**        | onor |             |           |                  |
|                | 's** | **(redact   |           |                  |
|                |      | S.S.N.)**   |           |                  |
|                | **On |             |           |                  |
|                | ly** |             |           |                  |
+----------------+------+-------------+-----------+------------------+
| **Financial    |      | ##          |           |                  |
| Records**      |      |             |           |                  |
|                |      | ## NO       |           |                  |
+----------------+------+-------------+-----------+------------------+
| **Voting       |      | ## YES      |           | ## 75 YEARS      |
| Ballots**      |      |             |           |                  |
|                |      |             |           | **(from date of  |
|                |      |             |           | vote)**          |
+----------------+------+-------------+-----------+------------------+
| **Personnel    |      | ## YES      |           | ## Permanent     |
| records**      |      |             |           |                  |
+----------------+------+-------------+-----------+------------------+
| **Board of     |      | ## Foll     |           | **Follow         |
| Directors      |      | ow donor\'s |           | donor\'s         |
| Special        |      |  guidelines |           | guidelines**     |
| Sessions**     |      |             |           |                  |
+----------------+------+-------------+-----------+------------------+

Processing rates vary a great deal from collection to collection. The
following

guidelines have been found to be both useful and reliable. It must be
noted, however,

that processing estimates are derived from preliminary examinations of
collections of

papers. It is always possible, therefore, that complications will be
found during

processing that were not anticipated at the time of the survey.

In determining processing rates, all time is considered equal. (Not all
processing

requires the expertise of trained archivists, so efficiencies can be
achieved by matching

tasks to levels of skill and expertise of available staff.) Some tasks
should only be

undertaken by trained archivists, while other tasks like stamping,
sorting, preservation

photocopying, inputting, numbering, and some listing can be done by
clerical

assistants, students, interns, or volunteers. The greater the expertise
of support staff,

the wider the range of duties that can be assigned to them.

These rates include all processing time, from preliminary survey through
and including

inputting and correcting registers. In addition, all collections are
considered equal,

although small collections smaller than 3 linear feet will usually take
longer to complete

than the projected time and larger collections of 20 or more feet will
usually take less

time because of economies of scale.

Processing Rate A (40 hours per linear ft.)

Used for collections that have to be described at the item or virtually
at the item level,

like autograph collections.

Processing Rate B (30 hours per linear ft.)

Used for collections that have little or no arrangement and order.
Different kinds of

materials are mixed together, correspondence is unsorted or stored in
original

envelopes, some papers and correspondents are unidentified, and
extensive

preservation work may be required.

Processing Rate C (20 hours per linear ft.)

Used for collections that have an average number of problems. Papers may
have some

order and sections of the collection may be properly sorted, although
significant

portions will have to be arranged and a good deal of interfiling work
will have to be

done. Most collections can be processed at this rate.

Processing Rate D (10 hours per linear ft.)

Used for collections that have no significant organizational problems. A
minimum

amount of interfiling and reorganization is needed. The major portion of
staff time will

be expended on the basic work required for all collections: reboxing,
refoldering,

listing, and describing the contents of the papers. Records of
organizations and

collections that consist primarily of manuscripts of published works
often fall into the

D category.

I.4. Factors to Consider

1.Language and/or difficulty in deciphering handwriting

2.An excessive amount of preservation work

A preliminary analysis of a collection may indicate that the degree of
processing

difficulty may fall between two categories. Thus:

Processing rate A/B (35 hours per linear ft.)

Processing rate B/C (25 hours per linear ft.)

Processing rate C/D (15 hours per linear ft.)

Total processing time is determined by multiplying the estimated linear
footage by the

processing rate.

4.5 linear ft. x 20 hours per ft. = 90 hours

\[Taken from "Manuscripts Processing Manual: Beinecke Library." Yale
University, 1997)\]

I.5. Table of Estimated Processing Times

The following memo is included for comparative purposes.

This is in response to the requests for processing times that were
determined at the

Library of Virginia, Archives and Records Division, for a September 1990
inventory

project.

Type and Date Range of Record Per Cubic Foot

Full processing (includes flat-filing, arrangement, description,
foldering, and boxing)

Pre-1800 Personal Papers

9 days

Pre-1900 Personal Papers

5.5 days

Post-1900 Personal Papers

3.5 days

Pre-1800 State Government

4.25 days

Pre-1900 State Government

2.75 days

Post-1900 State Government

1.1 days

Pre-1800 Business

4.25 days

Pre-1900 Business

2.75 days

Post-1900 Business

1.25 days

Pre-1800 Local Government

7 days

Pre-1900 Local Government

4.5 days

Post-1900 Local Government

2.25 days

Pre-1800 Mixed types

8.5 days

Pre-1900 Mixed types

5.5 days

Post-1900 Mixed types

3.25 days

Reboxing only (includes labeling) 6 minutes

Refoldering only

Per folder

2 minutes

Per box

.5 to 6 hours\*

\*In collection where materials need refoldering, do sample on two boxes
for average

number of folders and use two minutes per folder.

These figures were based on trial runs and using the Lynches article in
The

Midwestern Archivist, Vol. 7, No. 1, 1982.

L. H. Hart III, The Library of Virginia.

Common SERIES TITLES include:

\*Accounting statements

Field notes, or Field books

Price lists

\*Applications

Financial documents (ledgers, notes, payroll lists)

Printed material (booklets, books,

brochures, certificates, clippings, directories,

flyers, programs)

Audio recordings

Journals

Proceedings

\*Bank statements

\*Leases

\*Receipts (financial)

\*Bills (financial)

Legal documents (agreements, briefs, contracts, deeds,

depositions, estate inventories, insurance policies, mortgages,

petitions, title abstracts, wills)

Registers

\*Blank forms

Literary works (research notes, manuscripts,

memoirs, reports, speeches, sermons)

Research files

\*Cancelled checks

Maps

\*Sales literature (junk mail)

Case files

Menus

Scrapbooks

\*Cash books

Minutes and agenda

Sketches (including drawings, etchings,

cartoons)

Charts

Newspapers

Subject files

\*Class notes

Notebooks

\*Supplies

Clippings

Personal files

Survey files

Correspondence (personal

or business, including greeting cards,

invitations, letters, letter books, telegrams)

Photographs (ambrotypes, daguerreotypes, glass plate

negatives, roll film, negative & positive prints, slides, tintypes\...)

Diagrams

Postcards

\*Tax returns/ receipts

Diaries

Posters

\*Worksheets

5\. After the series title, describe its contents as follows. Write the
years it covers, and a rough estimate of the quantity of the

[^1]: Frederick M. Miller, [Arranging and Describing Archives and
    Manuscripts]{.underline}. Chicago: Society of American Archivists,
    1990, p. 57.

[^2]: Lewis J. Bellardo and Lynn Lady Bellardo, [A Glossary for
    Archivists, Manuscript Curators, and Records Managers]{.underline}.
    Chicago: Society of American Archivists, 1992, p. 32