Processing Manual

The Rockefeller Archive Center Processing Manual provides detailed documentation on the archival processing strategies and methods used at the RAC. It was written by the RAC Processing Team in close collaboration with other members of the RAC archival staff.

Mission

The Processing team establishes and enhances intellectual and physical control of our archival holdings by effectively and efficiently organizing, describing, and preserving all eligible materials, regardless of form, medium, or creator, to facilitate user access. We ensure timely, open, and equitable access to primary sources on site and online. We actively promote the use and understanding of the historical record through the collection guides we create in accordance with DACS descriptive standards, and all program policies and procedures foster accountability and transparency. The Processing team commits to culturally competent descriptive practices, as we acknowledge that our collections and the archival descriptions we create are shaped by racial, gendered, and other cultural identities and biases. We aim to describe materials representing marginalized, underrepresented, and historically oppressed people and cultures appropriately and respectfully. As we learn and grow through professional development, we seek opportunities to contribute to the archival profession and collaborate with practitioners in related fields.

Supporting Values

The processes and practices outlined in this manual support the RAC’s seven organizational values:

• We Pursue Excellence in Stewardship: the actions outlined here are intended to establish and improve access to the records in our care. The prioritization and coordination of Processing resources, to support and achieve that goal also supports this value.
• We are Dedicated to Diversity, Equity, Accessibility, and Inclusion: by developing and systematically implementing an expedited pathway to provide access to archival records, we make them (and the stories of the people, places, activities and organizations they contain) available to a broader and more diverse audience.
• We are a Collaborative Learning Organization: The function teams of the RAC work together to achieve success, and it is that very support and togetherness that position us to implement these processes and practices with confidence. In highlighting the collaborative and cross-team nature of this work, we seek to build on existing collaboration and continue our professional and organizational growth.
• We Embrace Change: This document is regularly reviewed and updated to ensure we continue to expedite access and support evolving user needs.
• We are Accountable: Perfection is unattainable and is certainly not a prerequisite to access. The processes outlined here are based on the recognition that our responsibility is twofold: providing long-term preservation of the information held in our collections and providing access to that information in a discoverable and effective manner. RAC can accomplish that best by being transparent with our archival holdings and encouraging incremental improvements rather than extended processing times.
• We Center People in Our Use of Technology: The nature of research continues to evolve, but the foundation of this work remains the same, providing our user communities with pathways to the information we hold as early as possible in the lifecycle of the archival records, as well as further open doors, expand access points to the collections, and meet internal and external user needs.
• We Foster Belonging: by making our work visible earlier in our process, and by actively building upon it in ways that seek to expand and enhance the stories that we tell, we help to foster understanding of and respect for the work and expertise of Processing Archivists and all our colleagues.

Method

• Facilitate open equitable and ethical access to all eligible records regardless of processing status.
• Launch user discovery as early as feasible in the lifecycle of the record and eliminate the long wait times traditionally associated with processing backlogs.
• Projects are assigned primarily by accession or in small sets of material.
• All archival staff conducting processing should utilize project management software and create archival description in the RAC collections management system.
• Projects focus on priority collections and areas of greatest risk for degradation and loss including audiovisual, digital media, and special formats.
• Redescription of legacy holdings is regularly assigned, and remediation actions are taken on an ongoing basis to improve the user experience, including:
  • Identification and revision of problematic, out dated, obsolete, or otherwise inaccurate information
  • Enhancing description to augment and expand access
  • Periodically conducting audits across all archival description to identify priority collections in need of reparative action in accordance with Culturally Competent Description goals
  • Reviewing, and acting upon, Archival Description Concern requests received from RAC staff
• Developing and using tools to meet institutional and team goals through coding, scripting, and cross-team collaboration, and formulating processes to assist in the long-term maintenance and upkeep of those tools.
• Maintain quality and completeness of the archival description by regularly reviewing our metadata, and addressing any issues identified, to ensure that all published RAC finding aids meet or exceed DACS minimum requirements.
• Processing Priorities
  • Priorities are established by the Assistant Director of Processing in coordination with the Director of Archives, and in collaboration and consultation with the Associate and Assistant Directors of the Archives Program.
  • Priority is given to those projects for which the RAC has a contractual obligation.
  • Priority is given to recent accessions and born-digital materials when feasible.
  • User behavior and the research trends of our user communities is also a vital element of formulating our priorities. Expedited openings, and analysis of archives usage, help to identify collections, or portions thereof, in high demand. Processing resources can then be prioritized and allocated to meet that demand.

Processing Levels

Every processing project has two primary objectives:

• Attaining intellectual and physical control of the archival records.
• Identifying, describing, and managing any applicable restricted materials.

To accomplish this, processing at RAC is conducted at four levels, with each successive level representing incremental improvement to enhance user access with varying degrees of description and preservation. Each processing level builds upon the work accomplished at the previous level. If a given level of work is not discretely performed, it is incorporated implicitly into the next higher level, from the ground up similar to climbing a ladder.

Our initial levels represent expedited access, taking the steps necessary to open the records for research as quickly as feasible. All records are eligible for expedited access that are not otherwise restricted by the terms of the applicable donor/depositor agreement or established RAC policies. For records whose care benefits from additional processing, enhanced access further strengthens control of the records, introduces additional access points, and enriches the scope, breadth, and depth of the information provided to our users.

Expedited Access

• Level 0: Initial Access – establishes initial intellectual and physical control & open access.
• Level 1: File-Level Access – attains file-level control and management of records.

Enhanced Access

• Level 2: Multi-Level Access – Articulates a multi-level descriptive hierarchy, strengthens reliability of file-level control, enhances context, and begins long-term preservation actions.
• Level 3: Expanded Access – Projects involving newly processed records focus on rehousing and further description of records, creators, activities, and the associated relationships. Periodic reviews and audits of legacy holdings focus on redescription to improve, enhance and/or take culturally conscious reparative action as necessary.

Note: All records accessioned & processed, at any level, are eligible to be OPEN for research.

Expedited Access - Level 0: Initial Access

This level often pertains to legacy collections never officially accessioned, or records whose custody was not transferred through established RAC processes.

• Initial Access is established through the efforts of the Collections Management team, the Processing team, and interdepartmental teamwork.
• All archival records are officially transferred to and accessioned by RAC.
• For legacy collections never officially accessioned, or materials whose custody did not follow established processes, the processing archivist incorporates the necessary steps into the assigned processing and informs Collections Management of the lack of official documentation to prompt a retroactive accession.
• Eligibility assessment and restriction review by Assistant Director for Processing (or assigned designee) to identify any restricted or otherwise sensitive records in accordance with the applicable donor/depositor agreement and established RAC policies. Assistant Director for Processing periodically assigns processing priority to new accessions.
• Accessions, or portions of collections, with a low processing priority may require only Level 0 processing to facilitate long-term retention and user access.

Level 0 actions include, but are not necessarily limited to:

• Establishing Archival Context and Structure
  • Reasonable archival content review by Assistant Director for Processing (or assigned designee).
  • Link known creator or source to accession and resource records (when feasible).
  • Records remain as received. No arrangement or rearrangement.
• Description
  • Description begins with single-level general description of contents and builds incrementally from there.
  • A finding aid in the RAC collections management system is then created by the processing archivist and published with Collection-Level DACS minimum requirements including:
    • Title
    • Date (estimated creation dates or bulk dates)
    • Estimated extent (in cubic feet)
    • Agents (at least one associated agent, person, family, corporate entity, assigned)
    • Box-level container data – barcode, location, container profile
    • Conditions governing access note
    • Scope and content note (brief summary describing the whole; compiled from known information such as an appraisal report)
    • Language of material, and language of description
• Preservation
  • A preservation assessment is conducted by Collections Management to identify any immediate preservation concerns and ensure the records are free of storage or transport barriers to access (e.g. mold, water damage, pests, decomposing items; and are appropriately housed for vault storage and cart transit).
  • Following accessioning all records remain in existing housing pending further processing.

Once opened for research, records may receive further processing based on RAC processing priorities.

In addition to the minimum requirements, Initial Access (Level 0) will provide:

• Box Sketch or general aggregate description - by Record Type; by archival component (Subgroup, Series, Subseries); or by sets of files; with associated containers assigned. Estimated or known dates may also be recorded. Examples:
  • Grant Files, 1960s-1970s – Box 1-5
  • Program and Policy Reports, 1970-1972 - Box 5
  • Foreign Correspondence Files – UK, 1980s, Box 6
  • Foreign Correspondence Files – Egypt, 1980s, Box 7
  • Administrative Files – Box 7-10
  • Publications - Box 11
  • Seminars and Workshops, 1977-1979, Box 12
  • Working papers – Box 13-14
• Any restricted records identified during archival review will be assigned a conditions governing access note clearly indicating the restriction and future date of opening.
  • Examples:
    • “Restricted – Records Embargo - Open in 20XX”
    • “Restricted – Executive Search – Open in 20XX”

Determining the End of Embargo Periods with File-Level Dates Unknown

For those collections with access stipulations, reasonable steps will be taken to address all terms. One of the most common access terms is establishing embargo periods. When managing embargos, the recording of dates plays an important role in identifying restricted records and in the opening of eligible records.

“Initial Access (Level 0)” or “File-Level Access (Level 1)” records often will not have the accurate file-level dates that are commonly used to identity records subject to an active embargo. In lieu of file dates:

• Refer to the applicable collection agreement, or associated documentation, to identify the appropriate term (10 years; 15 years; 20 years).
• Calculate the end of the embargo for the records in question (collection/finding aid, series, or other sets of records) with one of the following aggregate dates:
  • Date of accession
  • Latest recorded creation date
  • Known bulk dates
  • A reasonable estimation of the date of contents

Expedited Access - Level 1: File-Level Access

• Builds upon the work accomplished at Level 0: Initial Access
• Generates RAC’s initial file-level inventory
• Incrementally improves description to expand and enhance access.

The overwhelming majority of material transferred to RAC reaches Level 1 with the completion of accessioning and creation of the initial finding aid by the processing archivist.

Level 0 processing, plus the following additions:

• Description
  • Ideally the donor will provide RAC with an inventory.
  • If the inventory prepared by the donor adequately meets processing requirements, the processing archivist will use this data as the foundation of our initial finding aid, and no additional RAC-produced inventory is required.
  • Establish file-level description and management of records.
  • Initial description of audiovisual materials will focus on known information and be augmented as we learn more.
• Preservation
  • Additional preservation or stabilization steps may be taken for materials with special handling requirements such as oversized, brittle or damaged items.

Enhanced Access - Level 2: Multi-Level Access

Level 1 processing, plus the following additions:

• Muli-level hierarchy will be articulated.
• Strengthened intellectual and physical control.
• All necessary steps to identify, describe, and manage restricted content.
• Intermediate rehousing: reboxing/refoldering as necessary to facilitate effective access.

Processing actions often include, but are not necessarily limited to:

• Establishing Archival Context and Structure
  • As we learn more about the collection, the context among and between the records reveals itself further.
  • Review or identify and assign primary creators/agents.
  • Identify primary functions, activities, and file types.
  • Establish multi-level intellectual arrangement and description, while facilitating preservation. Archival components actively used at RAC include Collection, Record Group, Subgroup, Series, Subseries. Materials arranged and described together may be physically stored separately.
• Description
  • Identify all applicable restrictions/conditions of access and use and address any restricted material.
  • Create multi-level description reflective of the records, the agents, the activities represented, and the relationships between them, including component description (such as Series description) or file-level description.
  • Expand and enhance intellectual control of the material by adding front matter notes to the finding aid, as determined in Project Vitals.
• Preservation
  • Retain existing housing or rehouse select materials into acid-free lignin-free boxes and/or folders.
  • Work with Collections Management to further identify and stabilize any materials with immediate or significant preservation concerns.

Enhanced Access - Level 3: Expanded Access

Level 2 processing, plus the following, as applicable:

• Establishing Archival Context and Structure
  • Multi-level description – Enhance control of records to file level (including command of all applicable hierarchical levels – collection, record group, subgroup, series, subseries, file).
  • Retain original order or “as received” order whenever feasible.
  • Do not arrange material within a folder without the prior approval of the Assistant Director for Processing.
• Description
  • Create, or revise, standard finding aid to file level, in accordance with all RAC descriptive standards. (See: Building the Finding Aid). Item-level description or care is beyond the scope of this work.
  • Improve archival description and create or enhance associated notes (at the applicable level).
  • Expand and enhance access points (agents and subjects).
  • Redescription work shall seek to improve and/or take culturally conscious reparative action, particularly to illuminate the people and their relationships, the power dynamics developed and leveraged, and the communities impacted.
• Preservation
  • Rebox and refolder (acid-free, lignin-free materials) for permanent storage and preservation of the materials, as necessary.
  • Conduct minimal preservation actions at the file level (preservation photocopy and remove brittle or damaged material).
• At-Risk Materials
  • Process materials to the file level, regardless of form, medium, or creator.
  • See Step 16 “Stabilize and Describe At-Risk Materials” for details.

Reporting Problematic Description to Processing Team

Redescription efforts, particularly those of the Culturally Competent Description Action Campaign, will be guided in part by user feedback and efforts to improve the user experience. Staff members may observe an example of problematic content or an area where culturally competent descriptive practices could be implemented within our archival description while carrying out a variety of activities such as researching our collections, performing reference tasks, conducting data cleanup, etc. Seeking to describe, assess, and possibly remedy the observed item is not a critique of the work of the archivist who created the original description but rather a component of iterative archival descriptive work that is necessary to center our users in our description.

When staff members encounter instances of problematic archival description and/or see opportunities for reparative description within the RAC’s collections and are unsure of how to act, they should use the Archival Description Concern Request form to identify the issue and notify Processing Archivists who can help address the problem.

The form can be used to report a variety of issues in addition to problematic description such as data display issues in DIMES and inaccurate information. If one of the reasons for submitting the form is a reparative description concern, make sure to check the “Opportunity for reparative description” option in response to the “What about the description needs addressing or changed?” prompt. Respondents are to use the form’s other prompts to identify the object containing the problematic description and where within the object is the issue, share contextual information about the problematic description, and describe what is problematic about it. Users also have the option of submitting suggested solutions to the problem. If staff members wish to leave their names for the purpose of follow-up discussion with the archivists working on the issue they identified, they have the option to submit their name as part of their report. Otherwise, responses are collected anonymously.

Processing Archivists will use the information provided in a staff member’s response to investigate the issue described and implement the most appropriate reparative action. Data collected through the responses will also help build understanding of trends and issues affecting the RAC’s archival description and inform other CCD projects.

Processing Project Assignments

(File-Level, Multi-Level, and Expanded Processing)

Each processing assignment is accomplished in two phases:

Phase I. Planning

Phase II. Processing

In an effort to facilitate the work accomplished by processing archivists and the interdepartmental teamwork which assists and facilitates our success, this processing guide is primarily presented as a step-by-step instructional.

The Planning phase consists of eight common steps, and the Processing phase consists of 32 common steps. Due to the unique character of each individual archival collection and the unforeseen issues that may materialize or develop during a project, the ordering of these steps is flexible in practice. However ALL 40 steps must be completed, by an individual or team, for a collection to be considered successfully processed.

Staff members can consult the Archival Description Concern Requests Project in order to track progress on their form submission. Their submission will be identified by the archival object title or identifier they described in their submission.

Acknowledgements

In drafting the guide, the RAC Processing Team focused primarily on creating local practices and procedures that implemented the guidelines and principles established in Describing Archives: A Content Standard (DACS). DACS is the official archival description standard of the Society of American Archivists (SAA), a national professional association for archivists. The RAC Processing Team consulted a number of SAA resources such as the SAA online glossary - A Glossary of Archival and Records Terminology, by Richard Pearce-Moses - when outlining its policies in the guide.

Planning »