Guide to Processing Collections - Processing

The processing phase of each assignment begins with contemplating five vital questions –

  1. What are these records/papers?
  2. Who created them?
  3. What do they mean or represent?
  4. How, or by what process, were they created and/or maintained?
  5. Are there any biases, institutional or personal, that might apply to the material?

Our objective as processing archivists is to provide user-friendly equitable access to archival collections. Thinking through these questions at the beginning of each project helps us to organize and contextualize our collection guides in an informative, inclusive, and user-centered manner, that considers the four fundamental concepts of archival description – the records; the agents who created and used them; the activities, events and people documented in them; and the relationships among and between them. Effectively and honestly representing content and inherent context will help to reveal the meaning and value of the records, and the people represented and stories told within them, to our users.

Once crafted the proposed structure for the project should then be approved by the Assistant Director for Processing and stated in the Project Vitals.

Fundamentals of Description #1 - User-Centered Processing of Records/Papers

Users are the central reason for archival processing. Identifying our community of users, and observing, testing, analyzing, and understanding user needs and behaviors helps to shape the way our archival collections are organized and described. The description we create and the choices we make in the arrangement, and descriptive processes impact the way users can find, search, and do research in, and with, the collection data and associated metadata. Those choices should always be made with an emphasis on making our data as easy as possible to use, retain, and share by utilizing open platforms, standardizing our practices and procedures, and presenting the resulting data, and metadata, in a structured, intuitive, and transparent manner which highlights context through aggregates of records.

Fundamentals of Description #2 – Identifying and Understanding Creators/Agents

Examining elements of archival theory help us to identify and understand the structure of a collection. Provenance is the origin or source of a collection. Identifying the creator(s) and the origin of the material helps to determine ownership and establish systems to maintain chain of custody and ensure authenticity of the records. Users also benefit from knowing and understanding how records are created, used, and maintained, and if or when those processes may have introduced systems, barriers, or biases that could complicate or impede access.

Fundamentals of Description #3 – Identifying Activities, Events, Functions & People

Human networks, interpersonal and professional contacts and relationships are often quite complex. All records within a collection are very rarely created by one person or even one institution. Personal collections may document the activities of families, current and past friends, distant relatives and professional colleagues. Modern foundations function through a network of contacts encompassing people within and outside the given organization. While the mission, programs, and goals of a foundation or institution may be formulated by executive officers and a Board of Directors, daily administration and implementation of the work is most often accomplished by staff and other actors too often hidden from the historical record. Through documenting functions, activities, events, creators, contributors and others agents and people associated with, and documented in, collections, we seek to provide users with a broad understanding of the context, relationships and networks of power and privilege that created and maintained the records we hold.

Fundamentals of Description #4 – Aggregate Centered Description Illuminating the Relationships Among and Between the Records and All Associated Actors.

At its core, archival processing is an iterative process that identifies and describes meaningful groupings of records, with continual remedial actions to maintain and improve intellectual and physical control of our holdings, and expand and enhance access to the collections in our care.

Aggregate centered multi-level description begins with a description of the whole, and proceeds hierarchically through identifying subgroupings within each set of records progressing down to the desired level of specificity to facilitate effective use and management of the collection and open the material to research as quickly as possible.

This process strives to represent content within context, and thus provide users the opportunity to seek, and hopefully find, value and meaning in the records we hold.

The hierarchical levels of description commonly used at RAC are: Collection, Record Group, Subgroup, Series, Subseries, and File.

Item-level description is extremely rare, and such detailed description must be pre-approved by the Assistant Director for Processing.

What we learn about the agents, functions, events, and other actors documented in a collection can later be used to create standardized structured terms. Those terms can then be assigned to the pertinent archival objects at the appropriate level of description and made directly searchable and discoverable by our users in DIMES. This structured data is also research ready for statistical analysis, or other quantitative and qualitative research, via direct access through the RAC Collections API.

Arrangement

Arrangement is a long-standing element of archival theory that is generally defined as the organizing and sequencing of materials in a collection in a meaningful way. More specifically, it is most often associated with the process of organizing materials with respect to provenance and original order, theoretically considered the order established by the creator, to preserve context and to attain physical and intellectual control of the holdings.

The concepts of archival arrangement apply to the organization of all archival records, across all applicable hierarchical levels, regardless of format, including paper materials, audiovisual materials, hybrid and digital records.

Description reflects arrangement, but the physical arrangement of the items in a collection may or may not parallel the intellectual arrangement. Items that are described together may be stored separately because of their differing size, shape, condition, access or use conditions, physical composition, format or other factors.

Deep Dive – The Value of Arrangement Lies in its Flexibility

While Arrangement is no longer considered a fundamental principle of archival description (DACS-Statement of Principles), it remains an important element of our efforts to document and express archival context and it provides practical instruction for creating useful description.

In so doing we recognize that arrangement of collections is not static. Intellectual control may be cyclical or change over time. In fact, over their lifespan a given set of records may have been used, arranged, or maintained in multiple different ways. This is particularly true for digital records or “hybrid” collections (which consist of multiple formats including paper and digital files) that are often created and maintained in different or multiple file structures.

We must also acknowledge that different cultures or societies live and experience themselves and others in different ways. Therefore, they also document their activities or histories in different ways. Equitable and inclusive standards and practices to identify and describe agents and events will help to facilitate the recording of the stories and experiences of underrepresented communities.

Rather than a privileged system or a special physical sequence of records, original order is one tool in the archivists’ toolbox to help us create finding aids that will illuminate context by identifying structured groups of records, or file types, that reflect the key activities and functions of the creator(s) and associated agents, events, and people documented in the historical record.

Arrangement Maps

Arrangement Maps comprehensively display entire collections/archives in a hierarchical structured manner that aims to express archival context by showing the inherent relationships among and between records and creators.

  • An arrangement map is created for any collection that spans more than one ArchivesSpace resource record/finding aid.
  • Displays all open records in DIMES.
  • Improves the user experience by enabling users to browse and navigate archival relationships between groups of records, agents, and subjects.
  • Examples of large arrangement maps at the RAC include but are not limited to:
    • Commonwealth Fund records
    • Ford Foundation records
    • Population Council records
    • Rockefeller Foundation records
    • Nelson A. Rockefeller papers

Each individual map is:

  • A living document created, and maintained in Cartographer, an inhouse application developed in a cross-team collaboration with Processing, Digital Strategies, and Information Technology (IT).
  • Revised/updated whenever archival materials are processed, opened, or finding aids are created/removed.
  • To display your completed finding aid in an applicable map, contact the Assistant Director for Processing upon completion of your project.

Establishing Archival Context and Structure

Step 9 – Follow Context and Structure Recommendations in Project Vitals

To organize a project or collection, consider our five vital questions.

  1. What are these records?
  2. Who created them?
  3. What do they mean or represent?
  4. How, or by what process, were they created and/or maintained?
  5. Are there any biases, institutional or personal, that might apply to the material?

Step 10 - Standard Arrangement

**Archivist imposed arrangement can negatively impact user trust, particularly for users from underprivileged or underrepresented communities. Altering the received physical order of a collection is NOT advised except in the rare case of a compelling user-driven need to significantly improve access.**

The most common and often the most appropriate arrangement action is to leave things as they are. In such cases, the processing archivist should:

  • Maintain original order/as received
  • Conduct minimal physical arrangement
  • Not undertake rearrangement of material within folders

Original order should be maintained when that order accurately reflects the records, the manner in which the records were created and maintained, and the function or activities of the creator(s).

Often it may not be known if the existing arrangement comprises the original order. In cases such as this, the processing archivist consider retaining the existing order “as received”.

In addition to Original Order or “As Received”, common arrangement types include: Type/Format; Activity/Function; Alphabetical; and Chronological order.

If assigned a project which necessitates considering broad arrangement options, consult the Assistant Director for Processing and receive their approval before proceeding to alter the existing arrangement.

Culturally Competent Description

Once archival context has been established, and a structure of the records is proposed, or otherwise identified and understood, archival description begins, and this work continues through all phases of the project until completion.

Description is the creation of an accurate representation of the archival material by the process of capturing, collating, analyzing, and organizing information that serves to identify archival material. Description also explains the context, records systems, and structures of power, privilege, and influence that produced the archival material, as well as the results of these processes. Archives are complex, just like the human interactions they document. Our primary task is to make access to the collections, and the associated data, as easy as possible for users.

Archival description most often consists of a multi-level structure that reflects the organization of the material, and the relationship between those levels, beginning with a description of the whole and most often continuing with description of the parts. It may consist only of a description of the whole, but most often the description tends to be more and more detailed with progression through the parts. Within a given collection or project, and depending on the chosen processing level, some parts may be described at greater or varying levels of detail, with the resulting finding aid intentionally flexible in order to produce a variety of descriptive outputs.

At RAC we strive to create culturally competent archival description, which is the documenting of materials with an awareness of one’s own cultural identity as well as the cultural identities of donors, sellers, custodians, creators, subjects, and users. It includes the ability and willingness to learn continually about how to apply those skills and knowledge in writing descriptive metadata.1 Culturally competent archival description also strives to represent “accurately, appropriately, and respectfully” marginalized, underrepresented, and historically oppressed people and contexts through descriptive metadata practices, whether during initial description and processing of current projects, or reevaluation and reprocessing of legacy holdings.2

As we actively create new description, as well as reexamine description of legacy holdings, we understand that description itself can perpetuate systemic structures of white supremacy, misogyny, and other forms of oppression. This section serves to provide guidance for RAC Archivists who create and encounter archival description as we move toward more inclusive, honest, and accurate description.

Pre-Description Guiding Statements and Questions

Before writing archival description, consider these points:

  • Archives are not neutral and cannot be considered solely objective.
  • Through our work, archivists are active participants in the creation and preservation of the historical record.
  • Are there any biases, institutional or personal, that might apply to the material?

Language, Naming Choices, and Power Dynamics

  • Avoid passive voice; assign agency to individuals and organizations. Example of passive voice:

    Example of passive voice: “The land was cleared of more than 200 brownstone houses and other antiquated buildings, and the first fourteen buildings of the Rockefeller Center were erected between 1931 and 1940.” Biographical note, John D. Rockefeller, Jr. Papers.

  • Use direct language. Avoid euphemisms to ensure that researchers can locate materials.

    The subject term, “Japanese Americans -- Evacuation and relocation, 1942-1945,” should not be used and should be replaced with another appropriate subject term, for example, “Japanese Americans – Internment, 1942-1945”

  • Use accessible language.
  • Include and identify all known key creators.
  • While crafting archival description, consider legacy descriptions or donor-generated descriptions as one potential source of information, that can and should be assessed and evaluated for biases.
  • Do not valorize white male creators. Example from the biographical note of the John D. Rockefeller, Jr. papers:

    “It may be said that John D. Rockefeller, Jr.'s life was directed toward the ideal chiseled in stone over International House in New York: ‘That Brotherhood May Prevail.’ He pursued this ideal through all means -- race, religion, business, education, welfare and science.”

  • Avoid “peacock terms” that promote individuals or organizations with little context or citation. See Wikipedia:Manual of Style/Words to watch. Examples:

    “iconic,” “visionary,” “most influential”, “leading,” “renowned”

  • Ensure proper representation is given in archival descriptions where cultures are being depicted or referenced. Whenever possible, identify a community in its own preferred language. Determining these names or terms may require additional research.
  • Avoid language and/or terminology that leads to erasure of marginalized groups.

    Be mindful when using terms like “minority,” “minorities,” or “communities of color.” These terms can obscure specific identities.

  • Whenever possible, identify women beyond their husbands’ names; this may require additional research.

    In terms of applying reparative actions to legacy description that identifies women by their husbands’ names, the names should be deleted and replaced with names that center the woman’s identity. For example, for this legacy file title “Pierrepont, Mrs. John (nee Mrs. A. Peter Dewey), 1941-1950”, delete the text and replace it with “Pierrepont, Nancy Weller”.

  • For further guidance, consult the Anti-Racist Description Resources from the Archives for Black Lives in Philadelphia and the University of Iowa’s Style Guide: Race and Ethnicity The RAC has adopted the Society of American Archivists’ endorsed Describing Archives: A Content Standard (DACS) to govern the archival description of all RAC archival holdings, regardless of form, medium or creator (individuals, families or corporate bodies). For details, please refer to https://saa-ts-dacs.github.io/.

Redescription

As a project finishes, or as processing of a given collection concludes, the Processing Team periodically takes further steps to evaluate, improve, and optimize the description through editing, updating, and at times performing reparative redescription, of all collection guides as necessary. Project assignments given to any processing archivist may, and often do, include redescription activities.

Redescription projects may take the form of targeted efforts to improve or enhance description in accordance with institutional or team initiatives, such as large-scale data cleanup efforts, as well as evaluation, maintenance, and expansion of additional access points. Significant priority is also placed on repository wide ongoing reparative activities such as the Culturally Competent Description Action Campaign.

Largely due to the archival professions’ preferred processing practice of retaining original order and original description, including donor-sourced titles, problematic language is present in finding aids throughout RAC’s archival holdings, and may exist at any hierarchical level of archival description (collection, series, file, etc.). The descriptive elements most commonly impacted include, but are not limited to:

  • File Titles
  • Component Titles (record group, subgroup, series, subseries)
  • Associated notes (at any applicable level):
  • Biographical notes for individuals
  • Institutional history notes
  • Scope and Content notes
  • Agent terms
  • Subject terms (geographic, genre form, topical, including some authorized terms)

Revision of the file title, or other prominent titles such as series or record group, may require corresponding changes to the physical materials like archivist created folder labels or box labels.

Building the Finding Aid

At RAC all archival description is recorded in our collections management system (ArchivesSpace), and all completed processing projects are displayed online through our collection guides website DIMES.

100% of our online guides conform to DACS single-level minimum compliance. To ensure that the quality and completeness of our guides is maintained, we take steps to comply with DACS as soon as the initial draft finding aids are created, and we run the compliance evaluation tool DACSSpace annually, an application created and maintained by our colleague Amy Berish, to identify and address any applicable data compliance issues.

Step 11 - Receive a Resource ID from the Assistant Director for Processing (DACS 2.1.3)

  • Each resource record/finding aid at RAC is assigned a unique ID.
  • Resources created during Processing are assigned a FA#.
  • Resources created during Accessioning are assigned an AC#.
  • AC# records may be converted to FA# during processing.
  • The Resource ID (FA#) may be included in the Project Vitals or may be assigned at a later date (as needed).

Step 12 - Create (or receive from the Assistant Director for Processing) a Shell Resource Record in ArchivesSpace for the Finding Aid

  • For assistance or instruction with creating the shell, please see the Assistant Director for Processing.

Step 13 - Establish DACS Single-Level Minimum Compliance at the Collection Level/Highest Level of the Finding Aid

1. Title (Collection Level/Highest Level of finding aid) (DACS 2.3)

RAC has established a normalized descriptive Naming Convention, which augments DACS guidelines, pertinent only to the top level of a finding aid.

For archives consisting of multiple collections, the title consists of:

  • The name of the Creator (individual, corporate body) + the term records, papers or collection (as applicable) + the collection name.
Examples

Ford Foundation records, Oral History Project

Ford Foundation records, Urban Poverty Program, Office Files of Robert Curvin

Rockefeller University records, Plant Operations

Rockefeller University records, President, Joshua Lederberg

Rockefeller Foundation records, Cox and Reece Investigations

For Rockefeller University faculty or Rockefeller Institute for Medical Research Scientific Staff collections, the title consists of:

  • The name of the Creator (individual) + the term papers or collection (as applicable) + the term Rockefeller University Faculty or Rockefeller Institute for Medical Research Scientific Staff (as applicable).
Examples

Ralph Steinman papers, Rockefeller University Faculty

Maclyn McCarty papers, Rockefeller University Faculty

Max Bergman papers, Rockefeller Institute for Medical Research Scientific Staff

The top level presented in RAC’s finding aids vary depending on the level being described (Collection, Record Group, Subgroup, Series, Subseries). When describing components within a collection at the highest level of a finding aid, the title consists of:

  • The name of the Creator (individual, corporate body) + the term records, papers or collection (as applicable) + the name and number (or letter) of the component being described.
Examples

Commonwealth Fund records, Commission on Women's Health, SG 2, Series 4

Rockefeller Foundation records, Projects, RG 1.2

Office of the Messrs. Rockefeller records, Cultural Interests, Series E

Nelson A. Rockefeller Gubernatorial records, Speeches, Series 33

Nelson A. Rockefeller Vice Presidential records, New York Office, Series 10

Consult the Assistant Director for Processing for more information regarding the RAC Naming Convention.

Additional Required Collection Level Elements

2. Extent (DACS 2.5) (in cubic feet and/or born-digital in estimated number of files and MB/GB or appropriate measure)

  • Use the Extent Calculator in ArchivesSpace to calculate and record extent at:
    • Collection Level/Top Level of the finding aid
    • Each major component level (RG, SG, Series) as applicable
  • 1 record storage box = 1.3 cu. ft.
  • 1 letter document box = 0.38 cu. ft.
  • 1 legal document box = 0.47 cu. ft.
  • 1 letter half-document box = 0.19 cu. ft.
  • 1 legal half-document box = 0.24 cu. ft.
  • Example: 30 cu. ft. and 3000 digital files (1 GB)

3. Date (DACS 2.4)

  • Record inclusive date when known (Begin Year–End Year).
  • Recording bulk date is optional.
  • Date may initially be recorded as “undated” in order to save the shell record.
  • Use the Date Calculator in ArchivesSpace to calculate and record dates at: - Collection Level/Top Level of finding aid - Each major component levels (RG, SG, Series) as applicable

4. Language (English) (DACS 4.5)

  • Records the Language term and script predominately represented in the material described.
  • The overwhelming majority of RAC’s collections are in English, with Latin script.
  • A natural language note should also be recorded at the top level of the finding aid for user readability.

5. Creator/Author (DACS 2.6)

General Guidelines for Assigning Agents

Identifying, assigning, and creating agents can significantly improve our capacity to tell the stories of people, families and institutions; illuminate their role(s) in the records we hold; and help to document their activities and relationships with others across our archival holdings. The associated data also expands user access and provides new avenues for research in our collections.

  • RAC has compiled a significant library of agent records.
  • Focus on using and assigning existing agents whenever applicable.
  • Link the following information to agent records when assigned
    • Role – Creator
    • Relator – Author or Contributor
  • Assign agents for primary creators or contributors at the collection level/top of finding aid.
  • Efforts should also be made to assign agents for those known individuals actively creating or contributing to the records and conducting the work of an office/foundation/institution/organization on a daily basis.
  • For any questions regarding assigning agents, please contact the Assistant Director for Processing.
  • Foundation records
    • Assign the given Foundation as creator/author for all Foundation records.
    • Assign significant Foundation to the personal collections of applicable officers (creator/contributor)
      • Ford Foundation
      • Rockefeller Foundation
      • Rockefeller Brothers Fund
      • Other foundations
      • Goal: These finding aids will have the individual officer as the creator/author, and the significant foundation as creator/contributor.
    • Assign primary individual (creator/author) to Ford Foundation office files.
      • Goal: These finding aids will have two creator/authors assigned – the individual officer, and the Ford Foundation.
    • Agents may also be assigned to Program/Department/Office within a Foundation.
  • Rockefeller Family
    • Assign primary Rockefeller family member(s) to applicable guides as creator/author or creator/contributor (as applicable).
    • Assign the following agents (creator/author) to the finding aids of Rockefeller family associates papers:
      • Primary associate
      • Primary Rockefeller family member
    • Consider assigning agents for prominent collaborators (creator/contributor) when appropriate.
  • Rockefeller University
    • Rockefeller University records
      • Assign Rockefeller University as creator/author.
    • Faculty papers
      • Assign Rockefeller University as creator/author.
      • Assign primary faculty member (creator/author).
      • Goal: These guides will have two creator/authors assigned – the faculty member, and the Rockefeller University.
    • Assign agents for Laboratory Heads or prominent collaborators to applicable RU records or papers (creator/contributor).

General Guidelines for Creating Agents

**Prior to creating any new agents – Search agent records to confirm if a record exists for the given agent. If a record exists do NOT create a new agent**

  • If a record does NOT already exist for a given agent, a new record may be created.
  • Record the following information in newly created agent records
    • Agent Type
      • Person
      • Corporate Entity
        • Corporate agents may require recording of the language/script.
      • Family
    • Name Form
      • Primary Part of Name
      • Rest of Name
      • Use Authorized forms of names whenever possible, such as:
        • NACO Authority File
        • SNAC
        • Union List of Artists Names
        • Other more specific authority files as applicable
      • Recording the Authority ID is optional.
    • Dates of Existence
      • Format: Year-Year (unless specific birth/death dates are known)
      • Date Expression (Begin and End dates)
      • Standardized Date (Begin and End dates)
    • Biographical/Historical Note
      • The Agent record serves as the data home for biographical/institutional history notes.
      • Easily accessed, revised and maintained and linked to all applicable collections.
  • All Agents should be published.

Merging Agents

  • In the rare case when two agent records exist for the same agent, contact the Assistant Director for Processing.
  • Merging agents can result in DATA LOSS.
  • **Merging agents must be pre-approved, or otherwise conducted, by the Assistant Director for Processing.**

6. Scope and Content (DACS 3.1)

The processing archivist should document the nature of the materials and activities reflected in the unit being described to enable users to judge its potential relevance. The Scope and Content may include information about any or all of the following, as appropriate:

  • The function(s), activity(ies), transaction(s), and process(es) that generated the materials being described
  • The documentary form(s) or intellectual characteristics of the records being described (e.g., minutes, diaries, reports, watercolors, documentaries)
  • The content dates, that is, the time period(s) covered by the intellectual content or subject of the unit being described
  • The geographic area(s) and places to which the records pertain
  • The subject matter to which the records pertain, such as topics, events, people, and organizations
  • Any other information that assists the user in evaluating the relevance of the materials, such as completeness, changes in location, ownership, and custody while still in the possession of the creator, etc.
  • This information should be derived from the materials themselves and any relevant documentation.
  • When the unit being described is known to be incomplete due to reasons other than archival appraisal decisions, information about the gaps should be recorded.

7. Conditions Governing Access (DACS 4.1)

General Collection-Level Access Statements Approved for Use at RAC

The following four approved collection-level standard access statements cover the large majority of RAC collections. Select the access statement that fits the collection. If the project entails processing a collection with unique conditions, contact the Assistant Director for Processing.

General Collection-Level Access Statement I

Open for research. Brittle or damaged items are available at the discretion of RAC.

Basic Access Statement I is appropriate if/when the collection/finding aid contains only open materials and includes NO digital, AV, film, or memorabilia items.

General Collection-Level Access Statement II (appropriate for many RAC collections)

Open for research with select materials restricted as noted. Brittle or damaged items are available at the discretion of RAC. Researchers interested in accessing digital media (floppy disks, CDs, DVDs, etc.) in this collection must use an access surrogate. The original items may not be accessed because of preservation concerns. To request an access surrogate be made, or if you are unsure if there is an access surrogate, please contact an archivist.

When requesting to view audiovisual material, please refer to the Title and the AV Number (example: AV 1916). Researchers are asked to check the "Restrictions" note for each Title. If a Title does not currently have an access copy, please contact a RAC archivist for further instruction.

General Collection-Level Access Statement III (For materials governed by a date embargo)

Records more than (25/10/XX) years old are open for research with select materials restricted as noted. Brittle or damaged items are available at the discretion of RAC. Researchers interested in accessing digital media (floppy disks, CDs, DVDs, etc.) in this collection must use an access surrogate. The original items may not be accessed because of preservation concerns. To request an access surrogate be made, or if you are unsure if there is an access surrogate, please contact an archivist.

When requesting to view audiovisual material, please refer to the Title and the AV Number (example: AV 1916). Researchers are asked to check the "Restrictions" note for each Title. If a Title does not currently have an access copy, please contact a RAC archivist for further instruction.

General Collection Level Access Statement IV (For Rockefeller family collections)

Open for research with select materials restricted as noted. Brittle or damaged items are available at the discretion of RAC. Material in the Rockefeller family collections that provides the names, correspondence, or activities of living members of the Rockefeller family, and/or documents the net wealth of any Rockefeller family members, is restricted. Researchers interested in accessing digital media (floppy disks, CDs, DVDs, etc.) in this collection must use an access surrogate. The original items may not be accessed because of preservation concerns. To request an access surrogate be made, or if you are unsure if there is an access surrogate, please contact an archivist.

When requesting to view audiovisual material, please refer to the Title and the AV Number (example: AV 1916). Researchers are asked to check the "Restrictions" note for each Title. If a Title does not currently have an access copy, please contact a RAC archivist for further instruction.

Notes on the four general collection-level access statements

  • The term “with select materials restricted as noted” should be added or removed depending on if the contents of the entire guide are open.
  • The portion of the statement pertaining to digital and/or audiovisual materials (see below) should ONLY be included if the collection/finding aid actually contains those materials.

Format-Based Collection Level Access Statements Approved for Use at RAC

The access statement used should only refer to the terms of access for specific formats if those formats are indeed found in the collection/finding aid being described.

1. For collections/finding aids which contain digital media the following language should be added to the end of the access statement

Researchers interested in accessing digital media (floppy disks, CDs, DVDs, etc.) in this collection must use an access surrogate. The original items may not be accessed because of preservation concerns. To request an access surrogate be made, or if you are unsure if there is an access surrogate, please contact an archivist.

2. For collections/finding aids that contain audiovisual materials the following language should be added to the end of the access statement

When requesting to view audiovisual material, please refer to the Title and the AV Number (example: AV 1916). Researchers are asked to check the "Restrictions" note for each Title. If a Title does not currently have an access copy, please contact a RAC archivist for further instruction.

All inquiries to view films require advanced notice of at least 2 business days, and may necessitate notice of up to one week. Individual items, including those that are not available in modern formats, may be restricted from access at the discretion of RAC.

3. For collections/finding aids that contain memorabilia/realia the following language should be added to the end of the access statement

All inquiries to view memorabilia require advanced notice of at least 2 business days, and may necessitate notice of up to one week. Items are available at the discretion of RAC.

Step 14 - Add Additional Required Elements to the Shell Record

In addition to single level compliance – RAC required data elements for the shell include:

  1. Finding Aid Title
    • The bibliographic title of the finding aid itself.
    • The standard term “A Guide to the…” Is used to differentiate the finding aid title, for example: “A Guide to the Warren Weaver papers”
  2. Finding Aid Filing Title
    • An edited version of the Formal Title intended to facilitate searching, sorting and browsing of finding aids.
    • In most cases, the Finding Aid Filing Title is the same as the Formal Title. For example:

    Rockefeller Brothers Fund records

    William T. Grant Foundation records

    Ford Foundation records, Office of Communications, Advisor on Communications, Office Files of Fred W. Friendly

    • For personal papers, the Finding Aid Filing Title should be listed with the last name first, followed by other names in parenthesis.

    Weaver (Warren) papers

    Frantz (Harry S.) papers

    Harrar (J. George) papers

  3. EAD-ID (FA#.xml)

    • This is the unique identifier for the EAD file which is exported out of the collections management system for online display in DIMES.
    • PDF versions of the EAD file can also be exported.

Create Inventory

Step 15 - Create Inventory, or Build Upon/Revise/Confirm Existing Inventory

  • At Processing Level 1, particularly during initial ingest and accessioning, the minimum requirement is single-level general description of contents, which can serve in lieu of an inventory.
  • General description can be a summary statement describing the whole such as:

Accession contains grant files, Board of Directors records, and subject files.

  • General description of contents from an appraisal report, or from documents provided by the donor/depositor, could also serve in lieu of an inventory.
  • Ideally, the donor/depositor will provide RAC with an inventory.
  • If the inventory prepared by the donor/depositor adequately meets basic processing requirements, no additional RAC-produced inventory is required at accessioning.
  • For the purposes of Level 1 inventorying, file-level description also can be utilized to generally describe the contents of an entire file, often spanning multiple folders or multiple boxes, with individual instances assigned for each box.
Examples

Title: Grants, A-D

Instance 1: Box 1
Instance 2: Box 2

Title: Board of Directors

Instance 1: Box 4
Instance 2: Box 5

Title: Subject Files

Instance 1: Box 6

The inventory/container list, at all levels of Processing, should focus on FILE LEVEL description, with each archival object/inventory entry comprised of four vital parts

  1. Title
  2. Date
  3. Instance information
  4. Associated notes

Remember FILE LEVEL description does NOT equate to FOLDER LEVEL description.

In multi-level description, always remember to focus on the level being described (Collection, Record Group, Subgroup, Series, Subseries, File) with the description reflecting the arrangement and the inherent relationship among and between the records of each level.

Describing Titles - The Basics

See section 2.3 of DACS for a complete description of the guidelines for the title element. Guidelines for establishing name authorities and forms of names including those of persons, families, geographic names and corporate bodies are available in DACS -Part II and Chapter 10.

  • Title is intent on concisely describing the content or nature of the file.
  • The Title for each file should answer the question – What is this file? Or, what is the content of this file?
Example

Title: Board of Directors Meeting Minutes

  • The File Title can be a Formal Title (supplied by the creator) or it can be a Devised Title (created by the archivist during processing).
  • In multilevel descriptions the name segment, or a portion of the name segment, may be inherited from a higher level of description and may not need to be explicitly stated at lower levels.

A. Titles should be brief, yet uniquely identify the material.

B. Titles should not end with a period.

C. When listing the contents of a file in an alphabetical run, list the letters actually found within the run, such as “A-Z”, or portion of the run, such as “C-Y”. If unaware of the specific letters represented, use “A-Z”.

D. Use a comma when recording locations. For example: Cummings Lecture at the Educational Alliance, New York City

E. All RAC finding aids should be written predominantly using the English language. When working with titles in languages other than English, use the original title when feasible. If the language in question uses a different alphabet, such as Russian, provide an English language description of the type of records housed in the file (if known) and include a language of materials note at the appropriate level to indicate the language used.

Example

Title: Reprint

Language of materials note: In Russian

Recording Names in the Title Element

It is important to note that this section addresses NAMES USED IN THE TITLE ELEMENT ONLY. If a name has been chosen for recording in the name of creator element, an authority record, or as an access point, the form of that name is established by approved sources and national standards, such as the Library of Congress Authorities and the Library of Congress Subject Headings.

A. Record the name(s) of the person(s), family (families), or corporate body predominantly responsible for the creation, assembly, accumulation, and/or maintenance of the records. (DACS 2.3.4)

B. Record the name(s) in the form by which the creator(s) or collector(s) is generally known, and by using the natural language order of the English language (or the natural language order of the language of the person or corporate body’s country of residence) (DACS 2.3.5).

Example

Detlev W. Bronk

In ordered lists, the Surname (often the name by which the creator is generally known) can be presented first.

Example

Bronk, Detlev W.

C. Abbreviations are strongly discouraged.

When recording the name of an individual, family, or a corporate body, use the full name rather than an abbreviation. For example, Detlev W. Bronk should be used rather than DWB or DB. Use of abbreviations, instead of the full names, for a limited number of the most commonly found names in the RAC collections is acceptable (such as the abbreviation JDR Jr. for John D. Rockefeller Jr.). Use of abbreviations is also approved when an abbreviation is commonly known and used by the general public.

Examples

NATO can be used rather than North Atlantic Treaty Organization

FBI can be used rather than Federal Bureau of Investigation

D. Acronyms should be spelled out, with the full name followed by the acronym provided in parenthesis. This allows researchers to search for terms using the name or the acronym.

Example

National Academy of Sciences (NAS)

E. Titles recording multiple names should be written as follows:

  • If three or fewer persons are credited with, or predominantly responsible for, the creation of the materials as a whole, record their names in direct order. (DACS 2.3.7)
  • If more than three persons are responsible for the creation of the materials, record the name of the individual who predominates. (DACS 2.3.8) Optionally, include all the names of the persons who are credited with or predominantly responsible for the creation of the materials. (DACS 2.3.9)
Examples

John Smith and Al Jones

John Smith, Al Jones, and Paul Adams

If 6 people are responsible for creating the materials and John Smith predominates, record John Smith as the title (or the names of all 6 people)

F. If multiple files contain the same basic title, with varying added components, the components should be subdivided with a hyphen or colon to signify subordination.

Examples

Job Jackets - Maps for Trustees

Job Jackets - Open House

G. Titles physically written or recorded on folders may be abbreviated or truncated. Corresponding finding aid description should follow all stated rules and guidelines.

Adding Context to Original Titles and Names of Organizations

Original Titles

Formal titles of published and distributed works such as films, publications, art, or maps can include dehumanizing, dated, or offensive language. For example:

The Ford Foundation film Education in Eskimo.

When describing a published or distributed work with a problematic formal title:

  • Retain the original title to accurately describe the name of the work.
  • Add the appropriate contextual statement at the collection level if one is not already applied.
  • Remove harmful language that is carried into archival description if it is not directly referencing the title of the work. For example:

The scope and content note from the Ford Foundation film mentioned above: “A documentary about bilingual education in Eskimo communities in Alaska. The title in Eskimo is Elitnaureyaraq Yupigtun. Produced by the US Department of the Interior, Juneau Area Office.”

Names of Organizations

Problematic or outdated terms may be found within the official names of organizations documented within the records of the RAC. These names can appear in object title and other descriptive metadata fields. For example:

File title - National Association for the Advancement of Colored People (NAACP)

Collection title - Museum of Primitive Art records

Like the formal titles of films, books, and other published works, these official organization names should not be changed. Instead, archivists should follow similar procedures for supplying context to the records’ description and ensuring the harmful language contained within the organization name does not carry over to other parts of the description.

The scope note for the file American Institute for Retarded Children, 1956-1957 carries the title into the description: “Pearl Buck referred to Rockefeller Brothers Fund for support of proposed program for retarded children. Correspondents include Stacy May.”

If the organization in question has continued to operate into present times, its official name may have likely been changed to reflect a more sensitive outlook. If the organization is represented within an agent record, add the updated name to the title of the agent record when appropriate and add the retired name to the alternative name field. If a file title needs further contextualization, add a scope and contents note at the file level with the updated name.

National Council of La Raza is now UnidosUS

Describing Dates

Timewalk

  • RAC actively uses an automated date parser plug-in for ArchivesSpace called Timewalk.
  • Timewalk will automatically parse any values in ArchivesSpace’s Date Expresssion field into ISO8601-compliant Begin and End values. In addition, it will parse out date certainties and set the calendar/era values automatically.
  • Automatically creating begin/end dates in a standardized manner facilitates accurate use of the Date Calculator in ArchivesSpace.
  • To ensure that Timewalk records dates properly, please follow all recommendations in this section for the creation of date expressions.
  • After creating the Date Expression and entering all applicable data in the field, record the Date Type as Inclusive Dates, and then leave the Begin/End date fields blank. When the record is saved, TimeWalk will automatically create the begin/end date.

Date Expression

  • Answers the question – When is the content of this file created?
  • It can be a single date (like the date of a meeting), or a range of inclusive dates.
  • At RAC the date assigned is most often an inclusive date.
  • Date should be expressed as year month day.
Example

1982 April 5.

  • When describing consecutive spans of years, record the full years:
Example

1941-1944.

  • When describing multiple non-consecutive dates, use a comma:
Example

1941, 1953, 1962.

  • Date ranges that encompass a combination of consecutive and non-consecutive date spans should be recorded as:
Example

1941-1944, 1953.

  • If the material in the file is not dated, record it as “undated”.
  • If file contents are differentiated by months rather than years, record the dates as:

1915 January-May

1915 June-December

  • If the contents are differentiated by days, or days, months, years, record dates as:

1915 January 5-12

1915 January 5-June 30

1915 January 5-1916 March 10

  • If the dates of the material are unknown, leave the field blank.

Instance Information

  • Instance information should answer the question – Where is the file?
  • The instance connects intellectual control with physical control of the file.
  • FILE LEVEL description does not directly equate to FOLDER LEVEL description.
  • Instance Information records the carrier or container. Most often the container is a Box, Box/Folder. In some cases, it is used to record the Reel/Frame of microforms, or the Unique ID (AV#) of an audiovisual item.
  • The primary instance (most often a “Box”) is designated as a Top Container. For assistance with Top Container creation see Assistant Director for Processing.
  • It also records the instance type – most often “Mixed Materials”. “Microform”, “Moving Image”, “Still Image” are also common types used.

Associated Notes

  • Notes most often used at the FILE Level are the Conditions of Access note, and the Physical Description note (which is used to answer the question – What is this physically?).
Examples

Title: Board of Directors Meeting Minutes
Date: 1947
Instances: Box 1, Folder 1
Associated Notes: Only used when pertinent.

Title: Board of Directors Meeting Minutes
Date: 1948-1952
Instances: Box 1, Folders 1-5

Title: Board of Directors Meeting Minutes
Date: 1953 June-1954 July
Instance: Box 2

Title: Board of Directors Meeting Minutes
Date: 1955 July 1-1958 July 15
Instances:
Instance 1: Box 2
Instance 2: Box 3
Instance 3: Box 4

When the instances span multiple boxes, assigning each box to a separate instance allows each box to be designated as a Top Container and each barcode to be individually documented.

Stabilize and Describe At-Risk materials

Step 16 – Stabilize and Describe At-Risk Materials

Identify and provide care for those materials, regardless of format, that are at greatest risk for obsolescence or data loss to facilitate their stabilization, preservation, further processing, and researcher access.

At-risk materials should be retained within the originating collection. Some commonly found at-risk materials require specialized care to enable their preservation, while others need care to facilitate migration, extend their lifespan, or otherwise limit the risks of loss.

*All processed at-risk materials should be arranged in accordance with the Project Vitals, approved by the Assistant Director for Processing, and described in the finding aid at applicable levels within the originating context. Materials arranged and described together may be physically stored separately. The associated description should also detail any applicable conditions/restrictions of access and use as well as any significant stabilization or preservation issues*

*Transferring Material to the Library Collection is a legacy practice no longer followed or recommended*

  • All pertinent books, brochures, grant reports, journals, pamphlets, papers, periodicals, reprints, studies, and publications found in an archival collection should be retained within the body of the originating collection.
  • Previous practice to care for these materials as Library items had a detrimental impact on access and often resulted in the loss of originating context.

Archival Materials to be retained within paper-based collections

A. All materials that are an integral part of the originating accession/collection should be retained, including those for which provenance and the contextual relationship among and between associated records is essential.

B. Digital media.

  • Digital media should be retained within the originating file or an accompanying associated file (as feasible), and inventoried at the file-level.
  • When processing:
    • A physical description note should be included at the file-level indicating the existence of the digital media.
    • When the entire contents of the file is digital media, the INSTANCE TYPE “Digital” should be used.
    • When the file also contains paper records or other materials, the INSTANCE TYPE “Mixed Materials” should be used.
    • Include a conditions governing access note at the file-level indicating either of these two options (as applicable):
      1. Access copy available.
      2. Researchers interested in accessing digital media (floppy disks, CDs, DVDs, etc.) in this collection must use an access surrogate. The original items may not be accessed because of preservation concerns. Access copy currently unavailable. Please contact a RAC archivist for further instruction.
  • The processing archivist will:
    • Receive training to develop the necessary proficiencies for each of the common removable media types and sizes.
    • Appraise and assess the eligibility of the item(s) for preservation in the RAC digital repository.
    • Image the removable media, note the presence of the item and document the imaging process in the digital media log and finding aid. See Step 22 for details.
    • Describe the resulting file(s), within originating context, in aggregate in the finding aid and insert the applicable Processing Information Note.
    • After imaging the original digital media should be submitted for disposal in accordance with RAC Collections Management procedure.

C. Oversized materials (larger than legal size: such as reports, studies or ledgers), index cards, postcards, unrolled or flattened materials, or other such files that can be appropriately preserved in specialized archival boxes.

  • When processing:
    • Collaborate with Collections Management as necessary.
    • Seek assistance from Collections Management to safely unroll or flatten applicable records.
    • Remove the entire file from its existing housing or storage and rehouse or relocate the file in its entirety to appropriately-sized archival folders and/or boxes. This rehousing may involve one file, a group of files, or the contents of an entire box. It should never involve an individual item(s).

    Example: rehousing material into legal-size box(es) and folder(s) that was originally folded/creased to fit in letter-size housing or vice versa.

    • No separation number(s) is assigned & the separation sheet is not used.
    • Finding Aid instance will designate the box and folder number(s) of the new container(s).
    • All appropriate Top Container data should also be recorded in the Collection Management System (Barcode, Location, & Container Profile).
    • Care of posters, blueprints and other flat files is addressed below.

D. Still images or small items found within files of mixed materials.

  • Individual items, small items (business cards, postcards, photographs, telegrams and greeting cards), or small volumes of still images should be retained within the originating file or an accompanying associated file (as feasible).
  • When processing:
    • Stabilize the items in accordance with recommendations from Collections Management.
    • A physical description note should be included at the file-level indicating the existence of the still images.
    • When the entire contents of the file is images, the INSTANCE TYPE “Still Image” should be used.
    • When the file also contains paper records or other materials, the INSTANCE TYPE “Mixed Materials” should be used.

E. Published articles, journals, magazines, papers, books, reprints, brochures, and pamphlets (and any other publications less than 50 pages) found within files of mixed materials.

  • Published material that is an integral part of the content and context of the originating collection/accession, or otherwise benefits from the retention of archival provenance, should be retained within the originating file or an accompanying associated file (as feasible).
  • Case by case recommendations will be addressed in Project Vitals preparation in coordination with recommendations of Collections Management/Library staff.
  • Process and describe the materials in accordance with all RAC standard practices and procedures.

At-Risk materials which may require specialized care

A. Brittle or damaged items or materials with significant/immediate preservation concerns.

  • Contact Collections Management immediately if the issue involves evidence of active, suspected, or dormant mold/mildew/pests.
  • Submit a Collection Concern form to Collections Management to document a non-immediate preservation issue(s).
  • Collaborate with Collections Management as necessary and implement any recommendations received.
  • Completion of the processing entails fully addressing each preservation concern(s) and documenting the necessary care in the completed finding aid, including but not necessarily limited to stabilization and/or the creation/assignment of any applicable containers/instances.
  • Select materials may require removal from the body of the collection, or from reference circulation, due to preservation concerns.

B. Audiovisual materials

  • Remove audiovisual material from its originating archival container and relocate the item(s) to a temporary container(s) exclusively holding AV material.
  • This newly created temporary container(s) should be used to house all AV holdings for a given processing project.
  • The number assigned to the temporary container should be “T 1”, “T 2”, etc.
  • No separation number is assigned, and the separation sheet is not used.
  • Finding Aid instance will designate the box and folder number(s) of the temporary AV container(s).
  • The INSTANCE TYPE “Audio” or “Moving Image” should be used as applicable.
  • All appropriate Top Container data should also be recorded in the Collection Management System (Barcode, Location, and Container Profile).
  • After recording all applicable Top Container data, notify the Audiovisual Archivist via Project Management software (Asana) to inform him/her of the existence of the AV material.
  • AV Archivist will assign permanent unique identifiers (AV Numbers), adjust the finding aid accordingly, and perform preservation tasks in accordance with the Guide to Processing Collections at RAC and the Collections Management Manual.
  • To facilitate long term storage the AV Archivist will make the following modifications to audiovisual top container:

    • For Film Material: All film is stored individually on a shelf and therefore is its own Top Container.

      Instance Type: Moving images

      Top Container:

      • Container Profile: choose correct film container
      • Container Type: Reel
      • Indicator: Unique AV Number (AV 100)
      • Barcode: Add barcode to film container
      • Add permanent location
    • For Audio or Video Material: Individual video and audio items are stored in a box. The box is the Top Container.

      Instance Type: Audio (for all audio) or Moving Images (for all video)

      Top Container:

      • Container Profile: choose correct box
      • Indicator: Enter box number
      • Barcode: Add barcode to box
      • Container Type: Box
      • Add permanent location

      Child Type:

      • Choose Reel (for open reel formats) or Tape (for cassette formats)

      Child Indicator: Unique AV number (AV 100)

  • Large volumes of audiovisual materials may necessitate the creation of an Audiovisual Series or Component.
  • Following digitization, the Processing Archivist may be consulted for creation of further metadata (Scope and Content note, etc.) or viewing/listening to the item(s) as applicable.

Describe audiovisual item(s) within originating context, using the following basic information:

Title

  • Description in the title element should be based on container and/or item annotations, usually on accessioning inventory spreadsheet.
  • Title may be revised after the material in question has been digitized and played if content and/or title differs from original container/item annotations.

Level of Description: File

Dates

  • Date for audiovisual materials is most often recorded as single creation date.
    • Label: Creation
    • Type: Single
    • Expression: YYYY-Month-DD (example: 1976 July 04)
  • If recorded date is not a single creation date follow standard practices.
  • Use “circa” or “c.” if approximating a date (example: c. 1970s)

Extent: TBD

Special Considerations for AV Description:

  • Who are the creators of the material? Who are the subjects of the material?
  • How is representation reflected visually and audibly in these materials? What power dynamics might be at play?

Notes:

  • Conditions Governing Access (choose appropriate note at the file-level)
    • Access copy available.
    • Access copy currently unavailable. Please contact a RAC archivist for further instruction.
    • The AV collection-level-note can also be used at the series level.
  • Scope and Contents (Collaborate with AV archivist to watch/listen to the material AFTER a digitized access copy is created, and generate applicable notes.)
  • Materials Specific Details (Add format or film gauge from accession inventory.)

    VHS, ¼ inch audio cassette, 16mm film.

    See PBCore controlled vocabulary or Audiovisual Archivist for details.

  • Physical Description (Data should always be written in the sequence below.)
    • Silent or Sound, Black and white or Color, xx minutes/hours.
    • Record, in Arabic numerals, the total duration/running time, normally rounded off to the nearest minute. If the duration is under 2 hours (120 minutes), describe in minutes. Example: 115 minutes. If duration is longer than 2 hours, describe in hours. Example: 2 hours, 15 minutes
  • Processing Information Note
    • The following statement should be used to provide further context and explain that titles within audiovisual materials may be offensive because original/formal titles are not changed and that description provided by a creator might be problematic.

      The Rockefeller Archive Center recognizes that our audiovisual materials may contain problematic language and/or content.

      The films, videos, and/or sound in this collection have not been altered in any way. All titles and/or content are illustrative of the creator’s original vision. As such, this audiovisual collection may contain discriminatory visual and/or aural content that is representative of racial, gendered, or ableist biases.

      Accompanying description, most often with creator or donor-generated language and terminology, has to this point been retained and maintained “as received” by RAC with minimal archivist intervention or augmentation.

      We acknowledge these problems and aim to cultivate inclusive representation and equity by reconsidering and enhancing our description of this audiovisual material with current sensibilities.

  • Physical Characteristics and Technical Requirements Note (Not required; use only if needed to inform user of important playback issues.)

    Sound has heavy static throughout recording; Image goes black intermittently near end of program.

For further assistance with the description of audiovisual materials please refer to:

C. Materials whose composition or format places them in particular risk of obsolescence or loss, such as:

Flat files that will benefit from long-term flat or oversized storage (drawers, cabinets, rolled canisters) such as architectural drawings, blueprints, maps, plans, and posters.

Ephemera, memorabilia, realia, and three dimensional objects.

Photographic albums or large volumes of still images, and/or scrapbooks.

Microforms (microfilm, microfiche, microform cards, or associated cartridges)

  • Seek assistance from, and work collaboratively with, Collections Management including formulating case by case recommendations in Project Vitals when feasible.
  • Inform Collections Management when flat files are encountered during processing, so that the Collections Management team can assign suitable flat file storage space.
  • Stabilize and house the materials in accordance with recommendations from Collections Management.
  • No separation number(s) is assigned, and the separation sheet is not used.
  • Finding Aid instance will designate the box and folder number(s) of the new container(s).
  • INSTANCE TYPE should be recorded as appropriate (“Mixed Materials”, “Still Image”, “Bound Volume”, etc.).
  • Inform Collections Management of all containers that house materials in this category (III.C) so that Collections Management can allocate space for these containers in suitable storage locations (Vault 105, Vault 106, Vault 107 drawers).
  • All appropriate Top Container data should also be recorded in the Collection Management System (Barcode, Location, and Container Profile).

Rehouse Archival Materials

Step 17 - Rehouse Archival Materials and/or Retain Existing Housing

(See Vitals)

  • Minimal Processing projects will most often retain existing housing when feasible.
  • Standard Processing projects will most often rehouse materials, with limited retention of existing housing when feasible.

Selecting Storage Containers and Enclosures

  • Select a box and folder size for documents based upon the dimensions of the majority of those to be contained within an enclosure. Most documents are up to 8 ½” in width and 11” in length, require a letter-size folder and box; papers larger than this size and up to 8 ½” in width and 14” in length, require a legal-size folder and box. Box sizes may vary within a collection.
  • Do not combine ‘unlike’ items in the same box.
Examples

Documents with metallic items (medals).

Documents with leather items which may be subject to deterioration (red rot) and bleed into the box.

Documents with liquid or powder in an envelope or container.

Coordinate with Collections Management whenever the project necessitates the use of non-standard containers — including but not limited to: oversized or undersized flat boxes, clamshell boxes, index card boxes, microform boxes, still image containers, newspaper-sized and textile boxes, and flat files or tubes.

The Collections Management team can assist with:

  • Ordering, or confirmation of on-site availability, of RAC-preferred containers.
  • Identifying box-types that may already be assigned container profiles in the RAC collections management system.
  • Measuring the boxes to create container profiles when needed.
  • Identifying and ordering of mylar, paper enclosures, support products, and other supplies which facilitate stabilization and long-term preservation.

Dispose of Used Boxes

Step 18 - Dispose of Used Boxes (Place in Operations Assistant office on Basement Level)

  • Disposing of used or damaged containers in an efficient and timely manner assists RAC with the institutional objectives of providing safe, secure, and clean spaces throughout all public and staff spaces including processing space, office space, hallways, staging areas, and vault spaces.

Label and Assign Instances

Step 19 – Label and Assign Instances (on Physical Files and in the Finding Aid, including Top Container/Container Profile)

  • For assistance with Top Container creation see Assistant Director for Processing.
  • Folders and boxes are commonly numbered consecutively from one box to the next. For example, if Box 1 contains Folders 1-10, then Box 2 would contain Folders 11-20.
  • With prior approval of the Assistant Director for Processing, projects may be processed with Folder 1-Folder X recurring in each box.
  • Required elements of description which must appear on all archival folders:
    • Collection (Abbreviation)
    • Box Number
    • Folder Number
    • Folder Title (may be abbreviated or truncated on physical folder)
    • Date
  • Additional description that will appear on the folder(s) (only if pertinent to the material being described):
    • Record Group (Abbreviation or Number)
    • Subgroup (Abbreviation or Number)
    • Series (Abbreviation or Number)
    • Subseries (Abbreviation or Number)
    • Index Number
    • Grant Number
  • RAC archival description will appear on processed folders as:

folder description

Preservation Issues

Step 20 - Submit Collection Concern form and discuss any Significant or Unexpected Preservation Issues with Collections Management.

Step 21 - Address Collection Concerns and Preservation Issues based on the Recommendations of Collections Management.

The Preservation Concern form is currently located on InteRACt front page

Please consult with Collections Management to request a stabilization consult, or if:

  • Material is damaged, torn or shedding.
  • Material has a particular odor or stickiness.
  • An unusual pattern exists on paper or film.
  • Edges of materials appear irregular or ragged and appear to have been ‘chewed’.
  • Material shows signs of active or dormant mold, mildew or water damage.

Mold and mildew are types of fungi which may appear as brown, blue-black, or green irregularly-shaped spots. Mold will predominate when environmental conditions exhibit fluctuations in temperature, high humidity, moisture, and limited circulation. Mold often develops after water damage has occurred. When mold is discovered, it is crucial to isolate any affected items to prevent further contamination. Please take immediate action by referring any mold or mildew issues to Collections Management.

Mold spores can easily spread. Do not attempt to remove mold with cloth. Although mold is likely to be in its dormant stage when discovered, it can be reactivated by compromising conditions.

Conservation Treatment

Conservation treatment of items often requires invasive procedures to restore damaged and brittle paper including de-acidification, fumigation, solvent treatments, polyester film encapsulation, and paper strengthening. Such procedures require the expertise of an approved conservator or an off-site conservation technician. If materials are discovered that may benefit from or require conservation treatment, please consult Collections Management.

Preservation During Processing

A. Metal Fasteners, Paperclips, and More

The physical condition, the nature and complexity of the records, their associated research value, and the level of scholarly use the records will receive following archival processing differ from collection to collection or project to project. Therefore, issues regarding the handling and/or removal of fasteners are addressed in the project vitals.

A. Fasteners serve a useful function in maintaining and preserving the physical and intellectual connections between the attached materials.

B. All fasteners have the potential to damage records, particularly metal (non-stainless steel) fasteners which are subject to rust.

C. It is neither necessary nor feasible to remove all fasteners from all archival materials during processing.

D. To ensure the long-term preservation of the archival materials, all rusty fasteners should be removed and replaced with plastic or stainless steel fasteners, regardless of the processing level of the project.

E. Often spiral bindings and ring binders are removed during archival processing, if removal of the bindings can be accomplished without damaging the archival materials. Any valuable information from the cover of a binder should be retained by inserting a preservation photocopy of the cover in the appropriate location within the file. Once any applicable information is retained, original binders should be thrown away.

B. Unfolding / Flattening

A. Folded items should be unfolded and flattened during processing, unless doing so will damage the materials.

B. Consult with Collections Management if the act of unfolding or flattening presents a high risk of damage to the archival material.

C. In many cases, legal-size folders and/or boxes will accommodate the unfolded item(s). Material larger than a legal-size folder should be addressed in accordance with the practices for oversized material. Extremely large flat item(s) may be relocated to a map/flat file. See Step 17.

D. If the present form of an original oversize item(s) holds no intrinsic value, a reduced-size photocopy of the item(s) can be made and retained in the file as replacement for the original(s).

E. When unfolding an item, do NOT force its flattening or fold it against the crease, which can tear the fibers and weaken the paper. If an item will not lay open, lay it against a flat surface and carefully weigh it down with beanbags or other flat weights to encourage the folds to relax and straighten.

F. Unfolded fragile material may be enclosed in Mylar to provide additional support to the records and/or exert a gentle flattening pressure on curling documents.

C. Multiples

A. If multiple exact copies of reports or other records are found within a collection or folder, retain two copies. (Retention of more than two copies of any individual item is reserved only for items with great intrinsic or monetary value such as photographs or films). Shred excess copies.

B. Copies of items with added research value, such as handwritten notations, comments, or revisions, are NOT considered exact copies, and should always be retained in the archival collection.

C. Some collection agreements contain stipulations regarding permanent removal, destruction or final disposition of materials removed from the archival collection during processing. Please consult with the Assistant Director for Processing to determine the stipulations relevant to the assigned project.

D. Preservation Photocopying (See Step 25)

Image Eligible Digital Media

Step 22 – Image Eligible Digital Media and document in Finding Aid/Digital Media Log

Disk images are single files containing the complete content and structure representing a data storage medium or device. There are two primary types of images, forensic images and logical images. Forensic images perfectly replicate the structure and contents of a storage device, and allow the viewing of deleted files and slackspace (i.e. the unused space on a disk). Logical images do not include slackspace. In general, all physical media is imaged forensically, and all digital materials received via electronic transfer are imaged logically. Variations are considered on a case-by case basis.

Images for most removable media are created in-house, and the hardware used to create the images varies depending on the digital media type.

The processing archivist will:

  • Receive training to develop the necessary proficiencies for each of the common removable media types and sizes (floppy disks, optical discs, drives, etc.).
  • Appraise and assess the eligibility of the item(s) for preservation in our digital repository in accordance with RAC collecting policy, copyrights, privacy rights, or any legal, or statutory requirements.
  • Inventory the item in the Digital Media Log.
  • Use the RAC standard workflows to virus check and image the eligible removable media.
    • Note the presence of the item and document the imaging process in the digital media log & finding aid.
      • In the Digital Media Log, the Processing Archivist should document:
        • the transfer method (disk image, rip tracks, copy files)
        • the item’s original carrier type.
        • the year of transfer
        • Using this data, record the information as a natural language statement in a Processing Information note in the finding aid:

      “This item was imaged from a CDROM in 2017

      The bold text shown in the above example is interchangeable based upon the metadata collected.

      • Insert the resulting formatted statement into a Processing Information Note
        in the finding aid.
  • If the item’s format is not listed in the Digital Media Log, fill out the Digital Media Vendor Transfer Form. The Digital Media Log is meant to track in-house transfers only. Any other formats must be sent out to a vendor to be transferred.

    • Individually label and folder each item. Include the Ref ID, finding aid number, and associated file title on the label of each folder.

    • Assign an additional instance for the digital media item within ArchivesSpace. This instance will be used to describe the “DM box.” Enter the box number (example: DM1, DM2, etc.), location information, and barcode of the DM Box. If the current DM box is full, create a new top container with the next sequential number and fill out the top container information accordingly.

    • Place the folders containing the digital media items inside the DM box and shelve in the appropriate location (see the Digital Media Vendor Transfer Form for details).

  • Describe the resulting file(s), within originating context, in aggregate in the finding aid.
  • After imaging, submit the original digital media for disposal in accordance with RAC Collections Management procedure.

Rights and Restrictions

Transparency in the dissemination of information is a critical element of the archival profession. For the Processing Team, the creation of this guide serves to document our policies, practices, and procedures. In the eyes of our users, transparency of the archival collections most often manifests itself through our Access and Use policies and the professional manner in which we systematically carry out our practices. We strive to inform users of all access and use conditions pertinent to our collections; identify and describe all restricted materials; and inform all users of what they can see and use, what they can’t see and use, and why. In addition, for those records that are currently restricted, we inform all users when they can access and use the materials. Entire archival collections or components of collections (record group, subgroup, series, subseries, box, folder, and item) may be restricted from public access or use.

During RACcess registration, all users agree to the terms of access/use of all RAC holdings.

If questions regarding restricted or potentially restricted materials arise during processing, please consult with the Assistant Director for Processing.

Step 23 – Consider Strategic Placement of Physical Folders Containing Restricted Material in Accordance with RAC Guidelines

  • Physical labeling of restricted folders and/or boxes is a legacy practice no longer followed or recommended.

  • All documentation of restricted materials is now maintained in the RAC Collections Management System, which works in tandem with our Request Broker to output restriction information on applicable Request Call Slips.

  • Consider options for strategic physical placement of restricted material in the project/collection to assist with efficient retrieval of archival records and effective vault and collections management.

  • Physically relocating restricted material to a segregated box(es), or to the end of a collection or series/component is preferable (when viable), rather than having restricted and open materials stored in the same box. This facilitates faster and more efficient retrieval of open archival records, and offers RAC the opportunity to store the restricted material at an RAC facility other than Hillcrest.

  • Regardless of physical location, the restricted material should always be described intellectually in the appropriate place within the finding aid.

Step 24 - Add File-Level Conditions of Access Notes for Restricted Material

The Conditions Governing Access note is used to document archival materials whose access is physically and/or intellectually restricted due to the nature of the information documented.

(For collection-level access statements please see Step 7 of establishing DACS-Single Level Minimum Compliance at the Collection Level)

A. Common Types of Restricted Materials in RAC Collections

1. Access Restrictions (DACS 4.1)

A. Donation/Deposit Agreement-based access restrictions (terms of the collection agreement with which the RAC has agreed to abide and/or subsequent relevant correspondence establishing such restrictions).

  • Each individual collection may have its own stipulations, so it is essential to become familiar with all the terms of the agreement for the specific collection pertinent to a processing project. Consult with the Assistant Director for Processing for copies of appropriate documents from the collection files.

  • Some collection agreements require the researcher to sign a RAC access and/or use permission form prior to conducting research. (Example: Population Council Accession 2). Any applicable permissions are addressed during RACcess registration.

  • Some collection agreements indicate that the archival material is closed pending processing. In this case, access/use is restricted until the collection is processed. The Assistant Director for Processing will designate the material “open” once the necessary work is completed.

B. For all newly processed or previously restricted materials NOT governed by specific stipulations of a collection agreement, the following terms of access apply (all restriction periods are from date of creation unless noted):

Record Type Description Restriction Period
Declinations 20 years.  
Development records May include fundraising, major contributions, appropriations, capital projects, recruitment campaigns, etc. 20 years.
Executive Search records Often include the records of an associated search committee or search team. Archival records may or may not document the selection/hire resulting from the search. 40 years.
Medical records/Health Information Medical records found within the body of an archival collection may include: methodologies, patient records, consent forms, medical or experimental research applications or approvals. Health information relates to the past, present, or future physical or mental health or condition of an individual (including symptoms, diagnoses, treatments, diagnostics, etc.), or the provision or payment of health care to an individual. 100 years.
Peer review Often found in foundation records or faculty papers, peer review is a common practice for grant or fellowship applications and scholarly publications to evaluate the worthiness of grant or award recipients or submissions to academic journals. These reviews are often submitted with an expectation of confidentiality, often with stipulations established by the given foundation. 40 years.
Personnel-type records Official personnel files are non-archival. Personnel-type records are materials with historical value within the body of an archival collection that in part document the terms or nature of an individual’s employment such as: employment history and dates, salary, position titles and responsibilities, and/or occupational events that occurred during the course of employment. 70 years (with discretion of archivist)
Property/Real Estate Archival records documenting the history and management of donor-owned property/real estate such as Harkness House, Asia House, Japan House 30 years
Publications Publicly available information including but not limited to: annual reports, blogs, bulletins, newsletters, news/press releases, quarterly reports, periodicals, programs reports, staff listings, and website announcements. None.
Safety & Security Security for buildings, expositions, events, homes, meetings, people, or property. Disposal or return to donor in accordance with established procedure for collection material.
Student records Vital records such as: admissions, personnel, human resources or registrar files are non-archival. Student records found within the body of an archival collection may include: grade reports; exams or test results; transcripts; correspondence; notes, papers, and drafts; laboratory notebooks; unpublished thesis and dissertations. 75 years.
Tax records Form 990s and any other publicly available records None.
Treasurer records (or similar) Treasurer’s files include but are not limited to: grants, vouchers, cash books, financial reports, payments, appropriations, expenditures, trial balances, and related files. 20 years.

The file-level Conditions Governing Access note should address the questions of WHAT, WHO, WHY and WHEN (The four W’s).

  • What is it? – Restricted material.
  • Who or What is being described? Is the Who or What important to the terms of access?
  • Why is it restricted? – Indicate the File Type or stipulation of restriction.
  • When will it be open? – Indicate the YEAR the material will be open (dependent upon the applicable terms of access).

  • Example of standard RAC file-level access note –

    Restricted – Executive Search – Open in 20XX

    Restricted – Personnel – Open in 20XX

    Restricted – Treasurer – Open in 20XX

C. Personally Identifiable Information – Content, outside any of the above-listed file-types, that is restricted due to individual privacy and security including but not limited to: social security numbers, tax ID numbers, and other uniquely identifiable data. Personally identifiable information is most often found in application packets within program, grant, or fellowship files. When processing or handling such records, please consult the Assistant Director for Processing and act cautiously to restrict sensitive materials.

Example of standard RAC file-level access note –

Restricted – confidential material

D. Terms of Access for Rockefeller family collections

  • Restricting materials simply because they document the actions or activities of living Rockefeller family members is a legacy practice no longer followed or recommended

  • For all newly processed or previously restricted materials documenting the actions or activities of living Rockefeller family members within Rockefeller family collections, the following terms of access apply (all restriction periods are from date of creation unless noted):

Record Content Description Restriction Period
Philanthropic & Charitable Activities   25 years (or death of documented family member(s) if earlier).
Personal Material & Activities Those materials that document both philanthropic and personal matters will be designated as personal (with discretion of archivist). 50 years (or death of documented family member(s) if earlier).
Immediate Inter-family, Extended Intra-family, or other sensitive matters With discretion of archivist. Until death of documented family member(s).
Estate matters   50 years after death of family member (unless otherwise noted below).
Estate - JDR Jr. Death: 1960. 50-year embargo would end 2010. None (Originally opened in 1998 by RAC Director Darwin Stapleton).
Estate - Martha Baird Rockefeller Death: 1971. 50-year embargo would end 2021. None (Originally opened in 1998 by RAC Director Darwin Stapleton).
Estate – Winthrop Rockefeller Death: 1973. 50-year embargo ends 2023. 2023
Estate – Abby Rockefeller Mauze Death: 1976. 50-year embargo ends 2026. 2026
Estate – John D. Rockefeller 3rd Death: 1978. 50-year embargo ends 2028. 2028
Estate – Nelson A. Rockefeller Death: 1979. 50-year embargo ends 2029. 2029
Estate – Laurance S. Rockefeller   2029 (in accordance with terms of donation of LSR papers, 2009)
1934 Trust Restrictions pertinent to the David Rockefeller papers lifted as of 2027. 2029 or 5 years after closure of the estate/death of last beneficiary (whichever is later) (remaining LSR restrictions lifted in accordance with terms of donation of LSR papers, 2009)
Estate – David Rockefeller   2042 (in accordance with terms of donation of DR papers, 2019)
  • The file-level Conditions Governing Access note should address the questions of WHAT, WHO, WHY and WHEN (The four W’s).
    • What is it? – Restricted material.
    • Who or What is being described? Is the Who or What important to the terms of access?
    • Why is it restricted? – Indicate the File Type or stipulation of restriction
    • When will it be open? – Indicate the YEAR the material will be open (dependent upon the applicable terms of access).
  • Example of standard RAC file-level access note -

Restricted – Living Rockefeller family – Philanthropy – Open in 20XX

Restricted – Living Rockefeller family – Personal – Open in 20XX

Restricted – Living Rockefeller family – Family matters - Restricted for Life

Restricted – Abby Rockefeller Mauze estate – Open in 2026

  • Create a second “unpublished” access note listing the specific name of the living Rockefeller family member(s) documented in the file.
  • Example of standard “unpublished” file-level access note -
Restricted – David Rockefeller Jr.
  • If the records are to remain restricted until the death of the Rockefeller family member(s), create a second “unpublished” access note:
    • Name of the family member(s) – Restricted for Life
David Rockefeller Jr. – Restricted for Life

E. Condition/Security-based access restrictions (DACS 4.2) - A fundamental objective of RAC is to facilitate the long-term preservation, conservation, and security of our archival holdings. At times the long-term care of individual items will take precedence over their availability for immediate access. Access to extremely valuable, fragile, brittle, unstable, or damaged items is restricted by RAC in order to protect these high-risk items from theft, damage, or further deterioration. (Example: JDR Sr’s Ledger A).

  • Examples of standard file-level access notes -

Brittle or damaged items are available at the discretion of RAC.

Restricted - Preservation Concerns

F. Technical access restrictions (DACS 4.3) – Some archival material is restricted due to its format or other special needs.

1. Format – Access to certain formats may be completely or partially restricted. Examples:

Photographic negatives are available at the discretion of RAC.

Access to Paul Ehrlich copy books is restricted, and researchers are directed to typescript copies.

2. Re-formatted collections – Access to original archival materials is restricted after a collection has been reformatted (microfilm, microfiche, digital files). Researchers are only provided access to the user copies of the reformatted media or digital files. Example:

JDR Sr.’s Letterbooks, RF Officer’s Diaries

3. Special technical access issues may also necessitate restrictions on access. Example of standard access note for technical access restrictions:

Researchers interested in accessing digital media (floppy disks, CDs, DVDs, etc.) in this collection must use an access surrogate. The original items may not be accessed because of preservation concerns. To request an access surrogate be made, or if you are unsure if there is an access surrogate, please contact an archivist.

2. Use Restrictions

The Conditions Governing Use note documents those materials whose use is completely restricted, or limited in some manner, due to legal requirements, stipulations of a donor/depositor agreement with RAC, or other factors imposed directly by RAC after physical or intellectual access has been provided.

If the material being processed has use restrictions or stipulations, such conditions will be identified, and a course of action will be established through discussions with the Assistant Director for Processing during the planning phase of the project.

3. Classified Material

Classified material contains content pertinent to United States national security. Irrespective of its form, nature, or medium of transmission, such classified information requires protection against destruction, disclosure, loss, theft, or access by unauthorized persons, pursuant to all applicable laws and regulations.

The RAC maintains U.S. government classified material that originated from a number of its collections, including the Nelson A. Rockefeller papers, the Rockefeller University archives, and the Warren Weaver papers. The RAC does not currently maintain any classified digital or born-digital records.

1. Identifying Classified Materials

Be particularly sensitive to discovering classified materials in a collection that includes government documents and/or scientific research which may contain sensitive materials pertaining to the national security of the United States or other countries.

A. Material stamped Confidential, Secret, Top Secret, Restricted, Restricted Data, or FRD (Formally Restricted Data).

B. Be particularly sensitive to government documents from: Atomic Energy Commission, Central Intelligence Agency, Federal Bureau of Investigation, President’s Foreign Intelligence Advisory Board (PFIAB), U.S. Department of the Army, U.S. Department of Defense, U.S. Department of Energy, U.S. Department of the Navy, and U.S. Department of State.

2. Protocol for Handling Classified Materials

A. The RAC follows CIA-approved procedures for handling and storage of classified records by qualified RAC archivists with security clearance at the SECRET level.

B. Upon discovery of classified material, or potentially classified material, in a collection, the processing archivist should immediately alert the Assistant Director for Processing. The qualified archivist will then remove the pertinent material from the body of the collection and secure it in the RAC Classified safes, along with a brief inventory.

C. The qualified archivist then follows the established practice of periodically requesting review for declassification of these records by the relevant federal agencies. Recent reviews have been conducted by the CIA, the U.S. Army, the NSA, the Department of Defense, and the Department of Energy.

D. No RAC staff members are authorized to handle material designated as TOP SECRET or higher. However, the secret-level qualified archivist should immediately secure the materials in the RAC classified safe. An applicable government official must be contacted to address this material further.

E. Sometimes material in a collection has been declassified. In such instances, please be aware that even if all of the documents in a given section have been declassified, every individual page may not have been specifically marked as such. Depending on the situation, the declassified material can either be integrated back into the main body of the collection, or it may be placed as a separate group of files at or near the end of a collection.

Preservation Photocopying

Step 25 - Preservation Photocopying (Optional)

Documents that are fragile, damaged, or at risk for further deterioration may be photocopied in order to preserve their intellectual content and prevent potential damage to neighboring documents. A preservation photocopy is a facsimile of a document copied to acid-free, lignin-free paper. It is neither necessary nor feasible to photocopy all fragile or potentially at risk materials during processing and preservation photocopying is an optional task. Utilize processing time effectively in accordance with assigned priorities and project deadlines.

Acid-free, lignin-free paper consists of 25% cotton rag content; this paper is distinguished from 20lb. bond paper used for routine photocopying by its composition and the placement of a ‘watermark’. This mark is visible most clearly when the paper is held up to a light source. A preservation photocopy must bear a stamp applied by the archivist noting ‘Archival Copy’ in order to distinguish the copy as a facsimile.

If the item bears no intrinsic value, the facsimile serves to replace the original in the collection, and the original item is discarded/shredded. All materials proposed for shredding must follow the RAC destruction protocol, see Step 39. If the item is of value in its original format, consult with the Assistant Director for Processing regarding its retention. When an original is retained with restricted access, a condition of access note should be added at the appropriate level of description to indicate that the material is “restricted due to preservation concerns”. Note: A preservation photocopy is a ‘gray tone’ image; a color copy of a document may accurately duplicate tonal qualities however color is not a preservation-standard representation. It is essential to retain established order when removing documents from a collection or folder for photocopying. Carefully mark the item location(s), and after copying, replace the item(s) in the original order.

Most archival material may be accurately duplicated using in-house photocopy machines. It is important to generate as accurate a facsimile as possible in order to replicate the original item. Correspondence, manuscripts, photographs and line drawings may be duplicated by adjusting the settings on the photocopy machine. Check that the copy toner adheres to the paper with no smudge or other excess markings.

Additional examples of materials that are routinely replaced by preservation photocopies include: deteriorated newspaper clippings, thermo fax and other glossy copy paper, telegrams, and items that are glued or otherwise damaged by adhesives. For recommendations on how best to photocopy non-standard or damaged materials, see the Assistant Director for Processing.

Box Labeling and Barcoding

Step 26 – Box Labeling

  • Box labels for all processed archival holdings can be generated by a labeling template which works in tandem with ArchivesSpace to automatically generate box labels based on the finding aid description.
  • Following completion and approval of finding aid description, generate labels for all applicable containers.

Step 27 – Barcoding

  • All containers are barcoded at the box-level.
  • Affix barcodes to the front center of the box lid below the box label, or in the front center of the box just above the pull tab. (See Collections Management for details).
  • If barcoding flat files or temporary containers housing audiovisual containers, please consult the Assistant Director for Processing.

Shelve Processed Records

Step 28 - Shelve Processed Records in Assigned Vault/Unit/Shelf Location

  • All materials stored in RAC’s archival vaults are officially assigned locations by the Collections Management team.
  • Material should NOT be shelved until authorization is received from Collections Management.

Container Management

Step 29 – Container Management

Record the following Container Management data in the finding aid:

  • Locations
  • Barcodes
  • Container profiles
  • For further assistance, see the Assistant Director for Processing.

Finishing the Project

Step 30 - Submit Audiovisual Materials to Assigned Location

  • Place any containers exclusively housing audiovisual material (“T” boxes), on the assigned audiovisual shelves
  • Notify the Audiovisual Archivist via Project Management (Asana) task completion.

Step 31 - Audiovisual Archivist Begins Preservation/Digitization Procedures

  • The Audiovisual Archivist will assess the condition of the material, record a variety of preservation and technical metadata, and enhance description (as feasible).
  • Materials will be evaluated for potential reformatting and eligible items will be considered for digitization (either through in house procedures or outsourced to an appropriate vendor).
  • Once an access copy has been created, the Processing Archivist will be contacted to potentially view/listen to the material and further enhance the available description.

Step 32 – Subjects

Creating and/or assigning standardized subject terms helps to further illuminate the functions, activities, events, places, and ideas documented in the records being described. When thoughtfully assigned, subjects offer a powerful tool for broadly researching among and between collections. Subject terms can also be utilized to draw attention to materials created by or about underrepresented groups. Processors should be mindful of offensive, outdated, or inaccurate subject terms that might still be present within the RAC’s list of subject terms (for example: “Art, Primitive” and “Illegal Aliens.” Please use the Report Problematic Description tool if there are subject terms that should be reviewed and removed.

** “Can’t see the forest for the trees” Do NOT overuse Subjects. Overuse could be detrimental to data access **

General Guidelines for Creating or Assigning Subjects

**Prior to creating any new subjects – Search subject records to confirm if a record exists for the given subject. If a record exists do NOT create a new subject**

  • Create or assign Subjects only when the terms are directly associated to the material being described.
    • Topical
    • Geographic
    • Genre form
  • Assign only to aggregates of records – at collection, record group, subgroup, series, or subseries level. Do not assign at file-level.
  • As with description of archival records, the principle of inheritance applies to structured terms.
    • Any term assigned to an entire collection or the top level of a finding aid, applies to ALL components/objects within that collection/finding aid.
    • Terms should only be assigned at a lower-level if those terms are directly and specifically associated to that given level (and not directly and specifically associated to any higher levels).
  • Subject Authorities include:
    • Library of Congress Subject Headings (LCSH)
      • Widely recognized and used across archives LCSH and are the source for many of the RAC’s subject terms. Because of the periodic revisions the Library of Congress (LOC) makes to the terms, LCSH terms can be consulted for the purposes of applying subjects to the records of the RAC, and the most up-to-date terms can often be used and retained within the RAC’s repository. Nevertheless, subject terms cannot be exclusively sourced from LCSH because of biases embedded in the terms and because of LCSH delays in responding to community needs. LCSH terms that communities have identified as harmful to them should be avoided.
    • Getty Research Institute Art & Architecture Thesaurus
    • Alternative authorities are available for more specialized records, more specific subjects, or for the purpose of procuring terms that are more in line with the language communities use to describe themselves.
      • If the authority being consulted is not available as a source in ArchivesSpace, utilize the subject terms’ scope note to identify the authority used.
    • Terms may also be created locally (when applicable).

Merging or Removing Subjects

  • Please submit an Archival Description Concern form:
    • In the rare case when two or more subject records exist for the same term.
    • To identify harmful existing terms that may be good candidates for removal or merging with another authorized term that more accurately or respectfully represents the concept.
      • For example: “Afro-American politicians” can be merged into “African-American politicians”.

      • Removed/Deleted terms may be replaced with a newly created, or newly identified, culturally conscious authorized term.
  • Merging or removing agents can result in DATA LOSS.
  • **Merging or removing agents must be pre-approved, or otherwise conducted, by the Assistant Director for Processing.**

Step 33 – Finalize Agents

  • Update or confirm data recorded in applicable agent records.
  • Update or confirm agent assignments (authors/contributors)
  • Record or revise Biographical/Historical sketch in Agent record (DACS 2.7)
    • Provide information about the corporate body, person, or family that created, assembled, accumulated, and/or maintained and used the materials being described. This element also describes the relationship of creators to archival materials by providing information about the context in which those materials were created.
  • See Step 13 for details on creating and/or assigning agents.

Step 34 – Add Local RAC-Required Single-Level Notes

  • Arrangement (DACS 3.2)
    • Describe the current organization of the collection.
    • At the collection level provide the names and numbers for the major components of the collection/accession such as the Series.
  • Processing Information Note

    For legacy mixed materials/paper collections, or in the case where reparative redescription actions have NOT yet been taken (during processing or otherwise), the following statement should be used to provide further context and explain that titles or proper names may be offensive because original titles are not changed and that description provided by a creator might be inadequate:

    The Rockefeller Archive Center recognizes that our archival collections may contain problematic language and/or content.

    Accompanying description, most often with creator or donor-generated language and terminology, has to this point been retained and maintained “as received” by RAC with minimal archivist intervention or augmentation.

    We acknowledge these problems and aim to cultivate inclusive representation and equity by reconsidering and enhancing our description of this material with current sensibilities.

Following reparative redescription actions, including if/when any such actions are taken during processing, the following statement should be used:

Reparative redescription actions have been taken to reconsider and enhance the description of this material. As we aim to cultivate inclusive representation and equity in our archives, reparative actions will continue as necessary.
  • Adding applicable notes to components at lower levels is optional.

Step 35 – Add Single-Level/Multi-Level Notes to Finding Aid in Accordance with Assigned Processing Level

Commonly used notes may include:

  • Conditions Governing Use (DACS 4.4)
    • Identify any restrictions on reproduction due to copyright or other reasons, as well as restrictions on further use of the materials being described, such as publication, after access has been provided.
  • Immediate Source of Acquisition (DACS 5.2)
    • Document the source from which the repository directly acquired the materials being described, as well as the date of acquisition, the method of acquisition, and other relevant information.

    This material was transferred to RAC in 1992 by the Rockefeller Foundation and ingested by RAC as Accession 1992:100.

  • Related materials note (DACS 6.3)
    • Indicate the existence and location of archival materials that are closely related to the materials being described by provenance, sphere of activity, or subject matter, either in the same repository, in other repositories, or elsewhere.
    • If there are materials that have a direct and significant connection to those being described by reason of closely shared responsibility or sphere of activity, provide the title, location, and, optionally, the reference number(s) of the related materials and their relationship with the materials being described.
    • If the materials are available at RAC, indicate the applicable finding aid.
    • If the materials are available at another repository, a general reference to the repository will suffice.
  • Series-Level or Component-Level notes
    • Always focus all multi-level notes specifically on the level and the material being described.
    • For example, a scope and content note at the Series level should focus only on documenting the content of that given series.
  • Arrangement Map
    • General notes pertaining to an entire collection can be added at the Top Level of the collection’s Arrangement Map.
    • Utilizing the arrangement map can help reduce or eliminate data duplication.
    • Contact Assistant Director for Processing for more information and assistance.
  • Other notes as recommended in Project Vitals.

Step 36 – Revise Accession Record(s)

  • Prompt the Assistant Director for Processing to revise the applicable accession record(s).
  • Assistant Director for Processing will:
    • Link Related Accession record(s) to Resource.
    • Delete Box Instances from Accession record(s).

Step 37 - Finalize Front Matter Notes

  • Update or confirm final calculations for the Date and Extent elements, and compose final Scope and Content note. (See Additional Required Collection Level Elements).
  • The Date Calculator and Extent Calculator (cu. ft.) should be used at all major component levels (Collection/Top of Guide, RG, SG, Series) as applicable.
  • The final Extent calculations should include a natural language Container Summary statement describing the number and type of archival containers used.

    24 document boxes.

Step 38 - Publish Finding Aid

  • Submit the draft finding aid to the Assistant Director for Processing for final review.
  • Once approval has been received from the Assistant Director for Processing, “check” the publish box at the highest level of the finding aid to publish the guide.
  • If any individual components are NOT to be shown online, uncheck the publish box for the applicable component(s).
  • If the finding aid is part of a collection documented in multiple resource records, prompt the Assistant Director for Processing to update the applicable Arrangement Map.
  • RAC DIMES automatically updates. Newly published guide(s) will be available in DIMES shortly after publication.

Step 39 - Submit Any Materials Proposed for Shredding to Assistant Director for Processing

Step 40 - DONE!!!

Rejoice

Endnotes

  1. Tang, Annie. “Dealing with Dealer Descriptions: Navigating Black and Asian Identities as Creators and Subjects in Purchased Manuscripts Collections.” In “Toward Culturally Competent Archival (Re)Description of Marginalized Histories”, by Tang, Annie; Berry, Dorothy; Bolding, Kelly; and Winston, Rachel E. (2018). Library Presentations, Posters, and Videos. Society of American Archivists Conference Presentation. 

  2. Farnel, Sharon, et al. “Rethinking representation: indigenous peoples and contexts at the University of Alberta Libraries.” (2018).