Auburn University

Special Collections and Archives

Processing Manual

By

Javan Frazier

Revised August 2004

  • Introduction
  • STEP 1 - Identification
  • STEP 2 - Initial Inspection
  • STEP 3 - Preparing for the finding aid
  • STEP 4 - Materials and specific problems
  • STEP 5 - Sorting
  • STEP 6 - Labeling
  • STEP 7 - Writing the finding aid
  • STEP 8 - Submitting the finding aid
  • Appendix
  • Accession Sheet Download (in Word format)

    •

    So, you have been given a box of stuff and told to process it.  Now what do you do?  This manual is designed to give you the nuts and bolts of how Auburn Special Collections and Archives wants you to process a collection.  The manual will also give some archival principles followed by Auburn Special Collections and Archives. 

     

    At this point, a few terms need defining. 

    ·        A collection refers to a group of documents, records, or other material that are created by a person, a group of persons (such as family papers) or organization. 

    ·        Processing is the preparation of a collection for public accessibility.

     

    The two main archival principles followed by Auburn are:

    ·        Provenance

    ·        Original Order

     

    Provenance is respecting the creator of the collection by not integrating it with others.  For example, not integrating George Petrie’s and Gordon Bond’s papers simply because they were both historians. 

     

    Original Order is respecting the creator’s methods of organizing the collection such as chronologically, by subject matter, by color, or some other recognizable and systematic way. Do not reorganize.

     

    However, if a collection does not have a particular order of arrangement, one may have to be imposed to allow easy access.  When imposing an artificial order on a collection, it is best to arrange it chronologically or alphabetically depending upon the content.

     

    It is also important to realize that the job of an archivist is to organize, preserve, and make accessible collections for public use.  It is important that you keep this in mind as you process a collection.  Also, remember that researchers from various fields, historians, genealogists, students, and scientists, will examine your processed collections.  Always arrange the collection in a manner that is user-friendly.

     

    STEP 1.  IDENTIFICATION

     

    An accession sheet will come with the collection you are processing (See Appendix).  This sheet will tell you the following about the collection:

     

    ·        Name

    ·        Record Group Number

    ·        Accession Number

    ·        Temporary Location

    ·        Individual who accessioned materials

     

    The Name of the collection will generally be related to who created it.

     

    A Record Group Number is simply a numerical identifier. The RG number represents all of the materials, previously and in the future, that are donated by the creator of this record group.

     

    The Accession Number corresponds to the year the material was donated and the numerical sequence within that particular year.

     

    The initials of the person who accessioned the material should be at the bottom of the accession sheet. If you have any questions about the collection that is the person to contact first. 

     

    STEP 2 Initial Inspection

     

    If an accession sheet has not been created for the collection, you must develop one during your initial inspection.  During this inspection you should:

    ·        Note the order or non-order of the collection

    ·        Get a sense of who created the collection

    ·        Get a sense of what is in the collection

    ·        Note the physical condition of the collection.  If it has mold, bug infestations or other potentially destructive aspects that could spread, the collection must be isolated immediately.

     

    It should be clear who the creator is and what is within the collection. 

     

    STEP 3 PREPARING FOR THE FINDING AID

     

    As a processor, you will be writing the finding aid for the collections you process.  This will enable the public to learn what is within the collections and what restrictions are on them.  The various parts of the finding aid will be described later but the two main parts you need to be concerned with are the biographical sketch and the scope and content note. 

     

    ·        The scope/content section describes the contents of each particular accession.  This would include accessions added to previously processed collections.  It gives an overview of what is included and how it is organized and arranged.

     

    ·        The biographical or historical sketch gives some information on who created the collection and why it is significant for future research.

     

     

    As you process the collection, take note of any information that may be relevant to the biographical sketch and what needs to be included in the scope and content section; especially note birth and death dates of individuals.  Citations and copies of relevant biographical materials should be attached to the finding aid or inventory.  Places to find biographical information would include online resources like the Biography and Genealogy Master Index, Social Security Index, and various search engines.  Other resources could include obituaries, city directories, federal census, Auburn alumni directories, Glomeratas, and other Auburn University resources. 

     

    STEP 4 MATERIALS AND SPECIFIC PROBLEMS

     

    All folders and boxes that store collection materials must be acid free.  Acid free means that the pH levels of storage materials are 8.5. 

     

    Three types of folders are used

    ·        Letter size

    ·        Legal size

    ·        Oversize

     

    Never be afraid to use a bigger size folder for a smaller document if you feel it is necessary.  In addition, try to avoid mixing legal and letter size folders in the same box.  The more snug the fit the better but do not overfill or cram materials into a box.

     

    Oversize folders are produced from acid free folder paper made available by the department.  As the name states, they are for items larger than either letter or legal.  Often these items are stored in the oversize collection.

     

    The most commonly used boxes are

    ·        ½ Legal Document (DOC) Box-.25 cf.

    ·        Legal Document (DOC) Box-.5 cf.

    ·        ½ Letter Document (DOC) Box-.25 cf.

    ·        Letter Document (DOC) Box-.5 cf.

    ·        Record Center (RC) Box-1.0 cf.

    ·        8 Inch Shoe Box-.5 cf.

    ·        3 ½ Inch Shoe Box-.3 cf.

    ·        1 Inch Medium Flat Oversize (OS) Box-.7 cf.

    ·        1 Inch Flat OS Box-1.5 cf.

     

    Other boxes can be ordered or produced as the need arises.

     

    Typically, manila folders and a variety of boxes are usually used by donors to store their material. Depending on the condition of the original folder, these may need to be replaced with acid free folders and boxes. 

     

    Documents may need some basic cleaning of dust and dirt.  A document cleaning pad should be used gently to clean the materials.  Flatten items that have been folded or rolled up by carefully placing weights on the items.  Generally, staples, rubber bands, and paper clips are found in collections and can be removed to prevent future damage.  Metal paper clips can be replaced with plastic coated ones.  Plastic coated paper clips can also be used in place of staples to keep documents together.  There are some instances when this is unnecessary:

     

    ·        A new paper clip would damage the documents.

    ·        The document’s historical integrity can be adequately preserved without a paper clip.

    ·        The document is too bulky.

    ·        Removing the staple could damage the document beyond repair.

     

    Removing a staple can be tricky with the best method being to lift the binding clips on the back of the staple and pull the staple from the front.

     

    Remove metal and plastic binders from collections and place the materials loose in as many folders as are necessary to preserve the material.

     

    Insert photographs in Milar plastic sleeves and negatives into acid free negative sleeves.  They may also be stored in a separate box from the paper documents.  It is important that you document the original location of a photograph by placing a photocopy of the image where it was originally found. 

     

    Remove the record over tabs from tapes and videotapes to prevent erasure.

     

    Remove adhesive notes, also known as post it notes, from documents.  If the information is unique and not reprinted on the document, you may store the note in an acid free sleeve to prevent the glue from damaging the document.  Clip it to the relevant document to maintain the historical integrity.  Another option would be to photocopy the note on acid-free paper.

     

    You may remove adhesive tape of any kind from the collection unless the removal will cause more damage than good. 

     

    Newspapers are a unique problem for archivists because of their short life span.  Since the late 1800s, newspapers have been printed on wood pulp paper that rapidly decomposes.  Here are some rules to follow on newspapers:

     

    ·        Only keep clippings if there is some obvious connection to the collection.

    ·        Local, regional, or state newspapers prior to the 1900s should be kept due to their rarity.

    ·        If clippings or newspapers are brittle and still have relevance to the collection, photocopying the article onto acid free paper may be advisable.

     

    Remove materials in notebooks and replace with acid free folders.  The key reasons for this is the bulk of the notebooks and the metal bindings in them.  It is, however, important that the integrity of the notebooks remain intact. 

     

    You also may find that part of the records belong elsewhere. You may want to fill out a separation sheet, which documents the removal of one part of a collection to another.

     

    STEP 5 SORTING

     

    Sorting a collection includes two steps:

    ·        Identifying the parts of a collection

    ·        Eliminating redundant copies, unnecessary copies, and secondary material

     

    Identifying the parts of a collection will be easy for those that are clearly labeled or are generated by the university. 

     

    A university generated collection is one produced by various departments and offices at Auburn University.  There is a policy they need to follow in depositing their material.  If they do not have an inventory list of all the boxes donated and the folders are not in proper order, inform your supervisor. 

     

    If the collection is not a university collection and has not been organized, you will need to impose an order.  One organizational structure is based on the series concept and uses the following categories:

    ·        Correspondence

    ·        Financial and legal material

    ·        Subject files

    ·        Research notes

    ·        Printed materials/clippings

    ·        Artifacts

    ·        Photographic Images

    ·        Audio discs and tapes

    ·        Films

    ·        Video tapes

    ·        Microforms

    ·        Electronic media

     

    Not all collections will include all these categories. 

     

    If a collection is large enough, you may include series descriptions.  By using the above titles, one can organize the material to fit into each category.  The folders will need to be labeled by series.

     

    Once you have an idea of an organization, you will then need to begin the process of looking for duplicate items.  If a collection has five copies of the same Auburn football program, keep only one copy.  If there is a copy of the program within the Auburn Library, especially in the Alabama Room, you may not need to keep a copy at all.  The reasons to keep a copy of a broadly published document include:

     

    ·        Any personal marks or writings by the creator of the collection

    ·        Few or no copies aare available

    ·        The copy would be better for the Alabama Room

     

    Auburn University's general records schedule provides retention periods for most records created by the university: www.lib.auburn.edu/archive/records_schedule.htm. It can also be helpful in appraising the records of other organizations. In almost all cases, records of individual financial transactions need not be retained. Summary financial documents, such as annual audits, should be retained. 

     

    Secondary material includes items published and copyrighted.  If the publication tells you something about the creator of the collection but can be found elsewhere, such as the general collection of the library, it should be removed.  Such items should only be kept if the creator has written extensive notes in them. 

     

    Other material removed from archival and manuscript collections may be appropriate for one of several artificial collections maintained by Special Collections and Archives:

     

    The oversize collection is for those items that are too large for legal or letter size boxes.  These items are preserved in oversize folders, specialized newspaper/ledger boxes, and stored in large cabinets.  The location of these items needs to be noted in the finding aid. The collection name, collection number, and accession number should be included on them.

     

    The self-indexing collection contains photos, clippings and other items relating to Auburn University, Alabama history and other subjects. This collection contains materials retained for ready reference purposes. 

     

    The artifact collection is for non-paper materials.  It contains material that has come to the department as individual items or has been separated from archival and manuscript collections.

     

     

    STEP 6 LABELLING

     

    Include the following information on the top folders:

     

    ·        Box Number, Series Number (if applicable), and Folder Number

    ·        Title of Collection

    ·        Title of Folder

    ·        Record Group and Accession Number

     

    Beginning on the left hand side on the top of the folder, write the box number and folder number.  For example, Box 1, Folder 2 would look like 1-2 and Box 7, Folder 9 would look like 7-9.

     

    About an inch away, write the title of the collection, War Eagle Collection, and underneath it, or beside it if room is available, the title of the folder.  It should look something like this:

     

    1-2                                                                             War Eagle Collection-1958 Homecoming

                               

    The title should say something about what is in the folder.  Be concise.  Think of what would get a researcher’s attention. Auburn v. Alabama, November 1, 1958, is an example of a good folder title. Do not rename the folder if the title provided by the records creator is clear and accurate.

     

    At the far end of the folder, write the Record Group and Accession Number.

    (See Appendix)

     

    1-2           War Eagle Collection-1958 Homecoming                     123-02-011

                              

    Be certain of the sequence prior to numbering the folders. Do not number the folders prematurely.

     

    STEP 7 WRITING THE FINDING AID

     

    Once the collection has been arranged, it must now be made available for public use.  The key document for this is the finding aid, which is in a standardized form (See Appendix).

     

    You have access to the template for the online finding aid.  There are two ways to access the template.

     

    1. Go to an assigned Graduate Assistant computer and look for the finding aid icon on the desktop.
    2. From My Computer go to Archiv~1on’Pacs_09\Group2’(R:) then open the Find Folder.

    All of the finding aids created since this system came into use should be there.  Look for a document/template called Accession Sheet. Doc.  Open it and you can begin making your finding aid. 

     

    The document is fairly self-explanatory.  Type in the Record Group, Accession Number, and the Collection Name. 

     

    The Dates category should cover the period your accession covers.  Examples would be 1980-89, ca. 1970s, 1889-1892, and September 11, 2001.  If your collection covers a wide range of dates but most of it is from only a few years, note this.  For example, ca. 1950s-1980s (Bulk 1977-1979).

     

    To fill out Size, check the conversation table in this document and calculate it.  For example, if you have 5 RC boxes then it will be 5.0 cf. If you have 1 RC Box and 1 Letter Doc Box it will be 1.5 cf.. With smaller collections, an item count will suffice instead of a cubic feet measurement. 

     

    The Number of Boxes is how many and what sizes of boxes are in the collection.  For example, 5 RC Boxes, 4 half-size Letter Doc Boxes and 3 Legal Doc Boxes.  Also, mention whether a Doc Box is Letter or Legal size. 

     

    Type of Material includes information such as personal papers, business papers, photographs, newspapers, and oral histories.

     

    Physical Condition is a judgment call.  Is it poor, fair, good, or excellent?  Explain as best you can any condition that could affect the usability of the collection.

     

    Under Arrangement, list whether the collection is arranged chronologically, alphabetically by subject or title, or in a distinct manner established by the creator. Series and sub-series should be included if contained in the collection inventory

     

    The Contents and Biographical/Historical Sketch categories are discussed above.  They should be concise.  Citations to sources for biographical and historical information may be included.

     

    Keyword descriptors should include significant subjects (Aviation History), time periods (Civil War), people (Franklin D. Roosevelt), organizations, businesses, or institutions (Auburn University, Athletic Department) or other keyword descriptors essential for researchers. 

     

    Geographical identifiers list locations where materials were created, such as places where correspondence or records were written or where photographs were taken.  

     

    Access Restrictions on private papers and records of private organizations are governed by gift agreements. Sometimes, donors choose to limit access for a specific time period. For example, a donor might stipulate that records are closed for ten years following the date of the gift agreement, until his death, or for ten years following his death. Use the wording on the gift agreement in such instances: "Closed for ten years following the date of the gift agreement," "Closed until the donor's death," or "Closed for ten years following the donor's death." If the gift agreement indicates no restrictions, write "No restrictions."

     

    Access Restrictions on university records are government by the Alabama statutory and case law regarding access to pubic records. In Alabama, public records are generally open for inspection, but with some restrictions. Often, these restrictions involve an effort to balance the public's right to know and an individual's right to privacy. For example, the academic records of students enrolled at Auburn University are not open to public inspection. For this reason, Special Collections & Archives consults the home department before allowing third parties to consult many university records. There are exceptions to this rule. For example, the minutes of the board of trustees and the university's annual budget are automatically open for inspection. As a general rule, write "Permission of the home department" in the Access Restrictions section for university records.

     

    As a processor, you are not responsible for getting the Gift Agreement but you should inform your supervisor if one is not found for the collection you are processing.  A Gift Agreement may cover an entire collection or individual accessions.

     

    Other Information could include anything you think relevant.

     

    Your full name as processor should go under Processed by.  Date should be the date when you processed the collection.  Include the month and year when you completed the processing phase.  For example, October 2002. 

     

    The categories of Acquisitions Source, Address, Phone, and Email are those of the donor.  If none are available or if the donor does not wish these to be made public, leave these categories blank.

     

    The most common Acquisition Types are gifts, transfers, and purchases.  Gifts generally are for donations, transfers are for university records and purchases are the materials acquired by purchase from a dealer or individual.  The Date is the accession date of the material.

     

    Owner of Material, if Different may include the name of the person who actually owned the material donated by someone else, such as a relative or a descendant.

     

    On the third page, the first five lines repeat some information already recorded.  Unless you have a series, eliminate that term and begin to record the titles of your folders for Box 1.  When you have completed line 1, hit return and other numbers should appear. 

     

    If you have more than one box, there are two ways to add more.

    1. After the last line, hit return, backspace over the number until you reach the left margin, type Box 2, hit return and continue.You will have to type the folder number from here on.
    2. After the last line, copy Box 1 and 1 from a blank accession sheet, backspace over the last number on your accession sheet to the left margin, paste, and you should be able to continue like normal with file numbers appearing. Make sure to replace the 1 with the appropriate number.

    Hitting “Save” or “Save As” either one will save the program because it is a read only program that will not allow you to make permanent changes to the Accession Sheet.

    STEP 8 SUBMITTING THE FINDING AID

    After writing the finding aid, submit one copy to the department head for approval. Following the department head's approval, label the boxes, place them on a shelf, and add copies of the finding aid to the donor and user files.

    Each box should have a label. The standardized label has places for the name of the collection, record group number, accession number, and box number. All of these should be typed in. Place the label on the left side of the box and on the front of it toward the top or bottom as shown in the following example:

     

                    

     

    For RC Boxes, make sure the lid does not cover the label.   The lid on letter and legal size boxes should open from the left when placing labels.

    The shelves are first organized by a number designation, then a letter, and finally another number.  For example 14-D-3 would be Row 14, Section D, Shelf 3.  The letter B before the first number means Basement.  The letter V before the first number means Vault.

     

    The finding aids need to go into two filing cabinets.  The first is the Donor File cabinets.  These files include a copy of the finding aid, gift agreement, correspondence with the donor, and any other relevant material.  These files are manila colored.  Holes will need to be punched at the top to place them in the folder.  Place the folder in a green hanging file with a plastic place name at the top.

     

    The other copy of the finding aid will need to go into the user file cabinets.  These are the files patrons will see and they usually only have the finding aids in them.  These are brown colored folders that reside in green hanging files.

     

    For both finding aids, you need to take a small post-it note, write the accession number on it, place it on the right side of the finding aid.  This will allow patrons and employees to access the relevant accessions quickly. 

     

    Never hesitate to check with your supervisor if you are unsure of anything.

     

     

    Appendix  


    TERMS

     

     

  • Accession Number-includes the year the material was donated and the numerical sequence of the donation during that year.
  • Accession Sheet-includes the record group name, record group number, accession number, and temporary location.
  • Acid Free-storage materials that have a pH level of 8.5 or lower.
  • Artifact Collection-collection for non-paper materials.
  • Finding Aid-document that includes information about a specific collection.
  • University Collection-one produced by the various departments and offices at Auburn University.
  • Original Order-the organization imposed by the records creator.
  • Oversize Collection-collection that houses items too large for legal or letter size boxes.
  • Provenance-archival concept of respecting the papers of an author by not integrating them with others.
  • Record Group Number-a numerical identifier assigned to each record group.
  • Self-indexing Collection-contains photographs, clippings, and other items related to Auburn University, the local community, and the state.
  • Separation Sheet-documents the removal of one part of a collection because it is more appropriate to house elsewhere.

    Description of Collection

    Auburn University Archives and Special Collections

     

    Record Group:                                                       Accession number: 

     

    Collection name:                                                    Dates: 

     

    Size:                                                                        Number of boxes: 

     

    Type of material:

     

    Physical condition: 

     

    Arrangement:

     

    Contents: 

     

    Biographical / Historical Sketch: 

     

    Keyword descriptors:

     

    Geographical identifiers:

     

    Access Restrictions as stated in gift agreement(s): 

     

    Other information: 

     

    Processed by:                                                        Date: 

     


    Donor Information

     

    Acquisitions Source: 

     

    Address:  

     

    Phone:                                                                    E-mail: 

     

    Acquisition Type:                                                  Date: 

     

    Owner of Material, if Different: 

     


     

                                                      Finding Aid - Inventory

             Auburn University – Special Collections and Archives

     

                                                                          Acc. No.:   

                                                                    Collection Name: 

                                                                           RG No.: 

                                                                          Listed by: 

                                                                             Date: 

     

     

    SERIES 1: 

     

    Box 1

    1. 


    Description of Record

    Auburn University Archives and Special Collections

     

    Record Group:  See holdings list for assigning number.

     

    Accession number: See accession list for assigning number. 

     

    Collection name: Be as specific as possible when naming a collection. The most common titles are Papers, Collection, Letters, Diary, Business Ledgers, Scrapbooks, and Oral History.

                                                                                   

    Dates:  List inclusive dates (earliest date to latest date) and bulk dates if the collection focuses on a certain time period.

     

    Size: Always use cubic feet and then the number of items, number of volumes, and other information as appropriate.

     

    Number of boxes:  List number of boxes and box sizes. The most common box sizes are RC (Record Center Box), Letter DOC (Letter Size Grey Document Box), and Legal DOC (Legal Size Grey Document Box). Document boxes also come in half sizes.

     

    Type of material: List types of materials contained in the collection such as personal papers, business records, photographs, and sound recordings.

     

    Physical condition: Examine the collection and summarize the overall condition of the material in the collection. List whether collection has water, mold, insect or other obvious damage. 

     

    Arrangement: List whether collection is arranged chronologically, alphabetically by subject or title, or in distinct manner by the creator. Series should be included if contained in collection inventory.

     

    Contents:  Describe the contents of the collection concisely.

     

    Biographical / Historical Sketch:  Provide a concise biographical or historical sketch of the person or organization that created the collection.

     

    Keyword descriptors: List significant subjects (Aviation History), time periods (Civil War), people (Franklin D. Roosevelt), organizations, businesses or institutions (Auburn University, Athletic Department) or other keywords. 

     

    Geographical identifiers: List locations where materials were created, such as places where correspondence or records were written or where photographs were taken.  

     

    Access Restrictions as stated in gift agreement(s):  List any restrictions that apply.

     

    Other information:  List other information deemed important to cataloging, accessing or researching the collection.

     

    Processed by:                                                          Date: 


    Example of an Accession Sheet

     

     


    Example of Labeling a File Folder

     

     

    1-2                  War Eagle Collection-1958 Homecoming              123-02-011

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