Attachment 4 - PWS Example BPA Call - Archives.docx

PERFORMANCE WORK STATEMENT

ARCHIVAL SUPPORT SERVICES

April 2021

1.0 Overview

The US Army Corps of Engineers (USACE) Office of History (CEHO) maintains a rich collection of documents and photographs that chronicles the history of the Corps of Engineers. The documents and photographs are housed in CEHO’s Research Collection, which is the most comprehensive archive of Army Engineer material in the United States. These research materials are used by CEHO historians and curators, USACE personnel, and external researchers to document the history of the U.S. Army Corps of Engineers and understand its role in support of the Army and the evolution of the United States. CEHO requires the services of an archival support contractor to conserve, arrange, describe, a variety of archival collections, as well as digitize analog materials drawn from the collections.

2.0 Scope of Work

The scope of work for this BPA Call contains a variety of archival work including collections processing, digitizing, and metadata creation.

2.1 Process Archival Collections: The Contractor will conserve, arrange, and describe archival collections listed in Appendix 1. The collections consist predominately of paper records, print images, and negatives in various formats. One collection is comprised entirely of visual imagery. The required level of processing for each collection is set forth under the column, “Archival Services to be Provided.” All of the archival processing to be completed under this BPA Call will be performed in accordance with the terms, policies, and procedures set forth in the U.S. Army Corps of Engineers, HQ, Office of History, “Archival Processing Guide” (Appendix 2). In addition, Contractors should adhere to the descriptive standards set forth by the Society of American Archivists’ (SAA) latest edition of Describing Archives: A Content Standard. Completed arrangement and description must be satisfactorily detailed to facilitate discovery by CEHO staff, command leadership, and researchers. Guidance regarding description and physical processing can be found in the CEHO Processing Guide in Appendix 2.

2.2 Digitization: The Contractor will digitize the items described in Appendix 1 under the heading “Digitization.” This task involves digitizing a variety of formats which may including photographs, photo albums, oversized ephemera such as posters, paper objects such as reports which contain fold-outs and images, and rare, fragile items. The Contractor will also affix metadata to each digital object, using Adobe Bridge or similar. The technical requirements for digitization and metadata are included in Appendix 3.

3.0 Performance requirements

3.1 Process Archival Collections: As a part of the required archival processing, the Contractor will prepare DACS-compliant finding aids for each collection in accordance with the requirements set forth in Attachment 2. This includes preparing collections assessments, processing plans, draft finding aids, and final finding aids. A template for each of these items is provided in the appendix to the CEHO Processing Guide found in Appendix 2. The COR shall review processing plans within ten business days of delivery. If modifications are required, the Contractor shall make the required changes within five business days. Draft finding aids shall be submitted for approval prior to completion.

3.2 Digitization: Performance requirements specific to each digitization project are contained in Appendix 1. The technical requirements for digitization and metadata are included in Appendix 3. The Contractor will select one item from the list of digitization projects in Appendix 1 to conduct as a “test case” before proceeding with other digitization tasks. The COR will review the test case and respond to the Contractor within five business days.

3.3 Kick-Off Meeting: within five days of award the Contractor shall participate in a kick-off meeting with the Contracting Officer’s Representative (COR) to review the requirements of the BPA Call and discuss details and answer questions for each collection to be processed. Additional telephone calls and/or meetings with the COR may be coordinated as needed. In-person conferencing is optional if it is convenient for the Contractor and COR, and if no additional cost would be involved.

4.0 Deliverables

Upon completion, the Contractor shall provide pursuant to section 3.1 three completed finding aids or inventories corresponding to the collections listed in Appendix 1. In addition, pursuant to section 3.2 the Contractor shall provide 3,000 digital scans with corresponding metadata affixed to each digital file that adheres to the technical requirements contained in Appendix 3.

5.0 Site Visit

A review of the collections to be processed and items to be digitized is strongly encouraged. The government will make available all materials for review at a mutually agreed upon time at the Humphrey’s Engineer Center (HEC) 7701 Telegraph Road, Alexandria, VA.

6.0 Periods of Performance

a) Task 3.1 shall be completed within 12 months of BPA Call award.

b) Task 3.2 shall be completed within 18 Months of BPA Call award

7.0 Place of Performance, Equipment, Software, and Supplies

Task 3.1 Process Archival Collections: this portion of the BPA Call may be completed on site at HEC, 7701 Telegraph Road, Alexandria, VA 22315 or at the Contractor facility, which must be located within 40 miles of the Office of History located at HEC. This is required given the rare and fragile nature of the materials, and to allow the government on-site inspections if needed and to facilitate progress reviews.

Task 3.2 Digitization: Digitizing work will be completed at the Contractor’s facility using Contractor supplied scanning equipment. The Contractor facility must be located within 40 miles of the Office of History which is located at the Humphrey’s Engineer Center (HEC), 7701 Telegraph Road, Alexandria, Virginia, 22315. This is required given the rare and fragile nature of the materials, and to allow the government on-site inspections if needed and to facilitate progress reviews.

For archival processing done at the Contractor’s facility (Tasks 1-14), Contractors will be responsible for packaging and shipment of collections from HEC to their facility. The Contractor must demonstrate that it has the necessary inventory and management controls to administer the government’s archival material throughout the conservation, arrangement, and description process. The Contractor must also be able to demonstrate that its archival facility meets local building codes; has an appropriate and operational fire detection and suppression system; has appropriate and functional intrusion and detection systems; and that the Contractor has an adequate emergency management plan for that facility. Further, to safeguard the government’s archival materials the Contractor must limit and control access to keys, the archival collection, and archival processing facility.

Regardless of the work location, the Contractor will provide archival supplies, including but not limited to Hollinger boxes, folders, paper, mylar sleeves, writing instruments, and cleaning supplies. All of the supplies provided will be of archival quality as stipulated by the CEHO Processing Guide in Appendix 2.

APPENDIX 1

Collections to Process

Appendix 2

US Army Corps of Engineers, HQ Office of History

(CEHO)

Research Collections Processing Guide

April 2021

CONTENTS

Chapter 1. Introduction Chapter 2. Accessioning Chapter 3. Preservation Chapter 4. Arrangement and Description: General Considerations Chapter 5. Arranging Chapter 6. Describing Chapter 7. The “Process” of Processing Chapter 8. Glossary Appendix A: Forms Appendix B: Sample Finding Aid and CEHO Template Appendix C: Chronological Rules Appendix D: Bibliography and Suggested Reading

This guide is based on the US Army History and Education Center’s Archival Processing Manual, March 2016.

Changes from the 2018 Edition

Substantive changes are noted below. Not individually listed are typographical changes or substituting the term “documents” for “records” throughout.

Title Page: Changes “Archival Processing Guide” to “Research Collections Processing Guide”

Page 4: Adds language regarding plastic clips under the section “Do No Harm.”

Page 6-7: “Rehousing” paragraph

· Deleted: “If every item in a collection is letter size, letter-size folders and boxes may be used.”

· Changed: the measurement of oversized boxes from 28” x 38” to 28” x 14”

· Added in regards to oversized series: “and numbering should restart for each oversized container.”

Page 13: Adds language regarding the use “half Hollingers” as appropriate

Page 15: Notes on Arrangement section rewritten

Appendix D: Bibliography and suggested readings updated

Chapter 1: Introduction

The US Army Corps of Engineers History Office’s (CEHO) mission is to preserve the Army Engineers history and to ensure access to historical research materials. To that end CEHO collects, organizes, and makes available source materials on Engineer history to the defense community, academic researchers, and the public. CEHO’s archival collection serves as the primary research collection for the historical study of the US Army Corps of Engineers. The collection includes books, rare books, periodicals, photographs, manuscripts (diaries, correspondence, and memoirs), military publications and manuals, maps, and oral histories. CEHO is committed to providing effective access to all its holdings and to actively encouraging use of its collections. To provide the best possible service to patrons, it is important that collections be processed, open, and available for research.

This processing manual is grounded in archival theory as well as accepted professional practice. It relies heavily on guides published by the Society of American Archivists (SAA), the National Archives and Records Administration (NARA), the General International Standard Archival Description (ISAD(G)), the Canadian-U.S. Task Force on Archival Description (CUSTARD), Describing Archives: A Content Standard, 2d ed. (DACS), the Library of Congress’s Guide to Processing Manuscript Collections, the University of Texas at Arlington Library Special Processing Branch Processing Manual, and Yale University’s Beinecke Library Rare Book and Manuscript Processing Manual. It is intended as a guide and not as a sole source of information. Reference works in use throughout the broader archival community are listed in the bibliography.

For definitions of key terms, please see the Glossary found at the end of this guide or consult the Society of American Archivists online Glossary of Terms.

Goals of the manual:

· To bring consistency to CEHO's archival arrangement and description practices. Descriptive practices should be consistent so that finding aids are helpful and facilitate discovery and access.

· To serve as a training tool and reference source for CEHO's employees, contractors, and interns assigned archival processing responsibilities.

This manual will be updated as new archival methods and technologies are introduced into the professional literature. Less likely to change are the following underlying archival fundamentals:

· Collection processing and description is a collaborative process

· The purpose of archival processing is to preserve materials of enduring value in the collections, arrange the collection in a logical and accessible manner, describe the arrangement in a well-written finding aid, and make sure all appropriate forms are completed.

· The archival principles of provenance and original order (respect des fonds) should determine arrangement.

· The level of processing is not the same for every collection; the research value of each collection should determine its level of processing. The concept in the archival literature known as “More Product Less Process” should be kept in mind when determining the level of processing for each collection. See Appendix D for reference to Greene and Meissner’s 2005 article on this subject.

· Determining the most practical processing scheme is part of the initial accession process and should be carried out in consultation with staff historians or other assigned supervisors.

“Do No Harm” is a fundamental archival principle. Thus, any processes should be reversible. Accordingly:

· Use pencil, not ink, when working with documents. An exception to this rule is when using high quality archival pens to write on the backs of photographs. Pens are only used when pencils do not work given the age or quality of the photo backing.

· Do not staple, fold, laminate, or apply ordinary tape to documents.

· Archival preservation involves housing historical documents and photographs in pH-neutral folders and boxes that are specially made for archives.

· Depending on the quality of the collection, photographs should be placed in mellinex (Mylar) sheets

· Paper clips and other commonly encountered metal fasteners are removed from historic materials, because the iron in these fasteners oxidizes and stains paper. Plastic clips should be used as a replacement if removing metal clips affects the organization and proper order of the documents.

· Torn documents of significant historical value should be brought to the attention of supervisors.

Chapter 2: Accessioning

Accessioning is the act of taking legal and physical custody of a group of records and to formally document their receipt. Through the act of accessioning the initial steps of processing are completed, in which, rudimentary physical and intellectual control of the materials is established. It is important that archivists be involved with a collection from its arrival to the institution because arrangement and description derive from an understanding of the original order and provenance of a collection.

When materials are accepted a record will be made in accordance with the information contained in Appendix A: Forms—Collections Accession Form. The information shall include:

· Accession date

· Donor information, including familial relationship to the materials if applicable

· Preliminary inventory of the material, including forms and formats

· Brief statement regarding stability and/or preservation concerns

· A notation as to the materials relevance to the history and heritage of the Corps of Engineers

· Donor Gift Agreement information.

Chapter 3: Preservation

The goal of preservation is to prolong the existence of cultural property by observing practices that minimize physical deterioration. Although preservation is time consuming and the volume of records is daunting, there is simply no point in acquiring, arranging, and describing materials and then allowing them to deteriorate. Preservation activities are inherent in the archival mission and must be interwoven with all other archival functions, beginning with accession and continuing as long as the materials are in CEHO's custody. This manual discusses preservation as a daily responsibility of all individuals who handle archival materials.

Removing contaminants: The following should be removed from documents, unless doing so would cause damage: rubber bands, ribbon, pins, twine, plastic spirals, and covers, metal fasteners including paper clips, rusting staples, spirals in notebooks, and straps. Place items that must be kept together in separate file folders or separate by a sheet of acid-free (bond) paper in a file folder. In large collections, staples that are not rusting do not have to be removed unless they are causing physical damage to the collections.

Preservation copying: Many types of paper are acidic and will darken with age, become brittle, and stain adjacent paper. Acidic paper includes telegrams, carbons, thermofaxes, and newspaper. As a general rule, photocopy onto acid-free paper any item that is badly deteriorated, using a preservation copy made to replace unstable archival originals. Isolate clippings from other paper documents in their own folders. When the original item has intrinsic value, preserve it in a mellinex sleeve with a sheet of acid-free paper as a neutralizing backing. When in doubt, retain the original item.

Rehousing: Transfer all material not currently held in archival quality files and boxes to new acid-free folders and boxes. Folders within a box should be uniform in size and should be the same size as the box. Most collections will be housed in legal size folders and legal sized boxes. Unfold any documents that have previously been stored folded. Rolled documents must be assessed for treatment. The number of documents stored in a folder is a matter of judgment, but no more than ¾ inch. For photographs, this is approximately 25 images. Age and importance of the documents must be considered. Folders that house very fragile manuscripts may have only one document. Crease the folder along the proper scoring line according to the bulk of the contents so that the folder rests on its flat edge in the document box. A folder with only a few items need not be creased.

The number of folders in each box will vary but boxes should not be overfilled to bulging or under filled so that the contents buckle or slump. Use a .25 cubic box for small collections or for housing materials of less than two and a half inches in bulk. If a box must be under filled use an acid-free document box spacer behind the folders to fill the extra space.

If an item is too large for a legal folder, treat the item as oversized. Use a box that will accommodate the largest document and the corresponding-sized folders for that box. Oversized boxes should not exceed approximately 28” x 14” in order to fit on the shelves. Items that exceed this size should be brought to the attention of staff to identify proper storage solutions. A separate series titled “Oversize Materials” should be listed in the finding aid and numbering should restart for each oversized container.

Other considerations—Photographs

Photographs mounted on acidic pages of an old album or scrapbook require special considerations, and each album must be evaluated individually. Often the best solution is to interleave the pages with acid-free paper to neutralize the harmful effects of the original pages and keep the item intact. If the album cannot accommodate the bulk added by protective sheets, or if the album is deteriorating, disassembling may be required. If possible, a photocopy of the album with original content in the original order should be attempted, unless doing so causes more harm or is not practicable if photos are loose and falling out. Further consideration must be given to albums and scrapbooks where paper captions appear to be separating from their corresponding images. In such cases, immediate conservation efforts should be undertaken so that captions and associated metadata are not lost. This usually entails disassembling the album and handwriting the metadata on the back of each image in pencil or in high quality archival ink.

Large numbers of photographs can be separated from the paper items in the collection and stored in separate folders, series, or document boxes so that their unique formats are accommodated. Photographs 8" x 10" and smaller can be stored either in archival folders interleaved with acid-free paper (non-buffered if they are color or albumen prints), in acid-free envelopes, in albums, or in mellinex (Mylar) or polypropylene sleeves or pages designed for storage of photographs.

Rolled photographs may be stored rolled if absolutely necessary or may be humidified, flattened, and wrapped with an acid-free board support for storage.

Slides and photographic negatives should be housed in archival slide and film protectors designed for the individual size and format.

Photographs larger than 8" x 10" and mounted photographs should be stored flat in oversize boxes.

Cased photographs, such as tintypes, daguerreotypes, or glass negatives, need custom containers to protect them. Such containers can be purchased or made by wrapping tissue paper around the item and storing it horizontally in flat storage document boxes. Microfilm storage boxes are also useful for smaller cased photographs.

Negatives and photographs are never stored in the same envelope or sleeve, although they can be stored in the same box.

Chapter 4: Arrangement and Description

General Considerations

The purpose of archival arrangement and description is to provide access to archival materials. This is accomplished by describing materials in a way that establishes provenance; promotes the understanding of archival materials by documenting their context, content, and structure; and by establishing their authenticity by documenting chain of custody, their arrangement, and the circumstances of their creation and use. The principles of provenance and original order, and the concept of levels of control guide archivists when arranging and describing collections.

Provenance: Provenance means that the Archives of a given creator must not be intermingled with those of other collection’s creator. Provenance is identified with the creator rather than the donor, if the two are different.

Original Order (respect des fonds): Original order states that documents should be maintained in the same order they were kept while in active use. The order of the documents reveals information about the creator of the collection, how the documents were used, and about the relationships between the records themselves. If original order has been lost over time or in the packing/transfer process, the archivist is obligated to reconstruct it if possible. If the original order cannot be discerned, then the archivist must impose a reasonable and logical order on the collection and indicate such actions in a finding aid note.

Levels of Control: The concept of levels of control is a way of implementing provenance and original order. The concept recognizes that most archival work involves progressively grouping and describing sets of documents along a continuum from the largest and most general to the smallest and most specific. The collection's size, research value, basic structure, and other factors will dictate the level of arrangement and description. Levels of control are:

Collection Level: A collection is defined as a body of materials relating to an individual, family, or organization. Goals of collection level processing are physical and intellectual control, staff and patron accessibility, summary description, and structure for more detailed levels of processing. The following occurs during collection level processing:

· Conduct preliminary physical inventory and content analysis

· Identify provenance and series

· Identify media types and separate by series as appropriate

· Identify conservation needs

· Prepare preliminary finding aid, indicate contents to at least the box level, or to originator's folder level, if given

· Transfer material intact and in original order to archival housing

· Label boxes

Series Level: A series consists of documents that have been brought together during their active life because of some relationship arising out of their use or creation. Discovering series that the documents creator used or establishing series for collections is fundamental to arrangement. Series may be based on filing arrangement, for example alphabetically, chronologically, or numerically, or may be based on function, content, or format.

The archivist may create series based on considerations of chronology, topics, function, and record type for collections with no discernable former order. A series may be further divided into sub-series based on form, record type, physical class of the documents, or filing arrangement. The following occur during series level processing:

· Organize/reorganize by series

· Order file units within series

· Remove other media for separate processing

· Refine finding aid Common SERIES TITLES include:

Correspondence (personal or business, including greeting cards, invitations, letters, letter books, telegrams)

The primary purpose of CEHO’s Research Collection is to support research conducted by the command and members of the CEHO staff. Toward that end, when available the following types of information should be provided in the most succinct manner possible, in the Series description and folder titles. The goal is discoverability and access to enable researchers to find the material being processed.

· Geographic locations, such as countries, states, counties, cities, or general geographic areas, i.e., Northeast, Southwest, Gulf region.

· Name bodies of water, such as the Mississippi River, Chesapeake Bay, etc.

· Indicate a major disaster event with its name and date, i.e., Hurricane Andrew (1992), San Francisco Earthquake (1906); Mississippi River Floods (1927)

· Indicate major USACE military construction (Langley Air Force Base) or civil works (Ft. Peck Dam) projects. Also include the names of reservoirs and lakes.

· Maps should be generally described by date and geographic location if the information is readily available, and if such information cannot be determined by the series description. If a collection contains multiple maps, these can be described in the aggregate and not at the item level, unless the archivist together with CEHO staff determine that the map is rare, unique, or in some way warrants individual description.

· Dates: If dates are not given attempt to arrive at a “circa” date wherever possible by using information provided in the materials, i.e, for photos, makes of cars, or styles of dress. For personal papers an individual’s uniform rank insignia may help date materials. “Undated” or “n.d.” should be kept to a minimum. Spell out “circa.” See DACS Element 2.4 and Appendix C of this guide.

Providing this level of detail requires an understanding of USACE history and mission that not all archivists may have. Therefore, processing archivists are encouraged to consult with CEHO staff to determine proper description.

File Level: A file unit is an organized unit of documents brought together for current use by the creator or in the process of archival arrangement because they relate to the same subject, activity, or transaction.

Item Level: An item is a single document within a collection. Time constraints usually preclude the archivist from working at this level unless the collection is very small, very important, or very disorganized.

Chapter 5: Arranging

Arranging is the process of organizing material in accordance with accepted archival principles. Arranging a collection consists of the following: research on the collection, survey of files pertaining to the accession of the collection, formulation of a processing plan, physical arrangement, processing and rehousing of materials, and labeling of file folders and boxes. While arranging, the archivist will usually come in contact with the material several times and should take notes for use in writing the finding aid. Note the earliest and latest dates of the documents in the collection, within each series of the collection, dates and facts to include in the organization history and biographical information, and other information that will be helpful to the researcher.

Research: Gather background on the creator of the collection before starting to arrange. Published biographies or organizational histories will provide important context about the collection. If these sources are not available, information will be gleaned from the collection during processing.

Survey: Examine all donor files pertaining to the accession of the collection before starting to arrange. Note any restrictions that apply to the use of the collection and any special instructions from the donor with regard to disposal of excess material in the collection. Note whether other processed or unprocessed material relating to the collection has been received from the same donor or creator.

Processing Plan: The processing plan (See Appendix A – Processing Plan Form) is the final decision on how the collection will be arranged. Obtain an overview of the collection by examining the contents of each box, using the box list that was prepared during accession. Note the grouping and sequence of the documents that suggest possible series arrangement. Note condition of file folders and contents and presence of items that will require special attention, or transfer to other areas of CEHO, i.e, museum/3-D items. Look for evidence of mildew, insects, and rodent damage. These problems are discussed more fully in the sections on description and preservation, but they must be considered when making a processing plan. Name the collection, in accordance with DACS, usually a combination of the creator's name plus one of the following terms: papers or collection. If the donation is made up of differing types of media, for example, personal papers, photographs, and maps, use the term "collection." If the collection is made up of only one document type, title it more specifically, for example, "photographs," "drawings," or "papers."

Physical Arrangement: Discover the creator's original file order and implement it. Ideally the original order of the materials will be intact when the collection is accessioned and will not be altered prior to processing. While observing the basic principles of provenance and original order, the primary objective of the archivist should be to arrange the material so that the researcher can quickly find needed information. Each collection is unique and must be evaluated on its own characteristics but there are four basic methods of arranging:

· alphabetically by topic,

· chronologically

· in series by document type, or

· in series by function of the creator.

The collection’s size and content will help determine the arrangement. File folders in a small collection of two or three manuscript boxes might be arranged alphabetically by subject and hereunder chronologically. Larger collections are more manageable when arranged in series, for example correspondence, business documents, or speeches and hereunder chronologically or alphabetically.

Processing, Rehousing, and Labeling: The following occurs during the physical arrangement of documents:

· Remove and discard fasteners including metal clips, rubber bands, rusted staples, and plastic and metal spirals.

· Open folded documents. If a document is too large for a legal-size folder and too valuable to remain folded, use an oversize box.

· If emulsion of photographs appears to be good condition place photographs in archival sleeves; place two photographs back to back in one sleeve if there is no writing on the back of the photograph. If photographs are annotated on the reverse, use one sleeve per photograph. If photograph collection is so large that polyester sleeves are not economically feasible, interleaving with bond paper is acceptable.

· Place negatives preferably in acid-free paper envelopes for long-term storage, but as temporary solution can be placed in polypropylene sleeves.

· Place a sheet of bond paper on each side of documents on colored paper to prevent staining of adjacent documents, or make a preservation copy.

· Place fragile documents in polyester sleeves.

· Make preservation copies of newspaper clippings. Discard the original clippings. On each copy, make sure the preservation tag with the statement “Preservation copy made to replace unstable original” is clearly visible.

· If multiple copies, retain second copy of papers, three if photographs and withdraw excess.

· Discard envelopes if they contain no unique information or possess no intrinsic value. Be alert for significant return addresses, postmarks, franking, stamps, and dates. When in doubt, retain items.

· Remove copies of periodicals or newspapers that are available elsewhere in the library or if they are not annotated by the donor. Note all items removed from the collection in the finding aid and on a withdrawn items form (Appendix A – Withdrawn Items Form).

· Arrange contents of each folder in numerical, alphabetical, or chronological order as appropriate. If material is placed in chronological order follow the rules in Appendix D – Chronological Rules

· Transfer the contents of folders to new acid-free folders. Do not overfill folders. Archival folders are designed to hold no more than 3/4 inch of material, or approximately 25 photographs in archival sleeves. On each folder in pencil write the collection, series, folder title, and dates (See Appendix D – Chronological Rules).

· Transfer folders, arranged in their prescribed order, to new acid-free manuscript (Hollinger) boxes or cases. Do not overfill boxes. Folders should be sufficiently tight to prevent slumping and bending but not so tight that they are difficult to insert and remove. If a whole box cannot be entirely filled, use an archival spacer so folders will not slump and bend. Use “half Hollingers” as appropriate. Maintain documents split among multiple folders in the same box. For large collections that have multiple series, start each new series in a new box, as practicable. If doing so would create a box with only a few folders then continue the new series in the same box.

· Oversized materials should be placed in appropriately sized containers and included in the finding aid at the end of the collection with box numbers restarting numbering.

· Books: All monographs should be included in a bibliography and set aside for future review. However, books within personal papers collections that contain annotations should be maintained with the collection. The bibliography should be placed at the end of the finding aid after Oversized materials description, if applicable.

· Make box labels. While processing, write information on each box in pencil. When processing is complete and the finding aid written, make permanent labels for each box. Labels should include the collection name, series title, and box number. Box numbes are to be consecutive throughout the collection, except as noted above with regards to oversized boxes.

Chapter 6: Describing

The finding aid is compiled specifically to describe the arrangement and contents of a collection and to comment on its research potential. It serves the researcher seeking information about a collection, the staff in locating desired materials, and the donor a record of material deposited. The level of detail is dependent on the level of description/processing desired but at a minimum the process of description must lead to discoverability of major USACE events and topics.

This Processing Manual relies heavily on the Society of American Archivist’s, Describing Archives: A Content Standard (2013) (DACS). All finding aids should be compiled in accordance with these professional standards. CEHO’s policy is to include, at a minimum the following DACS elements, which are further detailed below:

Additional DACS “Added Value” and “Optimum” elements should be incorporated if the information is readily available or easily discerned.

Use clear, concise language, free of value judgments, personal bias, or excess professional jargon. Avoid using abbreviations. A sample finding aid and template is included at Appendix B. The finding aid should contain:

· Introductory Information: Repository name and address, title page, table of contents if applicable, collection title and dates, name of processor, date of processing, number of containers, volume of collection, restrictions statement, and literary rights statement.

· Extent: Record material types if they form a significant part of the collection, such as maps or electronic formats [See DACS 2.5.5.]

· Name Segment: Use the name of the person predominantly responsible for the creation of the collection. If the creator was a service member, use rank titles. But note that the title should reflect the contents of the collection. For example, if Brigadier General Smith’s family donates a collection, but these papers primarily reflect Gen Smith’s work when he was a Major, then use the rank of “Major” in the collection title. [See DACS, 2.3.4].

· Agency History/Biography: A description of the creator of the documents including summaries of functions, activities, events, and changes essential to understanding the documents, and the chronological listing of formal organizational structures and responsibilities or the major events in an individual's life.

Narrative should not exceed one to two pages. It is understood that most often, biographical and organizational history can be gleaned from collection records. However, if outside sources are referred to, provide proper citation in footnotes. If desired, published books or articles by or about the person or organization may be listed in bibliographic format following the narrative. Consult the most recent edition of the Chicago Manual of Style or the US Army Corps of Engineers, Office of History Style and Publications Guide for style guidance.

· Scope and Contents Note: An overall description of the documents including how the documents were generated, used, maintained; the time span and contents of major subdivisions; strengths and weaknesses of the records including gaps in coverage; and relation to other record groups and collections. Within the Scope and Content, a brief series description introduces the arrangement of the collection and provides a concise statement of the files within each series. The series description should include the following elements in order: title, inclusive and bulk dates, and number of boxes. Describe subseries if used within the series description.

· Physical Access: Note if parts of the collection are in different physical locations, i.e., “papers are located in Kingman G6; maps are located in Document Processing Annex Building No. 2584.

· Related Materials: Note the existence of related archival materials within CEHO holdings or other repositories if the information is readily available. For reference to related items held in the CEHO museum activity, use the following language: See also CEHO Historical Artifact Collection.

· Notes on Arrangement: Provide a fuller description of archival activities, note unusual circumstances with the collection, or if the collection was received in two shipments or processed in two segments. Also note collection strengths and weaknesses, physical condition of the documents, or restrictions on use.

· Container List: A list of folders or files in each box.

· “Notes” or “See also” sections may be used. Include information such as cross references to other CEHO collections, including items included in museum activity holdings, special handling, preservation problems, or any special instructions to the researcher.

Chapter 7: The “Process” of Processing

This chapter will describe the “process” of processing which occurs after the Archives assumes custody of a new acquisition or when a collection has been prioritized for processing. Until physical and intellectual control has been established over new collections they are closed to patron and staff access outside of CEHO personnel.

When the archival processing plan is developed, the staff will create a collection file to maintain all documentation created while processing the collection. The collection file serves not only current CEHO staff but also future CEHO staff. The collection file will contain all documentation accumulated after CEHO assumes custody. It will track all actions conducted by CEHO staff to include processing and preservation.

Preliminary Processing/Background Research Phase

Processing Checklist: When the processing of a collection begins, a processing checklist (please see Appendix A - Processing Checklist Form) will be maintained by the processor(s). Since the level of processing is not the same for every collection and the research value of each collection determines its level of processing not all areas of the checklist will be utilized on every collection.

Preliminary Research/Preparatory Phase: Processor(s) will conduct preliminary biographical research on the individual or organizational creator of the collection. The information compiled during this phase often establishes a better understanding of the context in which the collection was created and is often invaluable to the processor(s) during arrangement and description. During this phase, processors should determine using available database systems, i.e., dtSearch, whether a pre-existing collection exists by the creator of the collection. If it is determined that a pre-existing collection does exist, a determination will be made in consultation with staff historians to create a new collection or add the new materials to the existing collection.

Processing Arrangement and Description Phase: Please see Chapters 4-6 for the in-depth description of these phases of processing.

Before final arrangement is complete the following must be completed.

Classification Review

During the physical arrangement of the collection, the processors will assess all documents to determine whether classification review is needed. If a document is marked “confidential” or “secret” processors should bring this to the attention of appropriate staff for special handling. If classified or other sensitive documents are removed and separated from the collection, processors should use the Document Removal Record Form (See Appendix A) to indicate removal.

Personal, Confidential or Sensitive Information

During the physical arrangement of the collection, processors will assess all documents to determine whether personal, confidential, or sensitive material is contained in the collection. Within the Department of Defense, the term “personally identifiable information” (PII) is used to refer to personal information that can be used on its own or with other information to identify, contact, or locate a single person, or to identify an individual in context. Examples include birth dates, social security or tax ID numbers, place of birth, biometric information and/or other documents that can be used to link to a person’s identity such as educational or medical records. If a document or collection is found to contain such personal, confidential, or sensitive information, processors should bring this to the attention of appropriate staff for special handling. If the sensitive documents are removed and separated from the collection, processors should use the Document Removal Record Form (See Appendix A) to indicate removal.

During the physical arrangement of the collection, processors will assess all documents to determine whether the material will remain in the collection. If it is determined the material is excess (duplicative), the material will be transferred to appropriate supervisory staff for transfer or deaccessioning.

Chapter 8: Glossary

ACCESS (1) The ability to locate relevant information through the use of catalogs, indexes, finding aids, or other tools. (2) The permission to locate and retrieve information for use (consultation or reference) within legally established restrictions of privacy, confidentiality, and security clearance.

ACCESS POINT (1) A category of headings in a catalog that serve a similar function. (2) A name, term, phrase, or code used as a heading in a catalog, especially to group related information under that heading.

ACCESSION (1) The act and procedures involved in taking documents or papers into physical and legal custody by an archival agency or manuscript repository. The purpose is to extend basic control over a collection as quickly as possible to prevent its being confused or mixed with other material in custody. (2) The materials involved in such a transfer of custody.

ACID A substance capable of forming hydrogen ions when dissolved in water. Acids can weaken cellulose in paper, board, and cloth which can lead to embrittlement. Acids may be introduced in the manufacture of library or archival material, or may be introduced by migration from other materials or from atmospheric pollution.

ACID-FREE Materials that have a pH of 7.0 or higher. Such materials may be produced from virtually any cellulose fiber source, if measures are taken during manufacture to eliminate the active acid from the pulp. However free of acid a paper or board may be immediately after manufacture, over time the presence of residual chlorine from bleaching, aluminum sulfate from sizing, or pollutants in the atmosphere may lead to the formation of acid unless the paper or board has been buffered with an alkaline substance.

APPRAISAL The process of determining the value and thus the disposition of documents based upon their current administrative, legal, and fiscal use; their evidential and informational or research value; their arrangement; and their relationship to other documents.

ARCHIVES (1) An organized collection of the non-current documents of an institution, government, organization, or corporate body, or the personal papers of an individual or family, preserved in a repository for their enduring/continuing value. (2) The agency responsible for selecting, preserving, and making available documents determined to have enduring/continuing value.

ARRANGEMENT The process and results of organizing Archives, documents, and manuscripts in accordance with accepted archival principles, particularly provenance and original order, at as many of the following levels as necessary: repository; record group, collection, or comparable control unit; subgroup(s); series; file unit; and document. The process usually includes rehousing, labeling, and shelving of Archives, documents, and manuscripts and is intended to achieve physical or intellectual control and basic identification of the holdings. If there is no order, the archivist imposes an order that presents the records objectively and facilitates their use.

CATALOGING (1) The process of providing access to materials by creating formal descriptions to represent the materials and then organizing those descriptions through headings that will connect user queries with relevant material. (2) The process of providing such access, plus additional work to prepare the materials for use, such as labeling, marking, and maintenance of authority files.

COLLECTION (1) A body of manuscripts, papers, or documents, including associated or printed or other materials having a common source. If formed by or around an individual or family, such materials are more properly termed personal papers. If the accumulation is that of a corporate entity, it is more properly termed records. (2) An artificial accumulation of manuscripts or documents devoted to a single theme, person, event, or type of record. (3) In a singular or plural form, the total holdings accessions and deposits of a repository.

CONSERVATION The treatment of library or archival materials, works of art, or museum objects to stabilize them chemically or strengthen them physically, sustaining their survival as long as possible in their original form. See also preservation.

CONTENT The intellectual substance of a document, including, text, data, symbols, numerals, images, and sound.

CONTEXT The organizational, functional, and operational circumstances, surrounding materials’ creation, receipt, storage, or use, and its relationship to other materials.

CORRESPONDENCE Letters, postcards, memoranda, notes, printed e-mail, and any other form of addressed, written communications sent and received.

CREATOR The individual, group, or organization that is responsible for something’s production, accumulation, or formation.

CUSTODY Care and control, especially for security and preservation: guardianship.

DEACCESSION The process of removing material from the care and custody of an Archives, either because the institution has changed its collections policy and the material is no longer within its scope, or because the legal owner has requested its return, or because it has been agreed to transfer it to another repository. Deaccessioning is a serious matter that requires careful consideration and documentation because of legal ramifications and possible donor reaction.

DESCRIPTION The process of establishing intellectual control over holdings through the preparation of finding aids.

DISPOSAL Removal of an item, or items, in a collection following the appraisal process.

DOCUMENT Recorded information regardless of form. Documents appear in a variety of formats, including books and pamphlets, periodicals, printed sheets such as maps, manuscripts, graphics, audio recordings, video recordings, motion pictures, microfiche, and microfilm.

DONATION A voluntary deposit of documents involving the transfer of legal ownership, as well as custody, to the Archives.

DONOR An individual or organization who gives property or money to another without reciprocal compensation.

ENCAPSULATION The process of placing a document between two sheets of plastic (usually polyester), which are sealed at the edges, in order to provide support and to protect it from handling and from the atmosphere.

ENDURING VALUE: The continuing usefulness or significance of documents, based on the administrative, legal, fiscal, evidential, or historical information they contain, justifying their…