PWS ATTACHMENT 2_Processing Manual 5.28.25.pdf

PROCESSING

MANUAL FOR PERSONAL PAPER AND

DIGITAL COLLECTIONS

United States Naval History and Heritage Command

MARCH 2020

Harold Stark Collection Letter from Princess Elizabeth to Admiral Stark, 27 November 1947

Contents

001 Introduction

002 Collection Development Policy

006 Types of Collections

008 Additional Items

010 Core Concepts Processing Overview

012 Processing Overview

015 Phase Once | Survey + Series

021 Phase Two | Processing Plan

024 Phase Three | Process + Rehouse

025 Textual Processing | Preservation

031 Phase Four | Finding Aid

038 Phase Five | Final Steps

040 Born Digital Processing | Guidelines and Best Practices

052 Photograph Processing

060 Appendix

084 Glossary

087 Suggested Resource

ON THE COVER

"Postcard photo of the ship's 'new family', a dog with litter of puppies" The card was mailed on 29 August 1915.

Catalog #NH 10041

INTRODUCTION

PURPOSE

This manual is designed to assist the staff of the United States Naval History and Heritage

Command (NHHC) Archive to process new collections in a consistent and efficient manner. It serves as a practical guide for archivists in order to ensure the creation of standard finding aids, and can be applied to a wide range of archival record formats. In addition, the manual also contains concise summaries of archival principles and standards outlined in Describing Archives:

A Content Standard (DACS), the standard used for describing materials in an archive, endorsed by the Society of American Archivists.

It is intended to:

• Assist the archivist in evaluating the processing needs of a collection.

• Make archival processing practices more efficient and consistent.

• Define and implement standard baseline archival processing approaches.

• Make collections available for research as quickly as possible following acquisition.

NAVAL HISTORY AND HERITAGE COMMAND MISSION STATEMENT

To preserve and present an accurate history of the United States Navy.

Locate, collect, and preserve documents, artifacts, photos, oral histories, and art that best represents the history of the United States (U.S.) Navy.

Locate and protect lost U.S. Navy ships and aircraft, particularly those that represent the last resting place of American Sailors, to the maximum extent feasible.

As the U.S. Navy’s institutional memory, assist U.S. Navy leadership in meeting operational, readiness, policy, acquisition, and professional development requirements, and to learn at higher velocity.

ARCHIVES BRANCH

For over seventy years the Archives Branch and its predecessors have provided U.S. Navy records and research information to researchers worldwide. The branch's mission is to collect, organize, preserve, protect, and make available select permanent official records and other historically significant documents of the Navy such as personal papers and oral histories. The branch promotes accountability and transparency through strict adherence to both professional archival practices and Federal laws and regulations. The branch's collections contain vital historical data and its staff offers expert reference/research services primarily for the use of Navy decision-makers to effectively plan program resources and support the operations of the Fleet and the combatant commanders the Fleet serves. The Archives Branch also assists other government agencies, academic researchers, veterans, and the general public.

COLLECTION DEVELOPMENT POLICY

A Collection Development Policy (CDP) is a crucial document in the development of an archival collection. This policy provides NHHC with guidelines for present collecting but also regulations for future archivists to assess the development of the collection. The CDP contributes to responsible collecting regulating appraisal decisions before the material is accessioned into the repository thereby reducing potential archival backlogs. It contains the Deed of Gift and any additional legal requirements for the acquisition of a collection. The CDP must also be referenced in the deaccessioning of any unprocessed, low research valued collections.1

1 See also Appendix A for U.S. Naval History and Heritage Command Archive Accession and Initial Evaluation Form.

V 1.1 September 1, 2020

Naval History and Heritage Command, Textual Archive

Collection Policy and Acquisitions Statement

Mission Statement:

• The Textual Archives of the Naval History and Heritage Command (NHHC) locates, collects, preserves and makes available the official records and personal collections that best represent the history of the U.S. Navy for present and future generations.

Acquisitions:

• This Collection Development policy is intended to provide guidance for acquiring archival materials not presently mandated for retention by the Department of the Navy (DON) Records Management Manual (SECNAV M-5210.1, September 23, 2019).

• The U.S. Navy Archives will only accept materials that are provided with a clear and documented provenance. Materials will be accepted through private donation, internal NHHC transfer, or any other transaction by which legal title passes to the U.S. Navy.

• The U.S. Navy Archives will only accept materials that it has the resources available to adequately house, maintain, access, and preserve according to current professional standards.

• The Archives will work with donors regarding restrictions on a gift or bequest, acceptable conditions, and the transfer of copyright to the command.

• The U.S. Navy Archives reserves the right to deaccession, or properly dispose of any materials deeded to the command.

• Donors should notify U.S. Navy Archives’ staff as soon as possible of the existence of classified or restricted materials in a potential donation. Archives staff will work with donors to ensure proper handling of these materials.

Areas of Focus/Collecting priority areas:

Archives’ staff will consider all donation offers on their own merits with particular attention to the content, context, and historical significance of the materials. The Archives mainly collects the following type of materials in both paper and born-digital formats:

• Correspondence

• Diaries

• Notebooks

• Speeches

• Draft Publications

• Scrapbooks

• Audio/Visual Materials

• Maps, Drawings, and Plans

• Oral Histories

• Financial or organizational records

The U.S. Navy Archives has a particular interest in collecting Manuscript Collections that document:

• Officers, enlisted sailors, and civilians that demonstrate a particularly strong historical presence and leadership role in the U.S. Navy;

• U.S. Navy achievements and advancements;

• Gender, race, and diversity issues throughout the entire U.S. Navy;

• U.S. Navy heritage, culture, life, and social history;

• The history of individual U.S. Navy vessels to include notable people, life aboard ship, technical advancements, and crew accomplishments;

• Global war and peace-time operations and deployments.

Materials NOT Collected by the Archives Branch:

The U.S. Navy Archives will not collect or knowingly accept collections whose ownership are in question; reproductions and duplicates; items in extremely poor physical condition; and items that do not support the mission of the Archives. The archives does not collect:

• 3D objects

• Artifacts

• Works of art

• Plaques

• Books and other published materials

The U.S. Navy Archives strongly discourages unsolicited donations, either sent through the mail or delivered in person.

Exceptions:

• Acquisition decisions are based upon many complex factors and involve the proper application of federal law, regulations, command policies, and U.S. Navy Archives’ procedures.

• Final authority for accepting archival donations resides with U.S. Navy Archives’ leadership.

Users:

• The U.S. Navy Archives Branch is open to official researchers working for U.S.

Government offices and agencies, scholars undertaking personal research projects, and the general public.

Review:

• U.S. Navy Archives’ staff will regularly review the Collection Development Policy and incorporate changes as necessary in order to ensure its effectiveness.

Branch Head Signature Date Division Director Signature Date

TYPES OF COLLECTIONS

OFFICIAL RECORDS

In regards to United States Navy official records, the U.S. Naval History and Heritage Command is subject to the general retention schedule of the Navy and Marine Corps Records Management Manual (SECNAV M-5210.1, September 2019)2. The retention schedule for this series of records outlines the established procedures as it pertains to the entire record life cycle, from its inactive use to its eventual retention (including processing), transfer, and/or destruction.

As of March 2020, the types of records governed include:

• Immediate Office of the Chief of Naval Operations (CNO): General Operations and readiness Records

• Unit Histories

• Deck Logs

• Command Operation Reports

• Combat and Action Reports

• Submarine Operations Reports

• Flight Reports

• Navy and Marine Corps Command Histories

• Historical Records and Historical Program Management

• Historical Matters Records

• Archive Records

PERSONAL PAPERS

In the context of NHHC, personal paper collections are those acquired materials created and donated by private individuals or organizations that will strengthen or broaden the current collection. Items of interest include materials that document traditionally underrepresented persons, groups, and subject areas, are original in nature, and also fill gaps in the Archives’ previous collecting.

These collections are typically generated, collected, and/or maintained by an individual, family, or organization. They often contain a mix of media formats including unpublished materials and the following:

• Correspondence

• Diaries

• Notebooks

• Speeches

• Draft Publications

• Scrapbooks

• Audio/visual materials

• Maps

• Drawings

• Plans

• Oral Histories

• Financial or Organizational Records

• Electronic Documents

• Ephemera

The U.S. Naval History and Heritage Command also accumulates these same materials created entirely or partially in electronic format. Digitized material, documents created on paper that have been scanned, are not considered born digital collections and are therefore not included in this category.

2 https://www.secnav.navy.mil/doni/SECNAV%20Manuals1/5210.1.pdf http://www.loc.gov/preservation/

ADDITIONAL ITEMS

CLASSIFICATIONS/RESTRICTIONS

Collections may contain Personal Identifiable Information (PII) and/or material marked with classification ratings above unclassified. This includes but is not limited to: The North Atlantic Treaty Organization (NATO) restricted, classified, secret, top secret, and Sensitive Compartmented Information (SCI).

• Document boxes containing classified material must have the appropriate label indicating the classification level on the outside of the container (see page 28)

• The finding aid and any entries included in the content management system, Content Manager (CM), must note this classification clearly to prevent mishandling of the collection.

• A written warning, “Contains PII” must be written in pencil on any folder containing said material. A separate label “Contains PII” must be included on any box containing PII material.

COLLECTION ACCESS

Unclassified collections will be made available to researchers after processing has been completed.

The use of some records is restricted due to information that is exempted from release under the Freedom of Information Act (5 U.S.C. 552, as amended)3 or due to it being classified. Classified collections are available to the extent allowed by the requestor’s security clearance and need-to-know as defined by Department of Navy (DON) security requirements. The Archives Branch does not control or manage the Executive Order 129584 (Declassification Procedures); therefore any requests for classified documents are subject to the DON declassification procedures and timeline.

DEACCESSIONING

The Accessioning Archivist is the authority for all deaccessioning considerations and should be consulted for additional instruction and guidance for any collections/items that require deaccessioning. The Accessioning

Archivist will oversee the deaccessioning of items through the Deaccessioning Committee. Items such as books and objects are typically offered to the U. S. Navy Library and U.S. Navy Curators, while photographs and other specially formatted images are offered to the Photo Archive. Ensure that materials removed from a collection for transfer to another division are reproduced prior to their relocation and that this action is documented.

DISCARDS +DUPLICATES

In some cases, collection material may be discarded or returned to the donor. Items that may be discarded include:

• Items that do not fall within the NHHC Archives Collection and Accession Policy

• Duplicates already maintained in an NHHC collection

• Items in very poor condition or containing mold (retain photocopy prior to discarding)

• Prior to discarding duplicate materials, consult with the Accessioning Archivist and the Deed of Gift for donated materials only. It is necessary to complete a Deaccession Form when removing duplicate materials5. If multiple and identical copies of an item are found within the same collection, retain the original and the copy that is in superior condition and discard the rest. Annotations (for example, handwritten notes on an event program) render an item unique; these materials should be retained.

PUBLICATIONS

Unless a book or periodical bears annotations by the author, it should be removed from an accession and reviewed for possible addition to an appropriate book collection. If the NHHC Library already owns a copy or declines the offer, consult with both the Lead Processing Archivist and the Accessioning Archivist. Removal of any items should be documented and included in any collection descriptions such as the Finding Aid.

3 h t t p s://www.govinfo.gov/app/details/USCODE-2011-title5/USCODE-2011-title5-partI-chap5-subchapII-sec552.

4 h t t p s://www.federalregister.gov/documents/2002/09/30/02-24984/designation-under-executive-order-12958.

5 See Appendix C for U.S. Naval History and Heritage Command Deaccession Policy and Form.

http://www.archives.gov/declassification/ndc http://www.federalregister.gov/documents/2002/09/30/02-24984/designation-under-executive-order-12958

CORE CONCEPTS

There are many types of archival collections, including the personal papers of an individual, the papers of a particular family, and the operational records of a naval command or organization.

Archival collections can also be a group of materials that were collected or assembled by a person or organization that did not create the materials. Every collection comes with its own unique challenges; however, an archivist’s approach to processing an archival collection is always guided by the basic principles and standards of the profession.

During processing, an Archivists’ primary role includes:

• Respecting the collection and its contents

• Preserving the integrity of the materials

• Ensuring the collections’ availability for research use

To accomplish these goals effectively, it is necessary to understand the importance of the materials with which an archivist is working with and to know some basic archival processing standards.

Provenance (Respect de Fonds) and Original Order are the two core concepts that guide archival arrangement6. These principals work together to provide the archivist and the researcher with information about the context of the records’ content. They provide introduction to the basic concepts that underlie the method for processing collections outlined in this manual.

PROVENANCE (RESPECT DE FONDS)

Provenance states that records created, accumulated, assembled, and/or maintained and used by an individual or organization should be kept together according to their origin and not mixed or combined with those of another person or organization. For example, a number of letters created by Admiral Chester W. Nimitz, Sr. cannot be combined with other similar materials to form an artificial Nimitz collection. The significance of archival materials is heavily dependent on the context of their creation, therefore, the arrangement and description of these materials should be directly related to their original purpose and function.

ORIGINAL ORDER

Original order refers to keeping records in the order in which they were kept by the person or organization that created, accumulated, assembled, and/or maintained them. In other words, the groupings, file systems, subdivisions, and other structuring provided by the records' creator should be maintained.

In a perfect world, collections arrive at an institution with arrangement schemes that are discernible and usable. For example, letters originally organized by date should be maintained in that order.

When that occurs, the arrangement stays “as is,” regardless of how complex or complicated the pattern may seem.

Maintaining a collection “as is” follows this archival principal (the order established by the creator), which may provide researchers insight into such things as:

• An individual’s thought processes on a certain project (say, writing a book)

• An organization’s filing system

• An organization’s activities throughout the years

Keep in mind that many collections do not receive the level of detail necessary to maintain both physical and intellectual control, so it becomes necessary for the archivist to arrange the collection in a way that will allow individuals the access they need to use the collection for research purposes.

6 https://www2.archivists.org/glossary/terms/o/original-order.

PROCESSING OVERVIEW

PROCESSING OVERVIEW

“A collection is ‘processed’ whenever it can be productively used for research” – Helen Sotkin

Processing is the physical act of assessing, arranging and describing archival collections. There are a number of steps conducted by the archivist to ensure collections are processed effectively and efficiently. Most importantly, though, the archivist reviews the contents of the collection, determines whether collection items are accessible and usable in their current state, decides which items should be kept, and provides a description of the collection’s contents to guarantee usability by researchers.

With all of these things in mind, the archivist makes as their goal the fair and equal access of all items comprising a collection.

To do this, the archivist properly identifies and provides a sense of order to collection contents, and subsequently communicates their work to the potential user audience through the use of finding aids.

The following procedures are relevant regardless of whether minimal or in depth processing techniques are applied. The guidelines emphasize assessment, access, and efficiency. They should assist the archivist in evaluating the specific needs of a collection in order to determine a series of sound, professional decisions to promote a level of access appropriate to that collection's requirements.

Quality processing is defined as conducting the most appropriate amount of work in order to make a collection usable. It is not measured by intensity or level of detail. Quality may be measured by how effectively a processed collection serves its user base and how wisely a processor spent a repository's resources to achieve this. Thus, initially consider how much processing work is necessary for a particular collection.

Some items to keep in mind:

• Work consistently. Keep a log of important decisions and follow the same conventions for naming files that have already been established.

• The records themselves will serve as a guide during processing making it possible to identify common characteristics within them.

• During processing, it is possible that mistakes will happen that will need to be corrected.

• Therefore, it is a good idea to take notes and think through the processing before beginning any work on the collection.

• Analyze the work necessary for every collection and be flexible in the amount of work applied.

• A collection is “processed” when the collection record in Content Manager and the Location Register is complete.

• Do not expect a "one-size-fits-all" standard for arrangement, description, or preservation across all collections or even within collections. The amount of work required to process will vary from collection to collection, or series to series.

• Arrange, describe, and preserve materials in harmony.

• Work should all occur at the same processing level for any given unit of archival collection materials, arrangement, description, and preservation. In other words, if arrangement occurs only to the series level7, so should description and preservation actions.

Collections identified for processing will be added to the Processing Priorities spreadsheet by the Lead Processing Archivist, from which Archivists can select their work; large collections will be assigned by the Lead Processing Archivist to a team of staff who will work together to process the collection.

Determine if the collection is an accretion or a new accession that will constitute a new collection.

Locate the hard-copy Accession file in building 46, 2nd floor, room #232 (classified research room).

All accession files are filed either alphabetically or by accession number in the grey metal cabinets.

These files contains any correspondence between the Command and the donor, the Deed of Gift form (personal papers), and any other material relating to the receipt of the accession. It is also possible that the NHHC Curator Branch may maintain a separate accession file If the original donation of the collection contained any items that were transferred to that division. This is especially true if the original donation was first acquired by the United States Navy Historical Foundation. Be sure to check with the curator for more information and to copy any additional documentation they may have.8

PROCESSING PROCEDURES

Phases 1-6 provide an overview of collection processing procedures:

PHASE ACTION

SURVEY +

SERIES

Survey: Locate the entire collection. Gather basic information about the collection (sources of information may include the accession file, official websites, and published sources). Identify general subject content, provenance, formats of material, any pre-existing arrangement, condition, preservation/rehousing needs and create a preliminary inventory indicating the estimated size, in linear feet, of the collection.

Identify the original order of the material, or lack thereof, this may include distinct record groups or series. Do not rearrange any of the material when doing the initial review of the contents of the box.

Take notes to include in the scope and content section of the finding aid draft such as important dates, functions, names, and significant events. Identify, if any, materials that need to be de-accessioned such as three–dimensional objects, duplicates, items containing mold, etc. Separate these items and contact the Lead Processing Archivist.

Based upon the size of the collection, the survey should last no longer than a day.

PROCESSING

PLAN

Create a processing plan: Note the date range, major subjects, and related groups – publications, speeches, or correspondence and begin to think about the arrangement. Determine the level at which the collection will be processed, and meet with the Lead Processing Archivist if you have questions.

If the collection contains previously unidentified classified material, immediately notify the Processing Supervisor and coordinate with the TS Control Officer to properly track the information. A legacy Processing Plan form is available to track decision making if you’d like.

See Levels of Processing section for additional information.

PROCESS +

REHOUSE

Process the collection: Using the preliminary inventory as a reference, arrange, rehouse, and create a container list for the collection. Create box labels: Adhere the labels, classification, and NATO/PII stickers to the boxes.

For each collection, use legal-sized folders and boxes. Remove fasteners as necessary.

FINDING AID

Create the finding aid. For Official Records create the folder level inventory use the template page 30 of this manual.

METADATA

Create/Update the collection record in Content Manager, as well as the Location Register and Processing Priorities spreadsheets. Guides for Content Manager are in Appendix E.

6 Final steps to ensure all goals are met.

SHARE

Save a copy of the Finding Aid to the SharePoint Folder and notify the Digital Team Lead.

7 See Levels of Processing section for additional information 8 See Appendix D Creating a Collection Accretion.

http://www.connectingtocollections.org/?newTargetListUrl=%2Fsites%2FNHHC%5FArchives%5FBranch%2FShared%20Documents&viewpath=%2Fsites%2FNHHC%5FArchives%5FBranch%2FShared%20Documents%2FForms%2FAllItems%2Easpx&id=%2Fsites%2FNHHC%5FArchives%5FBranch%2FShared%20Documents%2FFinding%20Aids&viewid=4c91e793%2De79d%2D4b94%2Da76f%2Ddb89c30cf3fb

PHASE ONE | SURVEY + SERIES

PRELIMINARY RESEARCH

ADMINISTRATIVE RESEARCH

Administrative research is conducted to identify any potential restrictions regarding access, reproduction, disposition, as well as to gain a greater understanding of the donor and donated materials. The archivist should consult the following sources:

ACCESSION FILE

Accessioning is the first phase in the arrangement and description of archival collections.

During accessioning, archivists gain initial control over incoming records: the content and condition of materials are reviewed, a rough description is created, and some housing issues are addressed before material is shelved.

Verify the existence of a Deed of Gift or any other intake documents and take note of any access, reproduction, or disposition restrictions. This information can be gathered by locating the Accession File. Do not process a collection lacking this paperwork without first consulting with the Senior Processing and Senior Accessioning Archivists.

CONTENT MANAGER RECORD

If the collection has an accession record in Content Manager, identify any preliminary inventories and/or attached notes. Check all collection notes created by the archivist who performed the inventory, as these notes may aid in arranging the collection.

OTHER ARCHIVAL INSTITUTIONS

If the archivist is aware of collections at other archival institutions related to the one being processed then a link to the online finding aids describing these materials should be included in the final NHHC finding aid.

BIOGRAPHICAL AND HISTORICAL RESEARCH

As the Archivist processes a collection, they should familiarize themselves with the history or biography of the creator, with the subjects represented in the collection, and with any access, reproduction, or disposition restrictions. While researching, take sufficient notes to allow production of a Biographical or Historical Note in the finding aid.

LEVELS OF PROCESSING

Upon surveying the collection, determine the appropriate level of processing required for the collection based upon its contents, physical arrangement, and research value. Consider the following three levels and their descriptions:

LEVELS TO CONSIDER

MINIMAL

Intellectual arrangement at the collection level. Write a summary of the overall collection.

Retain original order of the collection. Remove bulky elements or damaging elements (e.g.

frames, rubber bands, damaging paper clips/staples). Re-folder into acid-free folders. Re-box collection into acid-free boxes, if needed. Generate a container-level list and circa dates for boxes. Write a summary of the overall collection.

MODERATE

Intellectual arrangement at the series level. Retain creator-provided descriptions and label if possible; revise if necessary. Rearrange folders within evident series. Remove bulky elements or damaging elements (e.g. frames, rubber bands, damaging paper clips/staples).

Re-folder into acid-free folders. Re-box into acid free boxes. Sleeve significant photographs and negatives. Isolate or create a preservation facsimile of acidic materials as appropriate.

Generate a finding aid.

HIGH

Intellectual arrangement at the series and subseries level. Provide a new file scheme because original order is unidentifiable and/or unmanageable. Rearrange folders within evident series. Remove bulky elements or damaging elements (e.g. frames, rubber bands, damaging paper clips/staples). Provide a summary of the collection, folder titles are refined and standardized. Re-folder into acid-free folders. Re-box into acid-free boxes. Sleeve significant photographs and negatives. Isolate or create a preservation facsimile of acidic materials as appropriate. Finding aid includes biographical information, scope and content notes, and detailed folder and container lists.

Determining an appropriate processing level is not an exact science and will vary from collection to collection, or from series to series within a collection. There are a number of factors that must be weighed when evaluating how much effort to invest in processing, including research value, expected use, condition, and complexity, as well as an NHHC’s resources.

Additionally, consider the following:

• How frequently do/will researchers seek material on the topics documented in the collection?

• What kinds of researchers are interested in the material?

• How significant is the documentation to scholarship on this topic? How unusual, extensive, or detailed is the documentation?

• Does the collection have particular interest to NHHC? Does the collection serve researchers with a particular interest?

• Are there political or other reasons to highlight the collection?

• Does the collection include materials that are significantly rare, unique or precious?

• Do the materials have significant exhibit value? Are they likely targets for theft?

• Keep in mind that small collections and those with low research value may never receive more than collection-level treatment. The following chart gives a brief overview of some considerations for determining appropriate levels of processing.

Level of Effort Level of Control Attributes

Minimal Collection Level • Collections with low research value or little expected research use (less than every few years expected use).

• Collections with simple organizational schemes.

• Collections with uniform kinds of materials or subjects.

• Series of any size with adequate original order, description, and housing. Content or format is uniform and the existing arrangement is adequate for finding material, appropriate to the anticipated level of use.

• Series for which a succinct scope and content note in place of a folder list would offer adequate information for discovery.

Moderate Series/Subseries/Folder Level • Collections with moderate to high research value and expected research use on a regular basis or at least once per year.

• Series or collections with appropriate existing housing, organization, and/or description.

• Series where the content/topics and/or formats are highly varied.

• Collections or series with little to no original order or housing.

• Collections or series with privacy issues, where restricted materials are scattered throughout.

High Item Level • Reserved for collections, or materials within collections, that are significantly rare and have the highest research value.

CREATING AND ARRANGING THE SERIES

When organizing the collection, it may be beneficial to create series and subseries in order to group materials that have a similar function or format. Whenever possible, these groupings should reflect the original groupings used by the collection’s creator.

In some instances, the original order can be confusing or not practical from a research standpoint. In these cases, it may be advisable to create a new order that is practical. Impositions of new arrangements upon a collection should be described in the collection’s processing note.

In order to be usable, a collection or series must be discoverable (i.e. materials with significant research value must be easy to find), and typical use should not create undue risk of harm.

Personal Paper Collection

Series Series Series

Item

Series: A group of similar records that are arranged according to a filing system and that are related as the result of being created, received, or used in the same activity; a file group.

Subseries: A body of documents within a series readily distinguished from the whole by filing arrangement, type, form, or content.

File: A group of documents related by use or topic, typically housed in a folder (or a group of folders for a large file).

Item: A thing that can be distinguished from a group and that is complete in itself. Items are generally considered to be the smallest archival unit.

If a preliminary inventory or inventories exist, review them and the relevant case notes to aid in identifying series and subseries. Do not create so many series that the arrangement scheme becomes confusing.

Subseries

File

Within a single collection, it is possible to have both format- and function-based series.

TYPES OF SERIES (FUNCTION)

Common Series Characteristics

Legal Papers Business Papers Personal Papers Genealogical Research Papers

Documents created to protect the rights and interests of an individual or organization or to meet other legal needs.

Documents and other materials created or received by a commercial enterprise in the course of operations.

Documents created, acquired, or received by an individual in the course of his or her affairs and preserved in their original order.

Official and unofficial historical records, such as: Census records, vital records (birth certificates, adoption records, death certificates, marriage and divorce records, etc. used to trace an individual's ancestral history.

TYPES OF SERIES (FORMAT) | PERSONAL PAPERS COLLECTIONS

Common Series Characteristics Considerations Notes

Biographical Files

Correspondence

Diaries

Notebooks

Professional Activities

Forms of identification, school/health records, personal items.

Separate like items into subseries, then place in chronological, alphabetical order.

If something is significant enough (in volume or importance) to constitute its own series such as Accolades or Awards, separate it.

Incoming/Outgoing;

Written communication, especially those sent by courier or post;

letters.

First separate incoming from outgoing. Then place in alphabetical order by individual, placing his or her correspondence in chronological order.

Give prominent names (important to collection or prolific writers) their own folders. The rest can be placed in general folders by letter. Keep envelopes together with letters.

Personal journals; A personal account of events in the individual's life.

Sort into categories if applicable, arrange chronologically.

If diaries are contained in binders, remove papers and place into folders.

Place individual notebooks into folders.

Research, personal observations; short, written documents, often informal and used as an aid to memory.

Determine where these belong - may be a subseries of Research.

Separate papers from binders or other harmful enclosures.

Work, conferences, associations.

Sort into categories in chronological order.

Give prominent activities or events their own subseries.

Not all collections will warrant organization into series. For example, a collection consisting solely of the correspondence of one individual does not need to be subdivided.

In determining the order in which the series should be placed within the larger collection, several factors should be considered.

The series that shed the most light on the creator are placed first. These series typically contain records generated by the collection's creator, for example diaries and correspondence.

Conversely, such secondary materials as newspaper clippings and ephemera (which may be about the creator or the creator’s interests) generally fall at the end of a collection.

Second, consider the size of the individual series. If the collection contains a number of series that define the creator in the same way, order the series from largest to smallest. For example, a series consisting of four boxes of Legal Records would come before a series consisting of one box of Financial Papers.

Finally, alphabetical arrangement of series can be used when neither of the other methods is applicable.

NUMBERING SERIES

Series and sub-series should be numbered using the following outline pattern:

Series I: Correspondence, 1975-1998

✓ Subseries A: Incoming Correspondence, 1975, 1990-1998

✓ Subseries B: Outgoing Correspondence, 1975-1998

Series II: Diary, 1960-1998

Research Notes, remarks. Does this research culminate in something?

Highlight relationships between records. Sort into categories.

Writings Manuscripts, published, nonpublished.

If it is possible to determine, separate published from unpublished.

Separate writings into categories such as essays, stories, whatever is applicable.

Newspaper Articles An article or photograph cut from a newspaper or magazine.

Photocopy the item and arrange it in chronological order.

Identify, if any, articles highlighting specific notable events/accomplishments.

Photographs Family, travel, professional.

Stabilize them – enclose photographs in sleeves and remove them from albums if possible.

Separate into categories based on the information available: persons, travel, artwork, etc.

PHASE TWO | PROCESSING PLAN

CREATING A PROCESSING PLAN

Upon consideration and identification of the above processes, develop a plan outlining the intended arrangement and the level of processing required. Creating a processing plan presents a good opportunity to note any particular preservation problems. Some issues encountered may include areas that will require immediate attention, such as bug infestations, mold, or seriously damaged items.

Other preservation concerns may not be as time sensitive and can be noted for later attention.

Processing plans may also help ensure collections are processed at an appropriate level of control and that extra work is justified and sanctioned.

A Processing Plan Form is available for you use if you would like assistance in organizing your thoughts and the information needed to create a processing plan

PROCESSING RATE TIMESHEET

If research use warrants it, a collection can always be processed to a more granular level but it is impossible to undo time-consuming processing efforts that were not needed. For every processing task, weigh whether the time and cost will considerably help researchers find significant materials or will protect important materials from damage. If the intended work is not adding a fair amount of value to a collection, then reduce the amount of effort and work at a higher level of control.

The Processing Timesheet will assist in identifying the amount of time required to process a collection calculated in fifteen minute increments. It captures the time spent physically arranging, processing, surveying, re-housing, data entry, writing/editing finding aid, meetings/planning, and other activities related to the overall processing of a collection. The use of this form is not required but is available for your use.

The Processing Rate Timesheet and Processing Plan form are located on the Digital drive:

Q:\NAVHISTCEN_WNYD_N63151\Digital\Processing\_Processing Team Procedures

PHASE THREE | PROCESS + REHOUSE

Once you’ve developed a processing plan, the collection should be physically rearranged to comply with the proposed order. There are a number of ways to achieve this goal; the method that follows (performing a rough sort and then refining the organization) is among the most commonly used.

SORTING THE COLLECTION

Rough Sort Materials should remain in their original folders during this process. Physically re-box folders or create piles to assist in separation and providing greater clarity of the material. Do not organize the folders into the series and subseries at this point. While sorting the collection, watch for duplicate items, personally identifiable materials (for example, financial statements and medical records), and publications that should be cataloged into an appropriate book collection. Prior to removing or discarding any items, discuss these materials with the Lead Processing Archivist along with any necessary revisions to the original processing plan.

Refining Organization Once sorted, choose a series that is small or appears relatively simple to begin with. Start, for example, with biographical files, minutes or correspondence. Begin organizing the items in the first series and continue reorganizing the collection by arranging the materials in series and subseries (if necessary) according to the organization previously established. During this process, place the materials in appropriate folders, undertake preservation measures as necessary, label the folders, and place the folders in appropriate boxes in their final order. Repeat this process with any remaining series.

PROCESSING/PRESERVING COLLECTIONS

As processing takes place, it provides a good opportunity to examine more closely the contents of the records. A set of notes on such things as information content, changes in recording practices and forms, gaps in dates, significant events, people or topics addressed, and items of particular research value can be noted for inclusion in the finding aid.

Make certain to follow proper handling procedures when working with collections. In general it is important to:

• DO NOT eat or drink around collections

• ALWAYS USE PENCIL. Do not use pens or markers to write on documents, folders, or containers.

• When moving paper documents or artworks, particularly brittle items, support the item carefully from below.

• Remove rusty fasteners

Additionally the following handout containing best practices for preserving and physically handling collections has been created for removal from this manual and for use in the processing workspace.

PROCESSING | PRESERVATION

NEWSPAPER

Newspapers should be unfolded, laid flat, and placed in an acid-free folder. If the newspaper is deteriorating, photocopy to archival quality paper and to the best quality possible ensuring that all information is captured clearly. Maintain the paper copy and discard the original newspaper. For multiple pages of a newspaper, ensure that all pages are labeled with the correct page number to maintain provenance (Ex. Title of Newspapers, Page # of #). Isolate newsprint because it is highly acidic and will stain adjacent paper.

UNFOLD AND FLATTEN PAPER

Unfold and flatten papers wherever possible without causing damage to the folds. This includes letters, booklets, menus, pamphlets, documents, maps, etc. Remove letters from envelopes. If necessary, attach envelopes to the back of their unfolded contents with the address facing out Do not discard envelopes containing addresses, names, notes, etc.

Prints, drawings, and extremely fragile or valuable items should be treated by a conservator. Once materials have been unfolded, remove surface soil with a soft brush.

SCRAPBOOKS

Scrapbooks should be maintained in their present state, do not disassemble unless items are in very poor condition and in danger of being lost. If album is disassembled, ensure that a copy of each page is created beforehand and note any information in the scrapbook about the photograph on archival quality paper to keep with the loose photograph. Place both photo and note in a plastic sleeve. Scrapbooks that cannot be disassembled may require that the pages may be removed for preservation.

PHOTOGRAPHS

Remove all photographs from frames and place loose photos in archival quality plastic sleeves. Remove photographs that are taped onto paper with self- adhesive tape ONLY if you can do so without damaging the image. Do this carefully with an x-acto knife. Do not attempt to pull-off tape unless you can do it without damaging the emulsion.

IDENTIFICATION MARKINGS

If necessary, place identifying information on the object itself, use a No. 2 pencil, all-stabilo pencil, or photo marking pencil and write on the verso or in the lower right margin. Repeat the identification on storage folders and envelopes in pencil. Never use ballpoint or felt-tip pens that might stain or bleed. Never apply labels directly to a document or work of art; labels are intended for boxes.

INTERLEAVING M A T E RI A L

Interleaving sheets are sometimes used to protect paper objects in bound volumes, scrapbooks, and folders while in storage. Acid-free paper can be used for this purpose. Use sound judgement in doing this because too much interleaving will increase the weight and volume of a collection and can cause damage.

OVERSIZED ITEMS

Items that are larger than the legal sized Hollinger boxes should be removed and placed in an oversized folder and housed in the flat files. If the oversized item intellectually belongs with the series it was found in, utilize the separation sheet found in Appendix I.

ENCLOSURES

Clear plastic enclosures are particularly useful for objects that receive continual handling, are too brittle to be handled unprotected, or, such is the case with postcards, must be browsed to view the images. Keep in mind that plastic enclosures provide no protection from light. All items in clear plastic enclosures should be placed in boxes for long-term storage.

Documents may also be encapsulated between sheets of polyester using double-sided tape with a ¼ inch margin between the document and the tape. If available, an alternative to encapsulation, especially suitable for oversized documents, is a folder with a polyester cover sheet.

NEVER laminate any items regardless of their condition as this action cannot be undone and deteriorates the document over time.

PROCESSING | PRESERVATION

TORN/BRITTLE DOCUMENTS

For fragile, torn, or brittle documents, use archival sheet protectors. If a document is badly torn, it may be necessary to repair it with archival mending tape.

NEVER use scotch tape.

STORING OBJECTS

To the extent possible, store objects of similar size and weight together. If heavy or bulky items are stored with fragile documents, damage can occur from uneven pressure.

REMOVING EXTRANEOUS MATERIAL

Fasteners such as staples, paper clips, string ties, rubber bands, brads, and straight pins frequently damage documents. The damage may be physical: puncturing, tearing or distortion such as creasing. Or chemical damage may result such as staining from the rusting of metal fasteners. Carefully remove these from archival documents before they are put into long- term storage.

Such as paper clips, rubber bands, wrapping material, old folders and any other material that is not pertinent.

If foreign matter (such as pressed flowers or other organic material) must be saved as an artifact, place it in a separate enclosure.

Never use metal paper clips, binder clips, brads, etc. on documents. If materials require it be kept together for provenance, then fold an acid free paper over the documents and keep the paper in place with an archival paperclip.

REMOVING RUBBER BANDS/TIES

Cut the tie or band and gently lift it off. Do not attempt to pull these fasteners over the ends of documents. If a rubber band has dried and adhered, gently scrape it off with a microspatula, being careful not to abrade or tear the paper. If the rubber band is soft and sticky, do not use solvents. Sticky residue may be gently scraped off with a microspatula.

REMOVING PAPER CLIPS

If the paper clip has not rusted and the paper is sturdy, a paper clip can be removed by gently prying it open. The safest method is to place the fastened papers with the short side of the paper clip facing up and the long side against a flat surface. Holding the long side of the clip down (through the paper) with one finger, carefully pull up on the short side with, a microspatula. With fragile papers or papers too rusted by the clip: gently insert a small piece of Mylar between the clip and the paper on both sides; position the papers, and pry open as above. If the paper clip is severely rusted, first loosen it from the paper by scraping through the rust layer very gently with the tip of a microspatula before inserting the Mylar and gently prying the clip open.

REMOVING S TAPLES

Do not use staple removers. If the staple has not rusted, and the paper is sturdy, a staple can be removed by gently prying the prongs and carefully slipping them through the puncture holes. The safest method is to place the stapled papers on a flat work surface with the prongs of the staple facing up. Insert the tip of a microspatula between the paper and a prong of the staple and gently pry open one prong at a time.

Turn the stapled papers over and insert the microspatula between the staple and the paper, and carefully slip the prongs through the puncture holes.

With fragile paper, or papers to which the staple has rusted, gently insert a small piece of Mylar between the staple and the paper on both sides, position the papers, and pry open as above. Cut Mylar into strips which are slightly smaller than the width of a staple (or tapered) to make the Mylar easier to insert. If the staple is severely rusted, first loosen it from the paper by scraping through the rust layer very gently with the tip of a microspatula before inserting the Mylar and gently prying prongs open and removing the staple.

REHOUSING

The rehousing of the collection is intended to provide a stable, archival-quality environment through the use of acid-free folders and boxes. Particular care should be taken with housing provided for special format materials to ensure that they are appropriate for the particular medium of records.

When special items are integrated into a larger group of records, they may need to be moved to a separate location for storage. In such instances, a separation sheet should be inserted to indicate where the item is located, noting both its intellectual location and where it is physically stored.

PLACING MATERIALS IN FOLDERS

Transfer the contents of each original folder into an acid-free folder. Use the scored creases on the bottom of the folders to adjust the folder’s depth so that it holds the materials upright. A folder may be considered over-full when its width exceeds the width of the top digit of the index finger.