What: Processing levels outline the basic intellectual and physical tasks to undertake for each collection depending on an archivist’s appraisal of the material’s research value and physical needs.
Why: One way to expand the notion of what a “processed” collection looks like is to utilize different tiers or levels of processing. Using such a framework gives flexibility in available practice, and allows for more intensive (intellectual and physical) work to focus on the collections with the highest research potential. By introducing a shared language, we can be more transparent (to users, but perhaps more importantly to our successors) about why we did the level or amount of work we did.
One of the joys of working with archival material is experiencing a wide range of distinct and different records. Agreeing to use a framework of basic processing levels allows individual archivists as well as archival processing managers or programs to choose different options for each collection depending on their appraisal of the research value of the materials themselves.
How: Evaluate each collection either at the point of accession or at the point of processing. An ideal accessioning program would include a preliminary recommendation of each collection’s processing needs.
For example, organizational records in titled folders might be served by a basic series arrangement and analysis of the creators and functions of, and subjects contained in, the records. Refoldering and reboxing may be unnecessary beyond the physical control procedures undertaken during accessioning.
Harvard-wide processing levels
In 2009, a group of archivists at Harvard repositories created a processing level chart in order to facilitate data collection on a repository collection survey. The Joint Processing Guidelines Working Group combined that document with more granular processing levels currently used in specific repositories to lay out details of processing levels we suggest be used widely at Harvard repositories. They do not differ too intensely from the 2009 levels, so those repositories using that document should not have to significantly alter practices. A compressed reference chart with information on each level can also be found in the Processing Toolkit.
*NOTE: With good accessioning practices, all collections can and should begin at a Level I.
UNPROCESSED
*NOTE: Listing of unprocessed options here is an acknowledgement of legacy material, and a recognition that there are sometimes reasons to close collections until processed or for a period of time.
Unprocessed A
Access: CLOSED
Discoverability: NONE. Truly hidden from users.
Types of Collections: Legacy
Unprocessed B
Access: CLOSED. Mediated access may be possible
Discoverability: HOLLIS record
Description: Required: MARC record with DACS single-level required elements
Preservation: Rehoused in archival boxes if necessary
Appraisal and assessment for restrictions: Collection-level appraisal is required to determine closure.
Types of Collections: Collections with time-bound, university records, or other donor restrictions; with fragility or other format concerns.
Example:
The papers of Bill Baird are closed until processed because most of the 300+ linear feet of material arrived unfoldered (loose papers), in poor physical condition (some mold), or in need of careful appraisal for restriction issues. Providing access to users without physical and intellectual processing would not be possible.
The Joseph B. Barron papers are closed until processing due to the presence of restricted patient information.
LEVEL I “STANDARD”
*NOTE: The vast majority of collections coming into our repositories can and should be described at this level at accessioning. There are many collections for which this level of processing is the best and most appropriate level, see examples below for several of these.
Access: OPEN TO RESEARCH. Some parts of collections may be restricted or need mediated access depending on the types of records.
Discoverability: HOLLIS record, possible online finding aid or link to description in another format (see Processing Toolkit for options and workflows)
Description: Material is described at the collection-level
Required: MARC record with DACS single-level required elements
Optional: MARC record with DACS single-level optimum elements
Optional: Finding aid with DACS single-level optimum elements
Optional: Archival authority work performed
Preservation: Rehoused in archival boxes. Possibly other preservation measures as needed to make collection usable for users.
Appraisal and assessment for restrictions: Restrictions, if necessary, should happen at the collection or series level.
Physical arrangement: If necessary to support use
Types of collections: Collections for which only a basic level of access is required. Smaller collections (size may vary by repository, often less than 2-5 linear feet or consisting of a few items)
Examples:
The Thomas S. Walsh day book is a small collection consisting of one volume and its size was the deciding factor in providing discoverability via a HOLLIS record. This collection is described in detail with DACS single-level optimum elements and strongly emphasizes the collecting areas of the repository. It is important to use terms in the description and subjects that are both familiar and relevant to the repository's patrons.
The American Dental Association Department of Library Services records is not a small collection, at a little over 54 cubic feet, however it was received in usable and well-preserved original order (two clear series, arranged alphabetically within each) and it requires no restriction screening. An excel folder list was created at the point of accession, and a standard MARC record and collection-level finding aid were created by repurposing accession record data. To expedite opening of the collection, the excel folder list was uploaded and linked to from the finding aid, rather than spending time to encode it in EAD. Staff will likely use the ArchivesSpace Excel Importer tool to generate an inventory within the finding aid as time allows.
The Records of the Harvard Neighbors was processed to Level I and provides basic access in HOLLIS to the three accessions which comprise this collection. The DACS-compliant HOLLIS record includes a brief statement on the organization’s history, brief details about each of the three accessions, and minimal subject headings.
Gropius House Stereographs is a small collection comprised of a set of stereographs of the Gropius House in Lincoln, Massachusetts taken in 1944, with commentary for each view provided by Gropius. The collection is described with a single-level description in HOLLIS, with standard DACS description elements. No further description seemed necessary to make the collection immediately available and open for research.
LEVEL II “OPTIMUM”
Access: OPEN TO RESEARCH. Some parts of collections may be restricted or need mediated access depending on the types of records.
Discoverability: HOLLIS record, online finding aid
Description: Material is described at the series (and possibly file) level
Required: MARC record with DACS single-level optimum elements
Required: Finding aid with DACS single-level optimum elements
Material is described at the collection-level, inventory with box and/or file list may be used
Optional: Finding aid with DACS multilevel optimum elements
Material is described at the series-level or file-level; inventory with file listing is recommended
Optional: Archival authority work performed
Preservation: Rehoused in archival boxes; files rehoused only if necessary
Appraisal and assessment for restrictions: Restriction, if necessary, should happen at the series or subseries level.
Physical arrangement: If necessary to support use.
Types of collections: Large collections with anticipated moderate research use
Examples:
The Sanford Gifford papers were processed to Level II. The collection was arranged and described to the file level, including screening for and applying restrictions at the file level.
The Christopher Durang papers were processed to a Level II. Most of the collection was arranged and described to the file level. Individual folders were not described or put into order. A series of less important printed ephemera was left loose in the boxes and described at the series level, more of a Level I treatment. Restrictions were noted by the donor and clearly labeled and segregated.
The Polaroid Corporation records, series III: research and development records were processed to Level II. The materials were rehoused in archival boxes, however original folders were retained as they were deemed to be in good shape. Materials were arranged intellectually, not physically. The collection did not include any restricted materials.
The Gloria Sweeden papers were processed to a Level II. All correspondence was received folded in envelopes; unfolding letters was necessary to make the collection open for research. Description of the letters contents and relevance to research is provided at the collection level, with brief inventory of folders.
The Harvard Fatigue Laboratory records were processed to Level II. The record group is arranged into series and sometimes subseries, and is described to the file level, with original file titles transcribed in the finding aid. Numerous files are restricted due to the presence of personal and patient information, and these restrictions along with the dates of the restriction period are noted at the file-level.
The Harvard College Library Order Department letters were processed to Level II. This large record group of 160 cubic feet is arranged in chronological groups by academic year, and is described at the box level. Since these are University records, all post-1968 records are restricted according to Harvard University’s 50 year access restriction. These restrictions are noted at the box level. This finding aid was created by exporting CSV data from a local location database and converting it into EAD. Boxes were then spot checked for accuracy.
LEVEL III “VALUE ADDED”
Access: OPEN TO RESEARCH.
Discoverability: Hollis record, online finding aid
Description: Material is described at the file (and possibly item) level
Required: MARC record with DACS single-level optimum elements
Required: Finding aid with DACS multilevel optimum elements
Required: Archival authority work performed
Preservation: Rehoused in archival boxes; archival folders used; preservation work done to mitigate rust, mold, fragility
Appraisal and assessment for restrictions: Restrictions, if necessary, should be applied at file-level. For some types of formats or collections, item-level appraisal may be appropriate.
Physical arrangement: Many collections processed to this level will have physical arrangement that matches intellectual arrangement. The intellectual description is what matters, however.
Types of collections: Collections with high historic value; with anticipated heavy research use; which require extensive screening for restrictions at the folder/item level. Item-level appraisal and/or description may be appropriate for A/V media (in some cases); significantly rare material; high-value visual material.
Examples:
The Salpêtrière Hospital records were processed to Level III, chiefly described to the item level, including file-level scope and content notes, with a few series described to the file level. Glass plate negatives, which constitute the bulk of the collection, are arranged in the order in which they were received; no attempt was made to rearrange the plates chronologically, by patient, or by medical condition. All collection records, including negatives, photographic prints, and original plate sleeves, were rehoused in acid free enclosures and reboxed.
The José María Castañé collection of autographed portraits of military leaders were processed to a Level III. Description was provided at the Item level. Preservation and housing was also done at the item level. The collection was an artificial grouping wherein aggregation was not really an option. The collection came with individual listings of photographs so it made sense to use those and build description from there. The research value was presumed to be high. The collection was relatively small.
The papers of Susan Griffin were processed to a level III. Collection was arranged into series and described at the folder level, with more detailed descriptions of the series with material appraised as having a higher research value (correspondence, not book research files). Some formats (audiovisual and 3-d memorabilia) were described at the item-level. Material was placed into archival folders. The physical arrangement of material matches the intellectual arrangement.
The papers of the Swanton family were recently reprocessed to a level III. Collection was too small to arrange into series, but each file was intensely described with a scope note at that level. The age and fragility of some of the material, the fact that some of the material was slated to be digitized, and the prior and anticipated high research use led to the decision to process at this level. Material was placed in archival folders. The physical arrangement of material matches the intellectual arrangement.
The David A. Thomas papers were processed to Level III and are expected to have high use. The collection was arranged into series and subseries and described at the folder level. Materials were physically arranged to match intellectual arrangement. Restricted materials were applied at series, sub-series and folder level where appropriate. Collection included born-digital content which is described at the folder level.
The Harvard School of Public Health Longitudinal Studies of Child Health and Development records were processed to Level III as part of a CLIR-funded initiative focused on developing metadata for long-term access and discovery of research data collections. This collection was physically and intellectually arranged into a fairly granular series structure, described at the file-level, and the finding aid includes subseries-level links to digitized content hosted in Harvard’s Dataverse.
The papers of James Vorenberg were processed to Level III because of the existence of records created during his tenure as Dean of the Law School. The collection was arranged at the series and subseries level and described to the folder level. The existence of restricted material is noted in the scope and content note, series description, and folder level. Opening dates for restricted material is listed at the folder level. (Example: 13-7. Clerkship letters, 1999. “Contents of this folder closed until 2079”.)
The Records of the Harvard College Library: William Coolidge Lane general files were processed to Level III due to their subject matter and frequent research requests. The collection was arranged in six series, and described at the folder level. In addition to robust biographical, historical, and scope and content notes at the collection level, the records also include additional notes at the folder level for items of particular historical interest.
The Ferrari Hardoy Archive was processed to Level III. Given the nature of the materials included, one creator with significant roles within three different professional associations in addition to a private practice, the collection was arranged in several series with description at the series and folder levels. Access was further enhanced with a series of indices to provide deeper access to names, topics, and/or genre of materials not included in the folder descriptions.
The Kenzō Tange Archive was processed to Level III particularly because of the significance of this collection for architecture worldwide, and in preparation for a massive digital initiative project that will allow visual online access to the collection. The collection consists mainly of architectural drawings and publications. Architectural drawings were arranged chronologically in a single series, with each architectural project comprising a subseries thereunder (with several folders per subseries). Each project or subseries includes a brief abstract note, main subject terms by building typology, and geographic location. Folders within projects include scope and content, scale, and form/genre of drawings. Description was further enhanced with titles of projects and geographic locations both in English and Japanese that allows for searching in both languages.