Chapter Contents:

• Introduction
• Workflow Steps
  • 1. Collection Assigned
  • 2. Start Tracking Processing Hours
  • 3. Review Collection Documentation
  • 4. Conduct Research About the Creator/Subject
  • 5. Locate and Pull All Containers
  • 6. Create a Processing Job in the Staff CIS
  • 7. Physically Survey the Collection
  • 8. Complete and Submit Processing Proposal
  • 9. Arrange and Preserve Collection to Approved Level
  • 10. Describe the Collection in an EAD Finding Aid
  • 11. Upload and Review Finding Aid
  • 12. Update All Collection Documentation
  • 13. Select a Representative Image for the Collection
  • 14. Notify Registrar
  • 15. Final Review and Website Deploy

Introduction

Archival processing is defined as the activities of accessioning, arranging, describing, and properly storing archival materials according to established national standards and best practices. This chapter provides an overview of the archival processing workflow at the Archives of American Art and is intended to be consulted and further referenced with other documents in the manual. Collection accessioning is addressed in separate documentation drafted by the Archives’ Registrar.

Acronyms and the Archives-specific references used throughout this document include the following:

Staff CIS — Archives of American Art’s in-house collections management database for managing digital files, digitization workflows, EAD finding aids, collection assessments, and accession forms.

SOVA — Smithsonian Online Virtual Archives http://www.sova.si.edu is an online web portal to EAD finding aids contributed by all Smithsonian archival units. Digital content is also available contextually via the finding aids. The Archives contributes all EAD finding aids to SOVA.

ArchivesSpace — the EAD Authoring Tool/System implemented by SI OCIO in 2017 as a replacement for Archivists’ Toolkit. Includes all catalog records for collections and oral histories. Single-level catalog records were migrated from a MARC cataloging system to ArchivesSpace in 2020.

Workflow Steps

1. Collection Assigned

Your supervisor will most likely assign your collection, or you may be provided with a list of collections to work through. Before starting any processing work or pulling a collection, send an email to the Head of Reference Services to inquire whether there are researchers scheduled to use the collection. If researchers are scheduled in the near future, you will need to select another collection.

2. Start Tracking Processing Hours

Begin tracking hours spent on the following processing tasks: 

a) survey and proposal

b) arrangement and preservation

c) finding aid and encoding

d) processing activities associated with digitization (full processing only)

The method of tracking hours is up to the archivist (notebook log, outlook calendar, spreadsheet, etc.). The total hours spent on the collection will be used to calculate and record the average number of processing hours per linear foot and added to the AAAReports Processing Job.

3. Review Collection Documentation

Review collection-level ArchivesSpace resource record and conduct a thorough search on the main creator’s name. The record may indicate multiple accessions and/or list microfilm reel numbers (sometimes multiple sets of microfilm) for gifts and loans. Many collections have complex provenances and may include both donated materials and materials loaned to the Archives for microfilming and then returned to the donor.  Consult with your supervisor for assistance if you need help sorting out the provenance. Review all ArchivesSpace resource records that include the creator’s name as either a creator or in the collection title. If you find multiple individually cataloged collections that have the same creator, share the same or similar provenance, and were accessioned many years ago, consult with your supervisor. These collections should be evaluated to determine whether they should be merged with the collection you are processing. 

Review the Accession File either in paper form or the .pdf version in the Staff CIS. If you do not see a deed for each accession, STOP and consult with your supervisor. Many collections were acquired in multiple accessions, so you will likely see multiple deeds in the file that should correspond to multiple accession dates in the catalog record. Review the file for any descriptive or arrangement information found within, including preliminary box inventories, microfilm inventories, and biographical information about the creator. You should consult these when writing the finding aid’s biographical or historical note and scope and contents note. If the descriptive information is accurate, re-purpose it! This information is also useful for determining the original order of the collection.

Review the accession record in the Staff CIS, if available. In the Staff CIS click on the “Edit” option for accessions. This will provide access to a drop-down menu of all database accession records. Older collections will not have an accession records in the Staff CIS. If the collection consists of multiple recent accessions, there will be a record for each accession. Review all accession forms for the collection, noting whether additions are expected, restriction notes, descriptions and summaries of content created by the collector.

Review the collection assessment record in the Staff CIS. Review the overall Needs Assessment Rating (NAR) and the Research Value Rating (RVR) in the record. If no Research Value Rating exists, enter a rating now or after you have completed processing. If the collection does not have an assessment survey record in the Staff CIS, create a new assessment record. 

Review existing documentation about microfilm of gifted and loaned material. These are generally noted in the catalog record and in the accession file. Some materials loaned to the Archives for microfilming were returned to the donor after microfilming but might have been included in later gifts. Often it is not clear what only exists on microfilm and what, if any, loaned materials were included in later donations. Although you are not required to review the loan or gift microfilm nor describe it in detail in the finding aid, try to get an understanding of how the microfilm relates to the collection which you are processing. It may be helpful to quickly review microfilm of loaned materials to determine if they were included in later gifts and are now found within the papers you are processing. 

If there is microfilm of the collection you are processing, it may or may not represent the entire collection. After processing, the microfilmed arrangement of the full or partial collection most likely will not match the new arrangement of the papers.

Review preliminary inventories, which may include legacy finding aids, box inventories, folder lists, and microfilm inventories. Existing inventories may contain useful information on original order and inform arrangement and description decisions.

Take note of any oral history interviews with the creator, or that are primarily about the creator. A quick review of the transcript may provide biographical and contextual information.

4. Conduct Research About the Creator/Subject

In addition to the research completed while reviewing all collection documentation, conduct preliminary background research about the creator and/or subject of the collection. Searching the Archives’ website and Google are a good way to start. A search on the Archives’ website will allow you to make connections with other collections, subjects, and names that will help inform what should be highlighted in the finding aid. Additional resources are available at the American Art and Portrait Gallery Library and SIL’s online databases.

5. Locate and Pull All Containers

Using the collection location information in ArchivesSpace, locate and pull all the containers. In addition to the cubic foot boxes, there may be manuscript boxes, flat boxes, oversize folders, bound volumes, and rolled documents stored in other locations. Notify your supervisor if you are unable to locate any containers.

Update the ArchivesSpace resource record indicating that the collection is now closed to researchers:

Conditions Governing Access note:  Delete the statement and add a "closed" statement indicating that it is closed for processing or processing and digitization.

Example 1: This collection is temporarily closed to researchers due to archival processing. Contact Reference Services for more information.

Example 2: This collection is temporarily closed to researchers due to archival processing and digitization. Contact Reference Services for more information. 

Add temporary locations in ArchivesSpace: For each Top Container record, click on “Add Location” and in the Location field, start typing your office number. There should be a “processing” location available for your office. Optionally, you can also add your name in the Note field. For a large collection, you can contact the Registrar to complete a bulk update of locations, reassigning the containers to your office.

Send an email to all staff informing them that you have pulled and closed the collection for processing/digitization. In the email, include the former box locations so that the Registrar can either save the space or re-allocate it.

6. Create a Processing Job in the Staff CIS

Create a new processing job in the Reports module of the Staff CIS. In the Reports module, click on the Finding Aids tab to access the link to View/Add/Edit processing jobs. When you add a processing job, select the collection from the drop-down menu, enter your name, the date the assignment started, the extent of the collection before processing. 

7. Physically Survey the Collection

Conduct a box-by-box physical survey and analysis of the collection. Take the time to become familiar with the scope, content, arrangement, and potential research value/strengths of the entire collection. Time spent on the survey phase is worth the effort as it will help determine a preliminary logical archival arrangement. However, the survey is not conducted at the item level.

You may find it helpful to create a written outline with additional notes on the contents of each box. These are your notes and not permanent.

Identify and evaluate the existing arrangement and any obvious naturally occurring series/subseries and/or logical groupings. Think about how the collection could be organized and arranged into likely series, subseries, etc., particularly in relation to the types of materials or series found typically within the Archives collections. Also think about whether the original order is good, logical, easy to use, or not. Personal papers sometimes have an illogical original order. Be aware that the “original order” you are seeing now may not be the actual original order because the collection may have been “preliminarily processed” by the Archives staff, donors, or family members. Again, the accession file and preliminary inventory (if one exists) may provide clues about the existing arrangement.

Identify the various types of materials/formats/genres found and their extent and bulk dates.  Note important names and subjects, functions of the creating body and think about how the documents within the collection support those functions and/or the creator’s life work.

Briefly evaluate the physical condition of the collection, making note to discuss problem materials or special formats with your supervisor.

If the survey identified a significant amount of materials that should be weeded (duplicates, canceled checks, check stubs, tax forms, publications, etc.), make note of this on the processing proposal. If the extent to be weeded or deaccessioned is large, discuss with your supervisor. A disposition notice may be required after processing.

If the processing survey reveals audiovisual materials, review the audiovisual assessment record in the Audiovisual Survey Database and assess the AV content within collection. Data on AV content might include logical groupings of media found within each collection, transcriptions of labels, brief descriptions, dates, quantity, format information, condition and housing issues, and intellectual access issues. This data may help you process the AV portion of the collection. The AV Archivist can also offer help using the AV Access database and is also available for general consult about AV materials, including identification, organization, and description.

For help assessing the AV portion of your collection, you can follow the AV Assessment guidelines, which outline aspects of AV material that will determine the processing work required. These include 1) the need for re-housing, 2) the quality of media labels and documentation which determines how much media needs to be played to create an effective description, and 3) the complexity of the AV material and the quality of the existing arrangement, which determines how much analysis is needed to carry out the arrangement. 

For example, can you identify the items and how they might be arranged without actually playing them? Are there possible duplicates? Are the items housed appropriately? Is the media in physically good condition, or is it dirty, de-spooled, or deteriorated?  (Signs of deterioration include odor, warping or other signs of physical deformation, exuding of crystalline or other residue/s.) 

If the processing survey readily reveals PII (Personally Identifiable Information) or other privacy concerns, please indicate this on the processing proposal and discuss with your supervisor. The material may simply be weeded from the collection or returned to the donor if it has limited research value or redacted once processing begins. See the section on “Weeding, Deaccessioning, and Redacting” in Chapter 5.

Determine if the collection contains born-digital materials. Make note of the format types, descriptive labels, extent, and current arrangement. Physical format types may include electronic discs (CD), electronic discs (DVD), floppy discs, data cartridges, hard drives, and memory cards.

Determine whether the born digital media has been logged and transferred to the Archives' network storage. Please contact the digital asset manager to determine if the material in your collection has been logged and transferred or if you have question about digital formats found in the collection. For collections that include media that has not been logged, please fill out a media log spreadsheet template. For each individual piece of media found in a collection, the log documents the collection title, type of media, metadata written on the item, and box and folder location. Send the log to the digital asset manager. At the same time, create a digital media flag and place it in the folder where the media is located. This allows for the person doing the ingest of the items to easily locate the media items in the collection.

8. Complete and Submit Processing Proposal

Complete the Processing Proposal form by filling in the blanks and checking off appropriate types of materials/possible series and extent, based on your survey notes. The form asks for information about size, acquisition, previous microfilming actions, physical condition and/or preservation issues, types of materials found, AV and digital formats, level of proposed processing, and estimated hours and schedule for processing. The most current version of the processing proposal is included as an appendix to this processing manual.

On the Processing Proposal, note any preservation or conservation issues, including the possibility of using more than the usual amount of typical preservation supplies (folders, special containers, interleaving paper, etc.) Also reference those concerns in the email to your supervisor.

Select the level of processing from 1-4. (See Chapter 2: Processing Levles for more detailed information). Based on the proposed level of processing, estimate the approximate number of hours per linear foot and provide a proposed schedule in weeks or months. The time frame should reflect time scheduled for meetings, breaks, other assignments and duties, annual and sick leave, holidays, etc.

Attach an outline of your proposed archival arrangement of series and subseries.  Arrangement is the most important and most difficult processing task. The formats printed on the proposal form represent the most typical series/subseries/components found within the Archives collections and can be used to inform many of your arrangement decisions. Additional information is included in Chapter 3: Intellectual Arrangement. Consult with your supervisor about series/subseries arrangement and/or titling options for materials that appear to fall into or cross over categories not clearly defined in the Archives’ guidelines.

Write down any questions or concerns you have and attach to the proposal, or include them in an email to your supervisor when you submit your Processing Proposal. The Processing Proposal does not become part of the collection file.

Complete the proposal and email it to your supervisor. Your supervisor will review your Processing Proposal, discuss any issues with you, and approve the proposal and arrangement plan. The approval process should take no longer than 1-2 days. You can begin basic sorting before the proposal is approved. If the collection contains AV material, send the proposal to the AV Archivist. The AV Archivist can provide additional information regarding AV extent, condition, or format.

It is likely that your original proposed arrangement will change as you process the collection, particularly for larger collections. This is normal. Significant changes should be brought to your supervisor’s attention in writing and approved.

9. Arrange and Preserve Collection to Approved Level

Once your processing proposal is approved, arrange and preserve the collection following the Archives’ processing manual. Guidelines on tasks for each processing level can be found in Chapter 2; guidelines for intellectual arrangement are found in Chapter 3; and guidelines for preservation are found in Chapter 5. Consult with your supervisor if you have any questions about these task.

10. Describe the Collection in an EAD Finding Aid

All collections processed to a level 2, 3, or 4 will be described in an EAD formatted finding aid. Per DACS rules, the level of detail in a finding aid should correlate directly to the level of processing completed for collection. The processing archivist is responsible for encoding his/her own finding aid using ArchivesSpace according to the Archives’ written encoding guidelines and SI EAD Best Practices. The Archives also has specific guidelines for creating and encoding EAD finding aids with AV and born digital content.

After the description is completed, assign controlled access terms for names and subjects.

11. Upload and Review Finding Aid

Do a final review of your finding aid using the PDF version available in ArchivesSpace. Please remember to proofread your finding aids prior to submitting for review. Your supervisor is not your proofreader.

After completing the finding aid, upload the XML file to the Staff CIS via the EAD Finding Aids Workflow. 

Notify your supervisor via email that the finding aid is ready for review and approval. Your supervisor may make simple changes and edits to the finding aid directly in ASpace. If substantial changes to the description or arrangement are needed, they will notify you to complete the work and resubmit the finding aid for review.      

12. Update All Collection Documentation

Update the collection assessment record in the Staff CIS. Detailed instructions on updating survey elements can be found in Appendix A, Instructions for Completing a Collection Assessment.

Calculate the total hours and average number of processing hours per linear foot.

Finalize your Processing Job in the Staff CIS with final extent, average processing hours per linear foot, etc.

Change the Processing Status to “Processed” in the ASpace Resource record Collection Management section.

13. Select a Representative Image for the Collection

Each processed collection, including those being fully digitized should have one “representative image” selected by the processing archivist to be featured with the collection on the Archives' website. If possible, the representative image should be a photograph of or piece of writing by the creator of the collection. If the collection already has a digitized representative image, no additional images need to be digitized.

As of 2022, the workflow has changed to focus on digitizing an entire folder selected by the archivist, so that the Digitization Team can use existing Digitization-on-Demand workflows. Workflow steps for digitizing a representative image are below:

• Select a folder with item to be used a representative image. Verify that no publication or access restrictions apply to the document.
• Go to https://aeon.aaa.si.edu to register for a researcher/user account (do not use you SI network password)
• If the finding aid is not yet published online, go to the collection's overview page and click on "Make a Reproduction Request"
• In the notes field, list the box/folder/folder title where the image can be found. (Make sure this is the final, processed box/folder location)
• Email the Digital Initiatives Archivist to let them know which image in the folder is intended to be the representative image
• The Digital Initiatives Archivist will pull the folder from the box when it is scheduled for digitization
• The folder will proceed through the DOD process. You may get an email that your Aeon user account has been added to this activity – no action is required on your part
• The Digital Initiatives Archivist will create an item record in the CIS, attach image(s), and ingest into the DAMS
• You will receive an email from the Aeon system when the image is ready to be attached to the collection record (instructions on this will be provided in the email)

14. Notify Registrar

Delete obsolete top containers and “holdings” entries in ArchivesSpace. Notify Registrar via email that the collection is ready for barcoding and shelving. Include a list of container types and counts.

15. Final Review and Website Deploy

After final approval of the finding aid, including review of the digital images and DAO tagging for digitized collections, the Head of Collections Processing will re-upload the xml file to the Staff CIS and mark the collection status as “Publish” in ArchivesSpace. The finding aid will automatically deploy to SOVA and AAA’s website.

Chapter Contents:

• Introduction
• Level 1: Accession-Level (Preliminary) Processing
• Level 2: Minimal-Level (Accelerated) Processing
• Level 3: Intermediate-Level Processing
• Level 4: Full-Level Processing

Introduction

A nation-wide Heritage Health Index Survey of our nation’s cultural institutions was completed in 2005.  It revealed that this country’s libraries, archives, and museums hold millions, if not billions, of items and collections that have never been adequately described and preserved, representing a staggering volume of items and collections of potentially substantive intellectual value that are hidden from users. The Archives of American Art, along with most Smithsonian collecting units participated in this survey and our individual results mirror those across the country.

The Archives of American Art has been proactive in addressing the problem of its own backlog of hidden and unprocessed collections. In 2007, we completed a comprehensive assessment of nearly all of our backlog with internal Collections Care Pool Fund support and continue to assess each new acquisition. This ongoing effort allows us to precisely identify which collections are physically at-risk due to condition, format, and preservation housing needs. The assessment methodology also allows us to rate each collection’s level of physical access (archival arrangement) and intellectual access. Assessment data is maintained in our robust in-house database (the Archives' Staff CIS) which is capable of producing a wide variety of reports about the overall processing and preservation needs of our collections, both collectively and individually.

Backlogs can also be traced to traditional archival processing methodologies that have focused almost exclusively on extremely detailed full level archival processing activities, resulting in only a handful of collections being processed each year. This level of overly detailed work, combined with ever-increasing acquisitions of larger contemporary collections, has led to a national crisis of ever-growing unprocessed and unpreserved backlogs of primary source documentation. 

The Archives needs to make the most efficient use of its dwindling resources while still maintaining a strong commitment to collections stewardship. Therefore, we have joined many other national repositories who have implemented “more product, less process” (MPLP) strategies to accomplish our goal to make ALL of our collections more accessible, rather than a select few. Some collections, such as those that will be fully digitized or are associated with specific grant projects, will continue to receive the highest level of detailed processing. We will, however, employ accelerated processing tactics and strategies for processing the bulk of our existing backlog of unprocessed or under-processed collections, and all new acquisitions.

Level 1: Accession-Level (Preliminary) Processing

Preliminary Processing is completed upon accessioning. At this level, the work focuses on establishing the preliminary physical and intellectual control of the collection and documenting the legal status of the collection. This work is completed by the Archives' collecting specialists and registrar.   

Tasks:

• The collecting specialist creates an accession record in the Staff CIS. The types and formats of materials, extent, dates, subjects, and research value rating are outlined in the accession record. He/she makes note of any audiovisual materials and born-digital materials, which, in turn, sends a notification to the Audiovisual (AV) archivist and digital asset manager. 
• The registrar creates an ArchivesSpace resource record based on the information in the accession record. If the collection is an addition, then the existing record is enhanced and updated.
• The ArchivesSpace resource record is auto-ingested into the CIS, creating an AAA collection record. A unique collection code is assigned to the collection.   
• The collection is re-housed into archival containers and any loose materials/documents should be foldered and minimally identified.
• It is preferred that the collecting specialist or registrar minimally organize the contents of the collection into broad logical archival groupings, such as pulling all the correspondence, or all the writings, together. These groupings are not labeled as “series” at this level and materials need not be arranged further. As noted above, special format materials should be identified, and the appropriate archivist notified.
• While not required, the collecting specialist or other staff may create a preliminary box inventory to be used by the archivist later assigned to process the collection and the reference staff who will need to assist researchers. The inventory should identify the primary types of materials in each box. 
• The AV archivist conducts a survey of any audiovisual material in the collection to assess its needs and enable any necessary critical intervention. Data is gathered to track the condition of the media and its housing, format, intellectual content and dates as known from existing labels, and assessments of its likely rights status and uniqueness of the content. If housing of audiovisual material is found to be broken, deteriorating, unsupportive, or non-existent, the AV Archivist will re-house it at the time of the survey. If motion picture film is found in the collection, it will be inspected, documented in the film inspection database, cored, re-canned, leadered, AD tested, and its container barcoded so that it may be stored in separate cold storage. Film re-housing will take place as soon as possible following the survey. A large film series may receive only minimal intervention upon accession, depending on its condition, to be fully inspected and re-housed later.
• A collection survey assessment is conducted by the archivist assigned to the new acquisition. If born-digital content is located during the survey, it is logged and transferred according to workflows established by the digital asset manager.

Level 2: Minimal-Level (Accelerated) Processing

5-7 hours per linear foot

Level 2 “Accelerated Processing” is the default level of processing for all unprocessed collections that are not scheduled for digitization, unless otherwise directed by your supervisor.

Minimal-level processing at the Archives results in a DACS Multilevel description. Thus, the arrangement of the collection and the resulting finding aid will establish and reflect a hierarchical relationship of the materials within the collection, and outline all component units (series, subseries, file).

While there is no set of tactics that will work for each unique archival collection, there is a toolkit of accelerated processing tactics that can be used for most collections. Most importantly, the processing archivist must embrace the notion that “good enough” may indeed be good enough and that the Archives’ first and foremost mission is to make as many collections available to researchers as possible. In other words, it is preferable to meet a minimum standard for ALL collections, rather than exceed standards for a small percentage of collections. Consult with your supervisor about which accelerated processing tactics may or may not be appropriate for the assigned collection. Each collection is unique. For example, there may be some series within the collection that need to be more fully processed than others in order to provide searchable access points within the finding aid.

Arrangement Tasks:

• Always merge existing multiple accessions into a logical archival arrangement. If the collection was previously microfilmed in multiple sets, do not arrange the collection according to the film arrangement. 
• Sort the collection into series, usually according to type of material or by original order. Follow the Archives' guidelines on intellectual arrangement for series titles and series order. Do not create “catch all” series that are not indicated by the type of material, unless the collection is under 1 linear foot, in which case all folders can be arranged within one series.
• Avoid establishing small and unnecessary folder groupings or sub-subseries unless essential to understanding the content or context of the collection or the collection is very large and/or complex. However, the archivist should not destroy detailed file groupings when those groupings or folder headings reflect the original order. In other words, it is not good practice to “lose” metadata or access points found within the original folder headings by re-arranging into more general groupings. Outline any proposed subseries or folder groupings in your processing proposal and discuss with your supervisor.
• Folders within series should be arranged in either rough chronological order or alphabetized, depending upon the series type and original order. Correspondence may be kept in chronological order, if that is the original order. However, it may need more careful review to establish name and subject access points. If correspondence arrives unsorted, an alphabetical arrangement is preferred.
• Verify folder content against existing folder titles; do not review contents of each folder at an item-level unless you suspect that the original folder title is incorrect or if an original folder title does not exist. Folder titles may still need to be tweaked or modified slightly from the original titles to either accurately reflect the contents of the folders and/or to make sense to researchers. But, do not change the folder titles or the folder arrangement in such a way that eliminates existing descriptive data.
• Do not chronologize, alphabetize, or further arrange items within folders.
• Use circa dates of folder contents for folder unit title if it saves time.
• If you suspect a folder contains Personally Identifiable Information, notify your supervisor. Redacting Personally Identifiable Information may be required even when processing at this level. After confirming with your supervisor, redact the information by photocopy the document, mark out the personal information on the photocopy, and replace the original with the photocopy. The originals are removed and stored in a separate folder or box that will be closed to researchers. See the section on “Weeding, Deaccessioning, and Redacting” in Chapter 5.

Preservation Tasks:

• Re-house the collection into archival containers, if needed. If existing boxes are archival, re-use with new labels placed over old labels.
• Re-folder all content into acid-free folders. If original folders were overstuffed, place documents into multiple archival folders. Folded oversize documents do not need to be unfolded.
• Do not weed duplicates unless easily identified and/or located.
• Items must still be removed from envelopes.
• Do not remove staples and paper clips, unless the fastener is causing the paper to tear.
• Do not interleave unless critical or unless an item is easily identified as particularly rare or fragile. Do not wrap or sleeve items unless the item is falling apart. You may notify your supervisor of interleaving or preservation work that could be completed by an archives aide or intern.
• Do not write the collection title on the folder.
• Physically number the folders in each box.

Description Tasks:

• Write an EAD Finding Aid, following the Archives' guidelines and procedures. Include all of the required finding aid notes, but generally keep narrative text and added notes brief. Remember that the first rule of archival work is that the level of descriptive detail should match the level of processing. 
• Limit biographical/historical notes to no more than a few short paragraphs. Do not include chronologies.
• Write a brief collection level scope note that reference each series and the most significant materials within the collection. Only include information that is essential to understanding the contents of the collection. For many collections, the finding aid abstract note can also serve as the entire scope and content note.  
• Keep series descriptions to a few sentences in length; subseries descriptions are rarely needed.
• Arrangement notes at the series level are optional, unless the series includes subseries.
• Include folder numbers in the finding aid. It is acceptable to have a set of folders with the same title, rather than listing each physical folder individually. 
• Add details about accelerated processing tactics in the finding aid’s Processing Note only if your supervisor directs you to do so.

Audiovisual Material Tasks:

• Do not play media to identify content. If AV material is unlabeled and has no accompanying documentation, it can be described as “unidentified” sound recording, video recording, or motion picture film at this level. If motion picture film has been removed for cold storage, consult the film inspection database for information to include in your description.
• Group AV materials with other related recordings or related non-AV material wherever possible and describe in the aggregate. If physical media is labeled in detail, it is not necessary to include all detail in the finding aid. If documentation of AV content exists in the collection, refer researchers to existing documentation rather than describing in detail in the finding aid.
• Re-house audiovisual material with poor quality housing.
• EAD/AV description guidelines must still be followed for all elements identified as “MINIMAL” in the Archives' guidelines for describing AV in EAD. Among these required elements are a collection-level “Conditions Governing Access” note, series-level scope and content notes that include description of media content, and component-level “Physical Description” notes, noting count and specific formats found.

Level 3: Intermediate-Level Processing

10-15 hours per linear foot

Intermediate-level processing at the Archives is defined in DACS as a Multilevel Optimum and Multilevel Added Value description. This level may be defined as optimum/complete processing for most  collections, except for those collections being processed for full digitization. Level 3 processing may also represent an intermediate approach for collections that are highly complex and may also be applied to selected series within collections that are being processed at an overall level 2. For example, perhaps you would process the correspondence series and interviews series to a level 3, but the biographical materials series to a level 2. 

Processing Tasks:

• Sort and arrange the collection into series, subseries, intellectual folder groupings (if needed), and file units.
• Fully identify and verify the contents and inclusive dates of each folder, regardless of original folder title.
• Arrange folders within each series/subseries in logical order if none exists, such as chronological or alphabetical. Retitle original folder headings if needed for clarity. At this level, it’s acceptable to arrange the materials into somewhat broader groupings, and use the finding aid to provide more detail.
• Write the collection title, series title, folder title, inclusive dates, and folder number on each folder. 
• Most often, each individual folder will also have an individual title entry in the finding aid.  Avoid large sets of folders listed under one title entry.
• Re-house all collection contents into archival acid-free containers and folders, and take a sensible approach to preservation actions. Address only the most critical or fragile items. Remove metal paperclips, but do not remove all staples just for the sake of removing staples; perhaps removing only those that are visibly rusty. Not all printed materials need to be unfolded and stored in OV folders, particularly newspapers, oversized magazines, etc.  Not all clippings or acidic materials need to be photocopied or interleaved, unless they are damaging surrounding items, etc. However, original photographic prints and artwork should be fully interleaved with the appropriate archival papers.
• Write and encode an EAD Finding Aid, following the Archives' written guidelines and procedures. Include all of the Archives' required finding aid elements, including administrative information, and a fairly detailed biographical/historical note and scope and content note.
• Craft series descriptions that are fully descriptive, yet not redundant of the scope and content note.  Detailed subseries descriptions may not be needed.
• Include arrangement notes at the series level.

Audiovisual Material Tasks:

• Re-house any AV items found in substandard housing.  
• Consult with the AV archivist if you wish to play audiovisual material to help with processing.
• Description of groupings of media is still encouraged at this level, either as a group of related media, or as part of a mixed-media component. Or, if item-level metadata is a significant access point, a simple item-level component list can be created, e.g. a list of interview subjects.
• Whether describing groups or items, assign unit titles that clearly identify the content of recordings, whether by work, genre, subject, location, project, or whatever heading best describes the component.

Level 4: Full-Level Processing

15-20 hours per linear foot

Full-Level Processing is defined in DACS as a Multilevel Optimum and Multilevel Added Value description. At the Archives, collections that are scheduled for full digitization are processed at this level. Your supervisor will inform you which collections need to be processed to a level 4. 

Processing Tasks:

• Fully organize and arrange the collection at the series, subseries, folder, and item level. 
• Arrange and describe folders within series and subseries in such a way that will allow the most descriptive file titles and provide the most access/search terms within the finding aid. For example, arrange correspondence files in alphabetical order by surnames or corporate name for enhanced access. Avoid any type of arrangement that might require an index to provide access terms.  For example, if the finding aid needs an index of names for a particular series, change the arrangement of the series to provide that level of access through the file titles, or folder scope notes.
• Each individual folder will also have an individual title entry in the finding aid. 
• Avoid intellectual folder groupings as well. Establish subseries if needed or incorporate the folder grouping title into the individual folder title when feasible.  
• Create and write folder titles that are precise and include the name of the collection, the series (and subseries if appropriate), the file title, inclusive dates, and folder number.
• DO fully arrange items within folders in a logical order, usually chronological. 
• Create note within the folder for any items that you separate for storage in another container. In an oversized container that houses items removed from other folders, clearly reference the original box and folder from where the oversized item was removed. 
• Re-house all collection contents into acid-free folders and containers. Interleave all original vintage photographs, fragile documents, artwork, and acidic documents with the most appropriate interleaving papers. Also interleave sketchbooks with acid-free tissue if possible, providing additional support and special housing if needed.
• Remove all staples, paper clips and rubber bands, and other fasteners.  Unfold all folded documents.
• Prepare an EAD Finding Aid that follows all standards and guidelines. At this level, write a detailed and robust biographical/historical note and scope and content note. Be sure to include references to many access points within the narrative sections.
• Craft series descriptions that are fully descriptive and not redundant of the scope and content note.  Subseries descriptions are optional, but desired for complex collections. 
• Add scope notes at the folder level if needed to enhance description and access.

Audiovisual Material Tasks:

• Re-house any AV items found in substandard housing.  
• Consult with the AV archivist if you wish to play audiovisual material to help with processing.
• If motion picture film has been removed for cold storage, consult the film inspection database for information to include in your description.
• You can consider in-house digitization of AV during processing if it is at all difficult to understand what is on them based on the labeling, if items are stable enough to be played. Digitization will make the identification and description process more efficient, particularly when comparing content that might be duplicated in the collection, or when determining if there are multiple items on a piece of media. Consult with the AV archivist if you wish to digitize AV to help with processing.
• Item-level components are typically created for all media, with cross references, <physfacet> notes, or <scopecontent> notes to clarify content and enhance access.

 

 

A finding aid generally provides descriptive information about a collection on varying levels, each describing the same collection, but at different levels of detail and perspective. It describes the entirety of a collection, as well as the collection’s component levels (series, subseries, folders, items). The format of a finding aid reflects the hierarchy present in the collection’s intellectual arrangement, and often the physical arrangement as well. The detail of a finding aid should also reflect the processing level of a collection. If a collection is minimally processed, the finding aid detail should be minimal as well.

AAA follows DACS (Describing Archives: A Content Standard) guidelines for describing archival collections. DACS and MARC reference points have been included in this guide, where applicable.

Table of Contents

• DACS Principles of Archival Description
• DACS Single– Level or Multilevel Description
• Overview of AAA Finding Aid Structure and Elements
• Finding Aid Elements
  1. Title Page
  2. Collection Overview
  3. Administrative Information
  4. Biographical/Historical Note (DACS 2.7 & 10)
  5. Collection Level Scope and Content Note (DACS 3.1)
  6. Arrangement (DACS 3.2)
  7. Names and Subject Terms (DACS 11– 14; MARC 6XX, 7XX)
  8. Series Descriptions/Folder Inventory/Container Listing (DACS Multilevel Description or Component Descriptions)
  9. Other Descriptive Data–Indexes (if applicable; DACS 7, notes; MARC 500)
  10. Other Finding Aid (if applicable; DACS 4.6; No MARC equivalent)
  11. Bibliography (if applicable; DACS 8.1.3; No MARC equivalent)
• Style Guidelines
• Dates
• Exhibition Titles
• Extent
• Oversized Folders and Boxes (OVs & Sols)

DACS Principles of Archival Description

1. Records in archives possess unique characteristics.

2. The principle of respect des fonds is the basis of archival arrangement and description (records created together should be maintained together in their original order if an original order exists or was maintained by the creator).

3. Archival arrangement involves the identification of groupings within the material.

4. Archival description reflects archival arrangement and the level of processing.

5. Rules of archival description apply to all archival materials regardless of form or medium.

6. Principles of archival description apply equally to records created by corporate bodies, individuals, or families.

7. Archival descriptions may be presented at varying levels of detail to produce a variety of outputs.

   • 7.1: Levels of description correspond to levels of arrangement.

   • 7.2: Relationships between levels of description must be clearly indicated.

   • 7.3: Information provided at each level of description must be appropriate to that level.

8. The creators of archival materials, as well as the materials themselves, must be described. (**Note that as of 2009, with the creation of the EAC–Encoded Archival Context–this could change, and describing creators may become a separate descriptive practice.)

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DACS Single– Level or Multilevel Description

DACS assumes that the collection is being described as a “single level” or as a “multilevel” record.

A single level record is commonly known as a collection– level record; that is, it does not describe all of the components (series, subseries, subgroups, files, items, etc.) of a collection. A single level DACS record corresponds to the level of description found in an unlinked MARC record.

A DACS multilevel record includes all of the collection level information but adds descriptive information about the hierarchal arrangement and the component levels found within the collection. A multilevel DACS record corresponds to the level of description commonly found in a finding aid, inventory, register, multiple linked MARC records, or in– house database entry that describes materials at more than one level. All AAA finding aids are multilevel DACS records.

A DACS single level description will include a summary and overview of the types of material present, the extent, dates, significant people, events, or subjects represented, and provenance and access information. There will be information about the creator in the form of a biographical sketch or organization/corporate history and a scope and content note that provides a well– written overview of the contents of the collection.

The DACS multilevel record adds more detailed descriptions of the various groupings of materials as reflected in the archival arrangement of the collection – series, subseries, folder, and items. At a minimum, the series have narrative scope and content descriptions. Each file unit is listed, often in the form of a container or folder list that clearly mirrors the physical and intellectual arrangement of the collection. Items are usually only listed for very small collections. Additional adjunct information, such as lists, indices, and other appendices may be provided for particularly large and complex collections.

 

Single– level Archival Description – Minimum DACS elements

(Numbers in parenthesis are DACS reference numbers. Note that there may be additional required EAD elements for an EAD finding aid.)

• Reference Code Element (2.1)

• Name and Location of Repository Element (2.2)

• Title Element (of archival collection, 2.3)

• Date Element (of archival collection, 2.4)

• Extent Element (2.5)

• Name/s of Creator/s Elements (2.6)

• Scope and Content Element (3.1, at this level, may be an abstract only)

• Conditions Governing Access Element (4.1)

• Language and Scripts of the Material Element (4.5)

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Single– level Archival Description – Optimal DACS elements

• All of the above elements for a minimum DACS description.

• Administrative/Biographical History Element (2.7)

• Scope and Content Element (3.1, at this level expanded to a full description of the collection)

• Access Points (see DACS: Overview of Archival Description. Could be controlled subject, names, places, documentary forms, occupations, and function terms. Could include local browsing terms.)

 

Multilevel Archival Description – Minimum DACS elements

Top level:

• Reference Code Element (2.1)

• Name and Location of Repository Element (2.2)

• Title Element (of archival collection, 2.3)

• Date Element (of archival collection, 2.4)

• Extent Element (2.5)

• Name/s of Creator/s Elements (2.6)

• Scope and Content Element (3.1, at this level may be an abstract only)

• Conditions Governing Access Element (4.1)

• Language and Scripts of the Material Element (4.5)

• Identification of the whole– part relationship of the top level to at least the next subsequent level.

Each subsequent level:

• All of the above elements, unless the information is the same as the higher level, including the creator if the creator is same as for the top level. Scope and content elements are not required at the file or item level if the title element is sufficient.

• Identification of the whole– part relationship (hierarchy) of each level to the next subsequent level in the multilevel description. (Ex.: c01, c02, c03, etc.)

 

Multilevel Archival Description – Optimal DACS elements

Top level:

• All of the elements in the minimal multilevel above.

• Administrative History or Biographical Note element (2.7)

• Scope and Content element (3.1) A full description of the scope and content of the materials being described

• Access points (names, subjects, etc.)

Each subsequent level:

• All of the elements outlined above, unless the information is the same as that of a higher level.

• Identification of the whole– part relationship (hierarchy) of each level to the next subsequent level in the multilevel description. (Ex.: c01, c02, c03, etc.)

 

Multilevel Archival Description – Added Value elements

Top level:

• All of the elements in the optimal description, plus any other DACS elements the repository wishes to include.

Each subsequent level:

• All of the elements outlined above, unless the information is the same as that of a higher level.

• Identification of the whole– part relationship (hierarchy) of each level to the next subsequent level in the multilevel description. (Ex.: c01, c02, c03, etc.)

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Overview of AAA Finding Aid Structure and Elements

Below is an overview of the elements typically found in an AAA finding aid. This structure and the corresponding EAD elements have been incorporated into AAA’s EAD template. All of the elements listed below are mandatory, unless stated otherwise. (See Also AAA EAD Encoding Guidelines and SI EAD Best Practices.)

1. Title Page (bibliographic information about the finding aid)

1.1: Finding aid title and dates

1.2: Finding aid author/s

1.3: Date of publication

1.4: Sponsor (if applicable)

1.5: Contact information

2. Collection Overview (begin archival description of collection)

2.1: Creator/s (must match SIRIS MARC record; DACS 2.6 & Ch. 9 ; MARC 100/110)

2.2: Title of collection (DACS 2.3; MARC 245)

2.3: Dates (DACS 2.4; MARC 245 $f )

2.4: Abstract note (DACS 3.1; MARC 520 $a)

2.5: Extent (DACS 2.5; MARC 300)

2.6: Language of materials (DACS 4.5; MARC 546)

3. Administrative Information (information about acquisition and use of collection)

3.1: Provenance (DACS 5.2; MARC 541)

3.2: Separated Material (if applicable; DACS 6.3; MARC 544)

3.3: Location of originals (if applicable; DACS 6.1; MARC 535)

3.4: Related Material (if applicable; DACS 6.3; MARC 544)

3.5: Alternative forms available (if applicable; DACS 6.2; MARC 530)

3.6: Processing information (DACS 8.1.5; MARC 583)

3.7: Preferred citation (DACS 7; MARC 510 or 524

3.8: Restrictions on Access and Use (DACS 4.1 & 4.4; MARC 506 & 540)

Restrictions on Access

Ownership and Literary rights

3.9: Accruals (if applicable; DACS 5.4; MARC 584)

4. Biographical Note/Organization History (DACS 2.7 & 10; MARC 545)

5. Scope and Content Note (DACS 3.1; MARC 520)

6. Arrangement (DACS 3.2; MARC 351)

7. Names and Subject Terms (DACS 11– 14; MARC 6XX, 7XX)

8. Components/Series Descriptions and Container Listing (DACS Multilevel Description uses elements above as needed: titles; dates; extent; scope and content notes; arrangement, etc. No MARC equivalent)

8.1: Series Number, Title, Dates, Extent

8.2: Series Description (scope and content note)

8.3: Series Arrangement (if applicable for subseries)

8.4: Container Listing (Box #, Folder #, Folder Title, Folder Dates, Folder Physical Description, Folder Scope and Content Note, if needed)

May Add

Subseries Number, Title, Dates

Subseries Scope and Content Note, if applicable

Subseries Arrangement Note (rarely applicable)

Container Listing ( Box #, Folder Title, Folder Dates, Folder Physical Description, Folder Scope and Content, if needed)

May Also Add

Sub– subseries Number, Title, Dates

Container Listing ( Box #, Folder Title, Folder Dates, Folder Physical Description, Folder Scope and Content, if needed)

9. Other Descriptive Data – Indexes (if applicable; DACS 7, notes; MARC 500)

9.1: Collection Level Index

9.2: Series Level Index

10. Other Finding Aid (if applicable; DACS 4.6; No MARC equivalent)

11. Bibliography (if applicable; DACS 8.1.3; No MARC equivalent)

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Finding Aid Elements

1. Title Page

1.1: Finding aid title and dates

Provide the full title of the finding aid that includes the dates of collection.

A Finding Aid to the Nancy Douglas Bowditch Papers, 1888– 1979, in the Archives of American Art.

1.2: Finding aid author/s

Provide the name/s of the author of the finding aid.

by Jayna Hanson

1.3: Date of publication

Provide the date of creation/publication of the finding aid.

February 2009

1.4: Sponsor (if applicable)

Provide the name of the sponsor/s if applicable. Note that some collections will have multiple sponsors. Perhaps one sponsor funded processing and another funded digitization, etc. Be sure you provide the full and complete name of the funder.

Funding for the processing of this collection was provided by the Terra Foundation for American Art.

Funding for the processing and digitization of this collection was provided by the Terra Foundation for American Art.

Funding for the processing of this collection was provided by the Getty Foundation. Funding for the digitization of this collection was provided by the Terra Foundation for American Art and the Samuel H. Kress Foundation.

1.5: Contact information

Contact Information is built into the template.

Reference Department

Archives of American Art

Smithsonian Institution

Washington, D.C. 20560

www.aaa.si.edu/askus

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2. Collection Overview

2.1: Creator/s (DACS 2.6 and Chapter 9; also must match AAA SIRIS MARC record)

Provide the proper name of the creator, using the format of surname first for persons. For corporate names, use the proper name of the company. If a personal name is part of the corporate name, do not change the order of the names. When there are multiple creators, list only the one found in the SIRIS MARC record; co– creator names will be included in the added index terms/access points.

Pollock, Jackson (even though the title is Jackson Pollock and Lee Krasner papers)

Perls Galleries (formal corporate name, not Perls, Klaus)

Leo Castelli Gallery (not Castelli, Leo)

Mills Family (for Robert Mills Family letters)

2.2: Title of collection (DACS 2.3; papers, records, family papers, letter collection, etc.)

Provide the title of the collection. Most collections can be classified and titled according to 1) the name of the creator/s or collector/s and 2) the nature of the materials being described: personal papers, family papers, gallery records, association records, research collections, autograph collections, letters, collections (assembled), audio– visual collections, etc.

The title should include the name of the person/s, family/families, or corporate body predominately responsible for the creation, assembly, accumulation, and/or maintenance of the materials. Record the name in natural order by which the creator or collector is most generally known. In the title of the collection the “p” and “r” in “papers/records” should be lower– case, as should the first letter of any other words included in the title such as “family,” “letters,” or “collection.”

Usually the AAA SIRIS/MARC collection record already has the correct form of the title in the 245 field. However, review the title when you survey the collection, or as you process the collection, as it may need re– titled. For example, processing might reveal that a collection originally titled with two creators, such as a husband and wife, might really be the papers of only one primary creator. Perhaps a collection entitled “family papers” actually have only one primary creator, or the opposite might be true as well– papers thought to have one primary creator might prove to be family papers.

If the collection consists of a particular form of material, the title should identify this e.g. “Eastman Johnson letters” (not “Eastman Johnson Letter collection”); if the collection is an intentionally assembled collection consisting of different forms of material, the title should identify this e.g. “Winslow Homer collection.”

Robert Mills family letters

Jackson Pollock and Lee Krasner papers

Lillian and Frederick Kiesler papers

Timothy Cole papers

Leo Castelli Gallery records

Dorothea Gilder papers regarding Cecilia Beaux

Margo Feiden Galleries printed materials regarding Al Hirschfeld

Everett Shinn collection

2.3: Dates (DACS 2.4)

Provide the inclusive dates of the entire collection, expressed in years. When describing archival collections, you will almost always use the dates of creation, except for publication dates in series titles, series descriptions, or folder titles. AAA does not use the dates of the record keeping activity for collection dates. If the material being described is a reproduction, do not state this date in the collection inclusive dates, but, rather in the scope and content note/s.

If necessary, provide bulk dates. Limit the use of bulk dates in the title to when there is a significant gap between groups of dates. For very large gaps in inclusive dates, the date spans should be expressed separately (see below). You may include a reason for the gap (or unusually long date spans) in the Abstract and Scope and Content Note, in a sentence that is very close to the dates.

Never use “undated” in the title of a collection (or series title.) Do not use ca., use circa throughout the finding aid.

Charles Henry Hart papers, 1774– 1930, bulk 1888– 1918

Timothy Cole papers, 1883– 1936

John Smith papers, 1910– 1923, 1988

2.4: Abstract (DACS 3.1)

An abstract should briefly summarize biographical/historical information about the creator, the scope and content of the collection, and assist users to quickly identify whether the collection may be relevant to their research. It should note inclusive and bulk dates (if applicable), extent, and a very brief summary of the materials being described. It should be more than a mere listing of the types of materials found and provide users with a sense of the bulk of the materials, and what the various types of materials are about. Also explain the reason for any large gaps in inclusive dates.

When describing a collection that is very small, less than 0.2 linear feet, comprised primarily of letters, provide the number of letters/documents within the collection in the abstract.

Example 1: The papers of painter, author, and designer Nancy Douglas Bowditch measure 3.9 linear feet and date from 1888 to 1979. The papers reflect Bowditch's relationship with her husband William Robert Pearmain and her father George de Forest Brush, and other family members. The majority of the collection consists of Bowditch's correspondence with family and friends and her notes and writings, particularly concerning her father and her biography of him, The Joyous Painter, and her unpublished biography of her husband. There is also correspondence between Pearmain and his family. Also found are scattered family and biographical materials and personal business records; artwork by Pearmin, Bowditch, and George de Forest Brush; printed materials; and photographs of family and works of art.

Example 2: The papers of wood engraver Timothy Cole date from 1883– 1936, and measure 0.5 linear feet. Found within the papers are letters primarily written by Timothy Cole to the editors of Century Magazine, and letters to Cole from colleagues Gifford Beal, Alice Brown, George de Forest Brush, Kenyon Cox, David Finney, Helen C. Frick, Joseph Pennell, Caroline Powell, John Singer Sargent, and Helen M. Turner. Also found are miscellaneous writings, artwork including wood engravings and printing plates, miscellaneous clippings and a photograph of Cole and his wife.

Example 3: The records of New York City Fischbach Gallery measure 24.9 linear feet and date from 1937 to 1977 with the bulk of materials dating from 1963 to 1977. The majority of the collection consists of artists files containing a wide variety of materials documenting the gallery's relationship with its stable of modern and avant– garde artists, as well as gallery exhibitions. Files include biographical materials, correspondence, printed materials, and photographs. Gallery records also include general business correspondence, access– restricted financial records; and additional printed materials.

Example 4: The papers of New York artist Lillian Kiesler and architect and sculptor Frederick Kiesler measure 48.2 linear feet and date from circa 1910s– 2003, with the bulk of the material from 1958– 2000. The collection documents their personal and professional lives and the legacy of Frederick Kiesler's work through biographical material, correspondence, legal, financial and business records, teaching files, exhibition and performance files, artwork, subject files, printed material, writings and interviews, monographs, photographic material, and sound recordings and motion picture film. Also found are papers related to Abstract Expressionist painter Hans Hofmann and the papers of artist Alice Hodges.

Example 5: The collected papers of painter Everett Shinn date from 1877– 1958, and measure 3.0 linear feet. Found within the papers are biographical material; correspondence with friends and colleagues; personal business records; art work, including two sketchbooks of designs for Belasco's Stuyvesant Theatre; notes and writings, eight scrapbooks, printed material, and numerous photographs of Shinn, his colleagues, and his work.

Example 6: The papers of sculptors Marion Sanford and Cornelia Chapin measure 3.0 linear feet and date from 1929– 1988. Sanford and Chapin were close companions and shared a studio in New York City. The papers include scattered materials created by and about both women, including biographical materials, one folder of correspondence for each woman, a few writings and essays, newsclippings, exhibition catalogs, other printed materials, and four scrapbooks (three about Chapin and one about Sanford). Photographs are of Chapin only and of artwork of both women. There is also one sound recording of a radio interview with Chapin and several motion picture films of Chapin's home movies transferred onto video, mostly of her time working in Paris.

Example 7: The Jean Gabriel Lemoine papers relating to Morgan Russell are comprised of 20 items and date from 1921– 1923, and 1964. The item dating from 1964 is a typescript of a letter fragment.

2.5: Extent (DACS 2.5)

Provide a description of the extent of the collection in linear feet or items if the collection is less than 0.2 linear feet. When describing a collection that is very small, less than 0.2 linear feet that is comprised primarily of letters, also provide the number of letters/documents in the abstract note and scope and content note.

Use the following measurements when calculating extent:

Cubic foot white storage boxes: 1.0 linear feet

Hol document/manuscript boxes: 0.4 linear feet

Pam ½ size document/manuscript boxes: 0.2 linear feet

Sol oversized gray lidded boxes: 0.3 linear feet

Oversized folders: 0.1 linear feet

2.6: Language of materials (DACS 4.5)

State the language of the collection. If one or more other languages are significantly represented in the collection mention them here.

Collection is in English.

Most of the collection is in English; some records are in Spanish.

Most of the collection is in English; some records are in French and Spanish.

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3. Administrative Information

3.1: Provenance (DACS 5.2)

Provide basic information about the immediate source of acquisition of the collection, which should include the name of the donor, the date/s of the donation, and the relationship of the donor to the papers if the donor is not the creator.

Upon re– processing of older donations, AAA may choose to combine several donations which may have been previously cataloging as separate individual collections. If you are merging collections together, you may list all of the donors here.

Sometimes AAA borrowed materials for filming from a donor, which the donor later donated as a gift. If so, you may provide that information here, but do not include any reel numbers. Note that loans on microfilm are described in the Separated Materials Note.

DO NOT list materials or provide reel numbers in this element.

Example 1: The Ben Benn papers were donated to the Archives of American Art by Benn's nephew, Peter Rosenberg, in 1988.

Example 2: Lillian Kiesler donated her papers and papers related to Frederick Kiesler in several increments between 1980– 2000. She also donated papers related to Hans Hofmann in 1981. In 2002, circa 42 linear feet of material was donated from Lillian Kiesler's estate via Maryette Charlton executrix. Lillian Kiesler also lent material related to Frederick Kiesler for microfilming in 1971, which was included in later donations. The Frederick Kiesler materials were initially cataloged separately, but have been merged with the Lillian Kiesler papers.

Example 3: The records were donated by Robert Warshaw, executor of the Madeleine Chalette Lejwa estate in two accessions in 1997 and 2005.

Example 4: The Joseph Cornell papers were donated in several installments from 1974 to 1989 by Joseph Cornell’s sister, Betty Cornell Benton. Most, but not all, of the correspondence was loaned for microfilming in 1974, but subsequently donated in 1989. Additional material was donated in 2004 by the Joseph and Robert Cornell Memorial Foundation.

3.2: Separated Material note (if applicable; DACS 6.3)

Separated Material refers to portions of the papers related by provenance to the collection that have been physically separated or removed from the collection. Separated materials are not usually mentioned in the Provenance Note unless the material was loaned to AAA for microfilming and later donated. Separated materials are NOT described in AAA finding aids, but may be described in the SIRIS/MARC record as a loan on microfilm.

AAA defines separated materials as:

• Material loaned to AAA for microfilming by the same donor or with the same provenance (provide specific reel #s for loaned material, if known).

• Material donated by the same donor or with the same provenance that may have been separated from the collection in the past to form another AAA collection. This rarely occurs, but has in AAA’s past, mostly with family papers (see the Reginald Marsh example below) or corporate subsidiaries. At the time of processing, these separated collections should have been analyzed to determine if they should remain separated or merged back into the collection.

• Do not confuse separated materials with related materials. Separated materials most likely share the same provenance and perhaps even the same creator. Related materials are collections related to the main creator – usually as a subject, a collection with a different provenance, or held by another repository.

• Material separated/removed from the collection and transferred or given to another research repository, museum, or library.

Example 1: Originals of loaned material, including photographs of Dorothy Dehner and David Smith, sketchbooks, correspondence between Dehner and Smith, an inventory, and some printed material, were returned to Dehner after microfilming. Loaned material is available on reels D298, D298A, 1269, and 1472, but is not described in the container listing of this finding aid.

Example 2: A portion of the material donated to AAA with the Reginald Marsh papers was separated to create a new collection of Felicia Meyer Marsh and Meyer Family papers.

Example 3: Cornell’s sister, Betty Cornell Benton, donated Joseph Cornell’s source material and library, which included approximately 66 linear feet of three– dimensional and non– textual source material and 50 linear feet of books, to AAA in XXXX. AAA transferred this material to the Smithsonian American Art Museum’s Joseph Cornell Study Center in 1994 and 1995.

3.3: Location of Originals note (if applicable; DACS 6.1)

This element is used rarely at AAA to provide information about the existence, location and availability of originals when a portion of the collection consists of copies, such as photocopies or transcripts of letters, and the originals are maintained elsewhere. Generally, such information will be provided in the Separated Materials note; it is not necessary to repeat it here.

3.4: Related Material note (if applicable; DACS 6.3)

The Related Material/s note is used to record the existence of related archival materials and collections. Generally, these are collections at AAA or other repositories that are related by creator. They are not described in the finding aid or mentioned in the Provenance Note, and should have separate SIRIS records because they are simply different collections.

Unlike Separated Materials, Related Materials do not share the same provenance and may include AAA loans from other donors. Microfilmed loans that have a different provenance from the collection being described in the finding aid are properly classified as related collections, even though they may currently be included in the same SIRIS record. If you determine that a loan with a differing provenance is now included in the same SIRIS record, speak to the Chief of Collections Processing. She may recommend that the loan should be cataloged as a separate collection upon final cataloging.

In the past, AAA may have cataloged some collections as related, but separate, collections, even though they shared the same provenance. For example, Jackson Pollock and Lee Krasner were once two collections that were merged upon re– processing because they were so closely inter– related and shared the same provenance. As outlined in the processing procedures, the processing archivist should initially review all related collections that show up in SIRIS with the same creator and determine whether these collections should be merged or remain simply “related.”

Also, upon your initial review prior to processing, you may find several small “related” collections of differing provenances that could possibly be merged as well for ease of use and ease of description in one finding aid. Usually these are miscellaneous manuscripts that do not share the same provenance, but were all created by the same creator. The documents may be somewhat random in nature, but could be merged. In this case, AAA would merge the small accessions into one, and rename them as “collection.” For example, several small accessions donated by different donors, but created by Everett Shinn were merged and became the Everett Shinn collection. Consult with your supervisor before merging any collections.

Examples of material that should not be included here are published monographs by or about the creator.

The Related Materials note in the finding aid is used to note:

• AAA oral histories with or about the Main Creator of the collection.

• AAA collections (gift and loan) that contain a substantial amount of materials created by the Main Creator, though have a different provenance or came from a different donor. A SIRIS search on title keyword often reveals related collections sharing the same Main Creator.

• AAA collections containing substantial materials about the Main Creator.

• Materials loaned to AAA for microfilming by another research or manuscript repository or individual lender that have been created by the same Main Creator.

• Materials held by other research or manuscript repositories that were created by the same Main Creator. A search in RLIN will reveal holdings in other repositories; only list significant collections. Do not list contact information or attempt a lengthy description of collections held by other repositories.

Example 1: Also found in the Archives of American Art is an oral history interview with Reuben Kadish conducted by Paul Karlstrom, April 15, 1992. (Always provide the name of the interviewer.)

Example 2: The Archives also holds several collections related to the Solon H. Borglum family, including the Harriet Collins Allen papers relating to Solon Borglum and the Gutzon Borglum letters to John A. Stewart (available on microfilm reel D8, frames 359– 362), and the Gutzon Borglum collection (available on microfilm only, reel 3056; originals reside at the San Antonio Museum of Art.) The Library of Congress also holds papers of Solon Hannibal Borglum and is the primary repository of the papers of Gutzon Borglum.

3.5: Alternate Forms Available note (if applicable; DACS 6.2)

This element is used to note the existence of copies and surrogates of the collection that are available for research use, such as microfilm and fully digitized versions of the collection. Do not reference microfilm versions that are no longer usable because several previously filmed and unfilmed collections have been merged or if the current arrangement of the original papers clearly bears no similarity to the arrangement of the papers when first microfilmed. If you feel the microfilm is still valid and usable because the current arrangement is close to the arrangement on film, then you should reference the reel numbers here.

Remember, the finding aid describes only the papers you are currently processing. This element does not reference loans on microfilm–these are separated materials.

For collections that have been fully digitized or where the bulk of the material has been digitized, make note of the materials that generally have not been digitized, such as duplicates, medical records, banking records, photographs of works of art, etc. (See AAA's Guidelines for Digitizing Entire Collections)

AAA’s EAD encoding template has the boilerplate language you should use for this element, which you will enhance with additional information if needed.

For collections scanned in their entirety:

This collection was digitized in its entirety in 2009 and is available on the Archives of American Art’s website.

For collections that have the bulk or significant portions of the material digitized:

The bulk of this collection was digitized in 2009 and is available on the Archives of American Art’s website.

Also include a statement about the types of materials generally not scanned.

Example 1: Materials which have not been scanned include photographs of works of art; duplicates; medical, banking, and tax records; blank pages in bound volumes; blank versos of photographs; and exhibition catalogs of other artists. In some cases, exhibition catalogs and other publications have had their covers, title pages, and relevant pages scanned.

Example 2: Portions of this collection were digitized in 2009 and are available on the Archives of American Art’s website. Germaine Seligmann’s personal papers concerning his research and personal art collection have not been scanned (Series 12).

For collections that are partially scanned and a significant portion is still available on microfilm:

Portions of this collection were digitized in 2006 and are available on the Archives of American Art’s website. The bulk of Walt Kuhn’s family papers were not scanned and are also available on microfilm reels XXXX– XXXX and for interlibrary loan. Researchers should note that the arrangement of the papers as described in this finding aid does not/may not reflect the order of the papers on microfilm due to reprocessing.

For collections also available on microfilm:

This collection is OR Portions of this collection are available on 35 mm microfilm reels XXXX– XXXX at Archives of American Art offices, and through interlibrary loan. If appropriate due to reprocessing after filming, follow with: Researchers should note that the arrangement of the collection/papers as described in this finding aid may not/does not reflect the order of the collection on microfilm due to reprocessing.

3.6: Processing Information Note (DACS 8.1.5)

The Processing Information note is used to document any and all relevant AAA processing and reformatting actions that have been completed over the years. Do not, however, repeat information provided in other elements, such as the Separated Material note or the Alternative Forms Available note.

If reel numbers are referenced in the Alternative Forms Available note, simply mention that the collection or portions of the collection were microfilmed. This is also the proper element at AAA to note reel numbers that are no longer in circulation because they are not a true reflection of the collection due to the merging of unfilmed materials, or because the arrangement bears no resemblance to the microfilm, and, therefore, are not listed in the Alternate Forms Available note. Remember, if the collection has been digitized, AAA prefers that the microfilm eventually be removed from service, but if you must reference it, use the Processing Information note.

Because any reformatting is an “action”, note if the collection has been fully or partially digitized and provide the year.

Always provide the name/s of funders in the Processing Note associated with the particular action they funded.

Always provide your name and year of processing. Provide the names of other archivists that may have worked on the collection earlier, if appropriate.

The Processing Information note should indicate if numerous accessions were merged, including those that may have been separate collections before processing.

If the level of processing is accession-level, minimal, or less than an AAA level 3 or 4, mention it here. You may also provide information about what portions of the collection were not fully processed, or what processing actions were not completed.

Example 1: Portions of the collection received a preliminary level of processing at some point after donation. The collection was typically microfilmed in the order in which it was received on reels 1058– 1077, and 2729, except for the last donation by Benton, which was not microfilmed; the microfilm is no longer in circulation. All previously filmed and unfilmed accessions were merged, fully processed, arranged, and described by Jennifer Meehan in 2004– 2005 with funding provided by the Getty Foundation and scanned in 2006 with funding provided by the Terra Foundation for American Art.

Example 2: The collection was processed to a minimal level and a finding aid prepared by Sarah Haug in 2009, with funding provided by the Smithsonian’s Collections Care Pool Fund. Minimal processing included arrangement to the series, subseries, and folder levels. Generally, items within folders were simply verified with folder titles, but not arranged further. Folders within boxes were not numbered. The collection was re-housed in archival containers and folders, but not all staples and clips were removed.

Example 3: The collection was fully processed and a finding aid prepared by Stephanie Ashley, Erin Corley, and Pat Craig in 2000 with funding provided by the Getty Foundation. Portions of the collection were digitized in 2010 with funding provided by the Terra Foundation for American Art.

Example 4: The collection was fully processed a finding aid prepared by Jean Fitzgerald in 2010.

3.7: Preferred Citation (DACS 7)

Provide the official citation for the collection, including collection title, inclusive and bulk dates if applicable, and name of repository. Follow the same rules as above for the title and dates of the collection. The format of the citation statement is included in AAA’s EAD encoding templates.

Ralph Fabri papers, circa 1870s– 1975, bulk 1918– 1975. Archives of American Art, Smithsonian Institution.

3.8: Restrictions on Access and Use (DACS 4.1 & 4.4)

Restrictions on Access

Use this element to provide a standard AAA statement of access to the original papers. The current format is always provided in AAA’s EAD encoding template and may change slightly from time to time. Occasionally, you may have to include additional information about a donor access restriction for all or part of the collection. Currently, the default statement is:

Use of original papers requires an appointment.

Ownership and Literary rights

Use this element to provide a standard AAA statement about intellectual property ownership and rights. The current format is always provided in AAA’s EAD encoding template and may change slightly from time to time. Occasionally, you may have to include additional information about a donor publication restriction or special circumstances. Currently, the default statement is:

Example 1: The person’s name papers/corporate name records are owned by the Archives of American Art, Smithsonian Institution. Literary rights as possessed by the donor have been dedicated to public use for research, study, and scholarship. The collection is subject to all copyright laws.

Example 2: The person’s name papers are owned by the Archives of American Art, Smithsonian Institution. They may be used for research, study, and scholarship. Authorization to quote, publish or reproduce requires written permission from Leroy Neiman, One West 67th Street, New York, NY 10023.

3.9: Accruals (if applicable; DACS 5.4)

This element is rarely used at AAA, but may be used to provide information about known expected additions to the collection.

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4. Biographical/Historical Note (DACS 2.7 & 10)

Each finding aid will include a brief narrative biographical note (for personal or family papers) or historical note (for corporate and organizational records.) The note is not meant to be a fully comprehensive biography or a history, but a reference that provides researchers with an overview of the creator’s life or history and the context for the archival materials being described in the finding aid.

Biographical/Historical notes should be of a reasonable length to match the complexity and size of the collection. Most collections do not need more than one or two paragraphs, and excessively long biographical/historical notes are often not read by users. The note should relate the creator/s’ life and/or functions to the content of the collection. Include enough information to explain how and why the materials were created, assembled, accumulated or maintained and used.

For example, if the papers contain a substantial amount of correspondence with artists, the biographical note should mention the context or activities of the creator that would have led to the creation of this type of material. Emphasis should be on the activities or functions of the creator to which the bulk of the collection relates.

The first sentence or two of every biographical or historical note should provide a very concise summary overview of the creator’s life or history–including birth and death dates or dates of operation, primary occupation or function, and primary geographic area where the creator lived and worked or where the business or organization was located. It’s helpful to include a brief sentence about what is notable about the creator. If these are the papers of a family or multiple papers, include a sentence that identifies the co– creators and provides the same type of information. This information can be mapped to the MARC 545 field.

Please note that many of our finding aids do not include this concise overview because it has only been a requirement in our finding aids since 2009, and generally we do not make retrospective changes.

For collections with multiple creators, the biographical note should provide some information about all of the creators, if known. For papers of families, at minimum identify all family names that are creators of the papers.

A chronology is another form of a biographical or historical note. AAA’s finding aids are generally restricted to either a narrative note or a chronology–rarely both. Because chronologies are particularly tedious to encode in EAD, please reserve their use for the most significant or complex collections.

Below are examples of the initial concise statement included in AAA’s biographical/historical notes. Please see AAA’s online finding aids for examples of full– length biographical/historical notes.

Example 1: Surrealist painter Gertrude Abercrombie (1909– 1977) lived and worked in Chicago and was a prominent member of Chicago's Hyde Park arts community.

Example 2: Mark Green (1932– ) moved to San Francisco and became active in the "Beat Movement" as a photographer, writer, and arts advocate. He helped organize two major group exhibitions of beat– era arts and also founded the Nanny Goat Hill Gallery in San Francisco.

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5. Collection Level Scope and Content Note (DACS 3.1)

Scope and content notes are the core of archival description. Finding aids generally have several levels of scope and content notes, which would include an overall collection– level abstract note, a more detailed collection– level scope and content note, series and subseries level narrative descriptions, and added descriptive notes to folder headings if needed. This section covers the collection– level scope and content Note. Abstract notes were discussed in Section 2.

It is advised to write the scope and content note AFTER you have completed all of the processing. By then, you will have a much better understanding of the collection and its components. Often the collection– level scope and content note can be crafted by summarizing individual series descriptions.

Provide a full narrative summary description of the scope and contents of the collection. The first paragraph of the overall Scope and Content Note should simply be copied and pasted from the abstract note. (Note: best practices often dictate that a finding aid should have no redundancies. However, AAA’s finding aids must repeat the abstract note for proper display on our website.) Follow this paragraph with brief narrative descriptive overviews of each of the series within the collection, in the order of the series arrangement. More detailed descriptive information about the scope and content of individual series should be at the component/series further down in the finding aid. Series descriptions and overall scope and content notes should not be redundant.

At this level, the Scope and Content Note should provide more detail than the Abstract Note, but it is still an overview of the entire collection. The Scope and Content Note should also include summary information about documentary forms, subjects, dates, important names, geographic areas, functions, and primary research value or significance.

AAA’s cataloger will provide index terms based on the collection– level scope and content note only. Therefore, it is important that you include any significant names here, within reason. Also, list the form and genre of the materials and specify the exact number of any diaries, sketchbooks, scrapbooks, and photograph albums. Aside from these particular formats, it is not necessary to count the number of items, unless it is an extremely small collection comprised entirely of one specific format, such as letters, photographs, diaries, etc.

The information in a collection– level scope and content note should allow users to judge the potential or relevance of the collection to their specific research area, and not be so generic as to be indistinguishable from other collections. In today’s online environment, lengthy scope and content notes are generally not favored.

Information about the arrangement of the collection should not be covered in the Scope and Content Note, but detailed in a separate Arrangement Note.

Additional examples of collection– level Scope and Content Notes can be found in AAA’s online finding aids.

The papers of sculptor Hiram Powers measure 12.2 linear feet and date from 1819 to 1953, with the bulk of the material dating from 1835 to 1883. Over two– thirds of the collection consists of Powers' correspondence, which is particularly rich in documenting his artwork, methodology, and his interaction with business associates, purchasers of his artwork, and his numerous friends in the United States and Florence, Italy. Other papers include scattered biographical material, writings by Powers and others, financial and legal records, news clippings and printed items, photographs of Powers, his family, artwork, as well as an extensive collection of carte de visite and cabinet card portraits of many notable figures. Also found is a small amount of artwork by Powers and others, a scrapbook, and two autograph and memorabilia albums.

Biographical material consists of documents for honors conferred on Powers, price lists and inventories of his artwork, papers regarding his death, including a translation of his will, and ephemera, such as his studio cap.

The bulk of the collection consists of Powers’ correspondence with family, friends, business associates, and others, documenting his career as an artist and his personal life after he and his family moved to Florence, Italy, in 1837. Almost all of the letters have typed unconfirmed transcriptions completed by volunteers at the Smithsonian American Art Museum. Besides details of his studio work and business dealings, his letters often discuss his views on aesthetics, American politics, slavery and the Civil War, and Spiritualism. Notable correspondence is with William B. Astor, Edward Everett, Samuel York Atlee, William and E. Clementine Kinney, George P. Marsh, George Peabody, Presidents Andrew Jackson and John Quincy Adams, William Cullen Bryant, Elizabeth Barrett Browning, John C. Calhoun, Thomas Crawford, John A. Dix, Asher Durand, Charles Francis Fuller, Henry Peters Gray, Horace Greeley, George P. A. Healy, Henry Wadsworth Longfellow, Samuel F. B. Morse, W. W. Story, John Sartain, Frances Trollope, and Daniel Webster.

Writings by Powers include his "Studio Memorandum," a journal– type notebook he kept from 1841 to 1845, which contains dated notations of letters written, receipts and expenditures, business contacts, works in progress, commissions and price quotations for work, comments on problems encountered during studio work, and other notes. Additional writings include poetry and autobiographical essays and instructions for handling his sculptures. Writings by others include poetry, most of which was written in praise of Powers' artwork. Of note are handwritten transcripts of poems by Elizabeth Barrett Browning, Bayard Taylor, and John Quincy Adams. Also found here are short writings about Powers and his artwork.

Scattered financial and legal records in this collection include patent documents for tools invented by Powers, legal agreements, account statements, and bills and receipts. Printed material consists of news clippings, two booklets, an art association brochure, and an exhibition catalog for works by Powers.

This collection contains photographs of Hiram Powers, his family, friends, notable public figures, and artwork. Many of the photographs were taken by his son, Longworth Powers, who had a private photography studio in Florence. Included are portraits of Powers and his family, as well as a collection of 267 carte de visite and cabinet card portraits of artists, performers, politicians, writers, scientists, and other public figures, many of whom were friends with the Powers family. Other photographs depict Woodstock, Vermont, the marble quarry at Carrara, Italy, and artwork by Hiram and Preston Powers. Also found here is a photograph album kept by Louisa Powers.

Artwork consists of three drawings by Hiram Powers, including a caricature of Miner Kellogg. Also found in this collection is a scrapbook containing news clippings regarding the American tour of the sculpture Greek Slave, an autograph album belonging to Louisa Powers, and an album containing pencil drawings by Preston Powers and dried flowers collected on travels.

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6. Arrangement (DACS 3.2)

This is a general statement about the intellectual arrangement of the entire collection into series and other necessary information about order and arrangement. The arrangement note should always include a list of series titles, with dates, container numbers and extent, even if the collection is so small or minimally processed that it is only arranged as one series. This list serves as an online hyperlink to each individual series.

Extent should always be stated in linear feet, unless less than 0.2 feet. If less than 0.2 linear ft., state the extent of each series as the number of folders. For small collections less than 0.2 linear feet that are only comprised of one format, state the extent in the number of items, such as “24 letters.”

Arrangement notes that are specific only to particular series should be included in the appropriate series description arrangement notes, including any lists of subseries.

Example 1: Due to the small size of this collection the papers are arranged as one series.

Series 1: Audrey McMahon Papers, 1925– 1948 (Box 1; 8 folders)

Example 2: The collection is arranged as 3 series. Records are generally arranged by material type and chronologically thereafter.

Series 1: Biographical Material, 1928– 1937, circa 1961 (Box 1; 2 folders)

Series 2: Correspondence, 1920– 1974 (Box 1; 0.8 linear feet)

Series 3: Writings, 1924– 1930 (Boxes 1– 3; 1.5 linear feet)

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7. Names and Subject Terms (DACS 11– 14; MARC 6XX, 7XX)

At AAA, the staff cataloger will provide the name and subject terms according to standard authorities, such as LOC Name and Subject Authorities and Art & Architecture Thesauri. She will provide the terms based on information found in the Scope and Content Note/Historical Note of your finding aid, so be sure to include the most important and most relevant information there.

After she provides the index terms, you will enter the terms into the finding aid, minus the delineators $. You will also need to replace some delineators with – – . For example,

Robinson, Boardman, $d1876–1952 becomes Robinson, Boardman, 1876–1952.

$aPoems$2aat becomes Poems. The $2aat means that she used aat as the authority, not the default LOC; delete LOC and replace it with aat.

$aGraphic arts$zNew York (State)$zNew York becomes Graphic arts, New York (State)–New York.

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8. Series Descriptions/Folder Inventory/Container Listing (DACS Multilevel Description or Component Descriptions

In this section of the finding aid, provide detailed information about each series represented in the hierarchical archival arrangement of the collection. The EAD format refers to each nested level in the hierarchy as a component. A component can be any easily recognizable archival entity such as a series, subseries, folder, or item. In the finding aid, the entire section is entitled Series Descriptions/Container Listing. Refer to AAA’s EAD Encoding Guidelines for detailed instructions on encoding component levels.

Based on the physical and intellectual arrangement of the collection, the finding aid may have three kinds of hierarchies within a series.

1. Series arranged by folders—most common and usually preferred.

2. Series arranged by subseries and folders—sometimes needed for complex collections.

3. Series arranged as subseries, and further divided into sub– subseries.and folders—rarely needed.

As a general rule collections should only be divided into subseries if the series is complex or large enough to justify it. AAA restricts the number of component levels for each series to five which would be the equivalent of a series containing subseries, sub– subseries, folder groupings, folders, and items. It should be rare that more than 3 are ever needed. Remember, the less complex the arrangement, the easier it is for the user to understand and follow the finding aid.

For small groups of folders with the same or similar materials, a creative folder title is adequate. For example, it is not necessary to divide the following series of printed material into subseries of exhibition catalogs, news clippings and periodicals, as this can be just as clearly expressed using folder titles:

Box 1

1– 5 Exhibition Catalogs for Riveron’s Solo Exhibitions, 1936–1987 (5 folders)

6 Exhibition Catalogs for Riveron’s Group Exhibitions, 1931–1990s

7 Exhibitions Catalogs for Other Artists, 1945– 1961

8– 9 New Clippings About Riveron, ca, 1930s–1983 (2 folders)

10 News Clippings About Other Artists, 1957–1985

11 Periodical, Modern Hispanic Magazine, 1935

12 Periodical, Dance International 1937– 1938, 1937

However, if each of the folder titles above represented a large quantity of folders, you would not want to repeat the same information over and over. This becomes difficult to read and understand. For example, the following display has too many folders with the same title:

Box 1

1 Exhibition Catalogs for Riveron’s Solo Exhibitions, 1936– 1937

2 Exhibition Catalogs for Riveron’s Solo Exhibitions, 1938– 1939

3 Exhibition Catalogs for Riveron’s Solo Exhibitions, 1940– 1941

4 Exhibition Catalogs for Riveron’s Solo Exhibitions, 1942– 1943

5 Exhibition Catalogs for Riveron’s Solo Exhibitions, 1944– 1945

6 Exhibition Catalogs for Riveron’s Solo Exhibitions, 1946– 1947

7 Exhibition Catalogs for Riveron’s Solo Exhibitions, 1948– 1949

8 Exhibition Catalogs for Riveron’s Solo Exhibitions, 1950– 1951

9 Exhibition Catalogs for Riveron’s Solo Exhibitions, 1952– 1953

10 Exhibition Catalogs for Riveron’s Group Exhibitions, 1931– 1932

11 Exhibition Catalogs for Riveron’s Group Exhibitions, 1933– 1934

12 Exhibition Catalogs for Riveron’s Group Exhibitions, 1935– 1936

13 Exhibition Catalogs for Riveron’s Group Exhibitions, 1937– 1938

14 Exhibition Catalogs for Riveron’s Group Exhibitions, 1939– 1940

15 Exhibition Catalogs for Riveron’s Group Exhibitions, 1941– 1942

16 Exhibition Catalogs for Riveron’s Group Exhibitions, 1943– 1944

17 Exhibitions Catalogs for Other Artists, 1945– 1961

A much better way to express the above would be:

Box 1

1– 9 Exhibition Catalogs for Riveron’s Solo Exhibitions, 1936– 1953 (9 folders)

10– 16 Exhibition Catalogs for Riveron’s Group Exhibitions, 1931– 1944 (7 folders)

17 Exhibitions Catalogs for Other Artists, 1945– 1961

If the collection contains even more folders with similar contents and/or titles, the material can be divided into folder groupings. This type of hierarchy is desirable when the other materials in the series cannot be broken into subseries. In other words, you cannot establish a subseries for only a portion of the material in a series, and have the remaining materials in file units only. The title of the folder or file grouping is still encoded as an EAD component level in the hierarchy, but does not include a date span. For example:

Box 1

Exhibition Catalogs

1– 9 Riveron’s Solo Exhibitions, 1936– 1953 (9 folders)

10– 16 Riveron’s Group Exhibitions, 1931– 1944 (7 folders)

17 Other Artists’ Exhibitions, 1945– 1961

If the series has large numbers of folders of many different formats or other logical groupings, establish subseries. For example:

Series #: Printed Material, XXXX– XXXX (Boxes 1– 3; 3 linear feet)

Subseries 1: Exhibition Catalogs, XXXX– XXXX

Subseries 2: Exhibition Announcements, XXXX– XXXX

Subseries 3: Newsclippings, XXXX– XXXX

Subseries 4: Travel Brochures, XXXX– XXXX

Subseries 5: Auction Catalogs, XXXX– XXXX

Provide information about each series in the following order.

• Series ID: Series number, title, dates, container numbers, extent

Series 3: Writings, circa, 1930s–1965 (Boxes 1– 2; 0.4 linear feet)

• Series description (scope and content note)

A series description is a brief summary of the scope and content of the series. It is mandatory at the series level, optional at the subseries level, and discouraged at the sub– subseries level. The series scope note will include additional information about the series that was not included in the overall collection– level scope and content note–additional names, relationships, formats, subjects, or more detail on subjects, etc.

Example 1: Writings date from circa 1930s–1965 and include Sheeler's journal dated from circa 1950s– 1963. The journal includes poems, writings, transcribed correspondence, transcribed articles (which were later published), and a paper delivered at a symposium on photography held at the Museum of Modern Art in October 1950. Two notebooks dating from about the same time includes miscellaneous notes and writings, addresses, and recipes. Additional writings by Sheeler include an article that he wrote for Arts Magazine, writings on artists, and a manuscript of an unpublished autobiography, along with notes and drafts.

Example 2: This series contains writings by Herman Baron concerning the founding and the history of the ACA Galleries, ACA artists, and the clash of McCarthyism and American art. Also found are writings by ACA artists Philip Evergood and Anton Refregier, and art critic Elizabeth McCausland.

Example 3: Artist and subject files contain business correspondence, sales information, photographs and transparencies, catalogs, and exhibit reviews for each artist either represented or sold by the gallery, or whom participated in an exhibition organized by the gallery. Particularly rich files are found for Alcopley, Stephen Antonakos, Alexander Calder, Pietro Consagra, Giorgio De Chirico, Max Ernst, Pedro Friedeberg, Sam Gilliam, Mathias Goeritz, Sarah Grilo, Roberto Sabastiano Matta, Clement Meadmore, Constantino Nivola, Sylvia Sleigh, Paul Talman, and Jack Youngerman.

• Series arrangement note

Provide information about the arrangement of the series, if needed. Generally, this information is not required, unless the series is further divided into subseries.

Writings are arranged chronologically.

• Series with subseries arrangement note and scope and content note

For series with subseries, the arrangement note is a list of subseries. Additional scope and content notes may be added for each subseries, if needed.

Series 3: Writings, circa, 1930s–1965 (Boxes 1– 2; 1.4 linear feet)

This series is arranged as 3 subseries:

1: Lectures by Erle Loran, XXXX– XXXX

2: Essays by Erle Loran, XXXX– XXXX

3: Writings by Others, XXXX– XXXX

• Series with subseries and sub– subseries arrangement note

For series with subseries and sub– subseries, start by providing the series number, title, date, extent. Follow with the subseries arrangement note/list as in the example above. You will then create an additional arrangement note for each of the subseries that is a list of the sub– subseries. Extent and scope and content notes are not added to sub– subseries. (See EAD Encoding Guidelines and Template for additional examples and templates for formatting Series/Subseries/Sub– subseries arrangement notes.)

• Container Listing and File Unit/Folder Inventory.

For each series, subseries, and subseries, you will provide a container listing and file unit/folder inventory. Each folder is numbered according to its place in a container, not its place in the series. Physical descriptions at the folder level are used for stating the number of folders, if there is more than one. Also include any reference notes for oversized separated materials in the physical description field.

You can include folder level scope and content notes if needed for clarification–often useful for detailing special items within a folder, or for providing a list of names associated with the folder.

 

Box Folder

1 12 Autobiographical Manuscript, 1937 (Oversized in Box 19)

1 13– 14 Notebooks, 1950–1952 (2 folders; oversized also in OV 20)

1 15 Journal, circa 1950s–1963

1 16– 20 Essays, 1952 (5 folders)

19 1 Oversized Autobiographical Manuscript, 1937 (From Box 1, F 12)

OV 20 Oversized Notebook, 1950 (From Box 1, F13)

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9. Other Descriptive Data – Indexes (if applicable; DACS 7, notes; MARC 500)

AAA’s finding aids allow only two types of indexes. You may create an index that references the entire collection, such as a list of exhibitions, association officers, etc. You may also create an index that references materials in one series, usually a list of correspondents or selected correspondents and relevant dates. Only one index per series is allowed, and, generally, no more than two indexes per finding aid. The EAD encoding for indexes is structured very specifically so that the indexes are displayed to AAA’s preferences. AAA’s EAD encoding templates contain the correct tags, format, and instructions which must be followed carefully.

Limit use of indexes as much as possible, particularly for fully digitized collections. Alternatives might include arranging the folders in a series in an alphabetical arrangement; simply listing the names of correspondents in the series descriptions if fewer than 10 names; listing names associated with a folder as a scope and content note for the folder, which usually is effective only if the names for each folder are not repetitive.

In the series index example shown below, individual letters for each correspondent’s name have been listed. For most collections, a year date/s would be sufficient. Also, it is not necessary to identify the occupation of the indexed names.

Index: Notable Correspondents from 1.3: Correspondence

• Adams, Alva B. : 18 Oct 1938, 05 Apr 1941

• Akerson, George (Secretary to the President): 10 Jul 1929

• Albright, Horace M. (Director, National Park Service): 02 Dec 1932

• Alexander, D.: undated

• Allen, Henry J. : May 13, 1930

• Allison, William B. : 03 Jun 1906

• Alston, Frank H., Jr. : 22 Jul 1947

• Anderson, Clint : 13 Sep 1945

• Andrews, Marietta: undated, 05 Feb 1925 (illustrated letter), 16 Sep 1928 (illustrated letter), Jan 1930

• Arnold, Oren (writer): 04 Mar 1944

Below is an example of an index references the entire collection.

Below is a chronological listing of Downtown Gallery exhibitions, culled from catalogs and checklists, invitations and announcements, press releases, newspaper reviews, advertisements, lists compiled by gallery staff, and The Archives of American Art Collection of Exhibition Catalogs (1979).

Undated

Jan. 24– Feb. 1 American Landscapes: Paintings and Water Colors

Mar. 3– 28 [1964?] Abraham Rattner: New Paintings, 1961– 1963

June Art for 13,000,000

Sept. 17– 27 Abraham Rattner: Stained Glass Window Designed for the De Waters Art Center, Flint, Michigan

1926

Nov. [6– ] Opening Exhibition: Small Works by Leading American Contemporary Artists

Dec. [4– ] The Christmas Exhibition, $10– 50

1927

Jan. 8– Feb. 4 American Marines

Jan. 8– Feb. 4 Print Room Selection

Feb. [5– ] George Overbury "Pop" Hart

Mar. 1– 19 George C. Ault: Water Colors and Drawings

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10. Other Finding Aid (if applicable; DACS 4.6; No MARC equivalent)

AAA rarely, if ever, notes other finding aids. The field is intended to reference other finding aids, lists, or inventories of the collection being described in the finding aid. An example might be a list of microfilm reel contents, for example.

11. Bibliography (if applicable; DACS 8.1.3; No MARC equivalent)

AAA rarely notes bibliographies in its finding aids. If used, note information about sources used or consulted when writing the finding aid.

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Style Guidelines

Dates

Dates are required for all unit titles: collection, series, subseries, and folders/file units. The exception are unit titles for folder groupings–the dates are required for the physical file units/folders that follow the title of the folder grouping.

Dates refer to the actual dates of the materials being described. If the material is a reproduction or image of an original, DO NOT use the date of the original.

Bulk dates are expressed as 1906– 1988, bulk 1945– 1988. Do not use parenthesis.

Do not use the word ca. Use circa.

Series or subseries titles may not use the word undated. According to DACS and USMARC, you must try to estimate something. DACS has some good examples: probably 1867; approximately 1925; before (or after) 1867; 1890s; circa 1975, 1970s.

Although not desirable, AAA allows the use of the word undated in the folder title. However, it is a practice to be avoided. Do not use n.d.for undated, use the full word undated.

Year date spans are expressed as: XXXX– XXXX. There is no spacing before or after the dash. It is acceptable to use circa before either or both year dates in a span of dates.

DACS states that single exact dates are expressed as year, month, day: 1906 March 17. Do not use the following format: 1 March 1969; use 1969 March 1.

Single year dates and months or a span of months are expressed as 1975 March– August.

Avoid using date formats with slashes dd/mm/yyyy in finding aids as these should be reformatted to match ISO standards.

In narrative text, it is acceptable to use other standards, such as March 1, 1978 or March 1978.

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Exhibition Titles

Exhibition titles as folder or file unit titles are expressed in quotation marks, followed by the date/s of the exhibition in parenthesis, followed by the dates of the archival materials in the date field. The dates of the actual exhibition form part of the unit title of the folder. DO NOT confuse the date/s of the exhibition with the date/s of the materials in the folder–even if they are the same date/s. For example:

“The Ties That Bind” (1988), 1988

Exhibition files often contain a copy of a published exhibition catalogs. If a published exhibition catalog is the ONLY material in the exhibition folder, the title of the exhibition in the file title should be in italics. Otherwise, do not use italics to express the title of the exhibition.

For example:

Series 9: Exhibition Files, XXXX– XXXX (Box #, extent)

Muckenthaler Cultural Center (1979), 1978– 1979

Matrix Workshop of Women Artists – "Sculpture Sacramento" (1982), 1981– 1983

Michael Duney Gallery–The Ties That Bind (1988), 1988

National Museum of Women in the Arts –“Generation of Mentors” (1994), 1992– 1995

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Extent

Use the following measurements when calculating extent for collections, series, and subseries.

Cubic foot white storage boxes: 1.0 linear feet

Hol document/manuscript boxes: 0.4 linear feet

Pam ½ size document/manuscript boxes: 0.2 linear feet

Sol oversized gray lidded boxes: 0.3 linear feet

Oversized folders: 0.1 linear feet

Less than 0.2 linear feet, express in # of folders

At the folder/file unit level, express the number of folders if more than one in the EAD physical description tag.

Exhibition catalogs, 1943– 1945 (3 folders)

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Oversized Folders and Boxes (OVS and SOLS)

In physical arrangement and finding aids, cubic foot (white Hollinger) boxes always come first, followed by “hols,” “pams,” “sols,” and “OVs.”

All containers are numbered sequentially, regardless of type. Do not differentiate between linear foot boxes and hols, pams, and sols as container types. They are simply listed as boxes, except for OVs. In the container listing, include “OV” as part of the folder number.

References to oversized materials are made in the <physdesc> tag at the <unittitle> level. At the folder heading/unit title where the material has been removed, use the following language, in parenthesis:

<physdesc>(Oversized material/items housed in Box # or OV#)</physdesc>

At the folder heading in the oversized container, also in <physdesc>, use the following language in parenthesis:

 

<physdesc>(Oversized material/items from Box #, F#)</physdesc>

OR FOR COLLECTIONS SCANNED

<physdesc> (Oversized material scanned with Box #, F#) </physdesc>

For entire folders of oversized materials removed and housed elsewhere, create a dummy folder with a folder number in the box and create a unit/folder title in the regular folder sequence.

For oversized items removed from folders, insert a handwritten note within the folder that informs the user in which oversized box/container/folder the item has been filed. In the oversized folder or oversized box create a handwritten note or that indicates the regular box number and folder title from where the material was removed.

Examples:

(Oversized material housed in Box ## or OV ##)

(Oversized materials scanned with Box ##, F##)

(Oversized materials from Box ##, F##)

It is acceptable to combine these notations with other information within the <physdesc> tag, such as the # of folders, using the following format

(2 folders; Oversized material housed in Box ## or OV ##)

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