# Archival processing

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Surveying, arranging, preserving collections

**Archival processing** is the act of surveying, arranging, describing, and performing basic [preservation](/source/Preservation_(library_and_archival_science)) activities on the recorded material of an individual, family, or organization after they are permanently transferred to an archive. A person engaging in this activity is known as an *archival processor, archival technician,* or [archivist](/source/Archivist).

Ideally, when an [archives](/source/Archives) receives a collection of papers or a group of records, they will have been arranged by the originator (the original person, persons, or organization that created or assembled the collection or records) and boxed up for the move to the archives in such a way that this order has been preserved. However, collections and record groups are often semi-organized, and sometimes lack any discernible organization. Observing the organization of delivered materials, imposing organization where it is lacking, then describing the organized material are tasks covered by the terms "archival processing", "arrangement and description", "archival listing", or "cataloguing".[1]

## Collection surveying

The first step in archival processing is to survey the collection. The goal of a survey is to gain an understanding of the originator, determine the context of the creation of the collection, to observe the material's overall size and scope, to ascertain if the collection has access limitations, to locate any existing [finding aids](/source/Finding_aid) submitted with the collection, and to discover any underlying organizational scheme in the collection or record group.[2]

Collection surveys should be carried out with an archival principle, *[respect des fonds](/source/Respect_des_fonds),* in mind. In following *respect des fonds*, which may be translated as "taking into consideration the entirety of the collection",[3] the survey must include activity to ascertain whether the materials in hand are all, or only a portion, of the entire *[fonds](/source/Fonds)*. If the archivist is in a repository that holds other parts of the *fonds*, he or she should assemble a plan of work that encompasses, or at least acknowledges, the entire set of materials from the same originator.

Surveying collections is a strictly observational task, without making any changes or rearrangements to the materials.[4] Because many organizations require use of a template or worksheet to ensure the surveys are thorough and consistent, the typical end products of a collection survey is a completed survey worksheet and a processing plan.[5] After the completion of the survey, the materials may be made available to researchers without additional processing, stored for future processing when resources are available, or progress to processing immediately.

## Arrangement

Arrangement of materials should be completed with two archival principles that fall within *respect des fonds* in mind: [provenance](/source/Provenance#Archives) and [original order](/source/Original_order).

According to the principle of provenance, an originator's materials should be maintained together and separated from those of other originators. Under the rules of provenance, maintenance of the materials must include making them searchable and retrievable together (known as their intellectual arrangement) and could include keeping them physically together, if it is practical to do so. Additionally, if the materials have changed hands beyond the originator, the provenance of an item includes all those who came after the creator and any changes they make to the collection such as insertions, deletions, rearranging.[6]

According to the principle of original order, the originator's arrangement of the materials holds value, because it reflects how they originally used and accessed the collection, as well as how the records relate to each other, which can both inform the initial purpose of the records.[5] Depending on the collection, rearrangement of the materials may not be required if a logical original order appears to have been maintained, the arrangement provides contextual clues about the purpose of the records and the arrangement does not interfere with researcher access to the materials.[7] If rearrangement is required, archival processors will arrange the materials at the collection level, series level, subseries level, box level, folder level, or item level.[5] The level of arrangement is determined by a number of factors, which include but are not limited to the orderliness of the material, the probable [researcher](/source/Researcher) interest and research value in the collection,[\[2\]](#cite_note-:1-2) and the policy and resources of the repository.

If arrangement tasks are required, arrangement is the first phase of physically processing the materials after the survey. In addition to rearranging the materials, there may also be weeding of material that does not meet a repository's collecting guidelines, as well as the preservation activities described below.[8]

## Description

### Levels of description

More detailed descriptions than that which results from a collection survey of the material are generally attempted. Beyond the survey, the individual processing the collection may create a listing of the "series"[9] and "sub-series",[10] listing of box contents (also called box-level description), folder lists (folder-level description), or even complete inventories[11] that include administrative histories or biographical notes, scope notes, acquisition information, and information as to the archival processing treatment the material has received.[12][13] Some repositories will conduct item-level description of selected documents within a collection or group of records, if the research value is deemed to be extremely high, heavy use is expected, or the risk of theft is heightened.[5]

### Finding aids

The written description of a collection is generically termed a [finding aid](/source/Finding_aid). The main purpose of a finding aid is to facilitate access to a collection of materials by users,[14] and can also useful for other archivists who provide reference services to the materials currently and in the future. The earliest finding aids were known as "[calendars](/source/Calendar_(archives))" and generally consisted of a listing of individual documents in chronological order, which was the preferred organizational method of historians, who were their primary users at the time.[15][16] Currently used forms of finding aids vary in length and fall into several categories by type, with the inventory predominating in the late 20th and early 21st centuries. Many archives post their finding aids online to widen exposure to their holdings and some are encoded (see Standards section below) to facilitate recognition by [web search engines](/source/Web_search_engine).[5][17]

### Standards

Several [standards](/source/Standardization) govern archival description, some national and some international. [ISAD(G)](/source/ISAD(G)), the General International Standard Archival Description, defines the elements that should be included in a finding aid. Other content standards also pertain. In the United States, proper names may be checked against the [Library of Congress](/source/Library_of_Congress) Name Authority Files and subject headings are drawn from the [LCSH](/source/LCSH). Genre terms are often taken from the [Art & Architecture Thesaurus](/source/Art_%26_Architecture_Thesaurus). Many finding aids are encoded ([marked up](/source/Markup_language)) in [XML](/source/XML); in such cases, the [Encoded Archival Description](/source/Encoded_Archival_Description) (EAD) standard can be used. In addition, repositories may follow local practices designed to make finding aids serve their particular mission.

The [Society of American Archivists](/source/Society_of_American_Archivists) (SAA) has published a number of [best practices](/source/Best_practices) for American archivists; two important ones are *[Archives, Personal Papers and Manuscripts](https://en.wikipedia.org/w/index.php?title=Archives,_Personal_Papers_and_Manuscripts&action=edit&redlink=1)*, often abbreviated as APPM, and *[Describing Archives: A Content Standard](/source/Describing_Archives%3A_A_Content_Standard)* (DACS).[18] SAA's publication *Standards for Archival Description: A Handbook* provides an overview of relevant standards for all phases of archival and manuscripts processing. The [Research Libraries Group](/source/Research_Libraries_Group) has published a best practices document for use with EAD.

The [Archives and Records Association](/source/Archives_and_Records_Association), the British equivalent of the SAA, has published a number of best practices for U.K. archivists on topics ranging from school records retention to historical accounting records.[19]

The [Australian Society of Archivists](/source/Australian_Society_of_Archivists) published *Describing Archives in Context: A Guide to Australasian Practice* in 2004, which provides the basis for description using the [Australian Series System](/source/Australian_Series_System).[20] Series description is based on the primacy of the series as a basis for arrangement and description, rather than on fonds as is the practice in other jurisdictions.

## Preservation activities

Archival processing often includes basic [preservation](/source/Preservation_(library_and_archival_science)) practices such as removing staples and paperclips, placing materials in [acid-free](/source/Acid-free_paper) folders and boxes, isolating acidic materials to avoid acid migration, photocopying damaged or acidic documents, and unfolding papers.[21] There has been a trend for archives and [manuscript](/source/Manuscript) repositories in the past few years to try new ways to reduce backlogs and provide access to materials as quickly as possible, described and encouraged by the 2005 article, "[More Product, Less Process: Revamping Traditional Archival Processing](/source/More_Product%2C_Less_Process)" by [Mark A. Greene](/source/Mark_A._Greene) and Dennis Meissner.[1] Their method discourages these basic practices in the interest of accelerating processing to provide quicker access to researchers. Their argument also acknowledges the assumption of proper climate control in modern institutions, which would slow the deterioration of acidic paper and rusting of metal fasteners.[1]

## See also

- [Archival science](/source/Archival_science)

- [Manuscript culture](/source/Manuscript_culture)

- [Finding aid](/source/Finding_aid)

- [ISAD(G)](/source/ISAD(G))

- [Records in Contexts](/source/Records_in_Contexts)

- [Describing Archives: A Content Standard](/source/Describing_Archives%3A_A_Content_Standard)

- [Encoded Archival Description](/source/Encoded_Archival_Description)

- [Manual of Archival Description](/source/Manual_of_Archival_Description)

- [International Standard Archival Authority Record](/source/International_Standard_Archival_Authority_Record)

## Notes

1. ^ [***a***](#cite_ref-:0_1-0) [***b***](#cite_ref-:0_1-1) [***c***](#cite_ref-:0_1-2) Greene, Mark A.; Dennis Meissner (2005). ["More Product, Less Process: Revamping Traditional Archival Processing"](https://web.archive.org/web/20221031064224/http://www.archivists.org/prof-education/pre-readings/IMPLP/AA68.2.MeissnerGreene.pdf) (PDF). *[American Archivist](/source/American_Archivist)*. **68** (2): 208–263. [doi](/source/Doi_(identifier)):[10.17723/aarc.68.2.c741823776k65863](https://doi.org/10.17723%2Faarc.68.2.c741823776k65863). Archived from [the original](http://www.archivists.org/prof-education/pre-readings/IMPLP/AA68.2.MeissnerGreene.pdf) (PDF) on 2022-10-31. Retrieved 2018-10-23.

1. **[^](#cite_ref-:1_2-0)** Mengel, Holly; Smerz, Courtney (March 2012). ["Surveying and Minimal Processing Manual - Hidden Collections Processing Project"](https://web.archive.org/web/20150921200615/http://clir.pacscl.org/wp-content/uploads/2009/07/Survey_and_Processing-Manual.pdf) (PDF). *PACSCL Hidden Collections Processing Project*. Archived from [the original](http://clir.pacscl.org/wp-content/uploads/2009/07/Survey_and_Processing-Manual.pdf) (PDF) on September 21, 2015. Retrieved November 2, 2018.

1. **[^](#cite_ref-3)** Bartlett, Nancy (1992). "The Origins of the Modern Archival Principle of Provenance". *Bibliographical foundations of French historical studies*. Haworth Press. pp. 106–114. [ISBN](/source/ISBN_(identifier)) [978-1-56024-150-8](https://en.wikipedia.org/wiki/Special:BookSources/978-1-56024-150-8).

1. **[^](#cite_ref-4)** Kruse, Matthew. ["Guides @ UF: Archival Processing: Surveying"](https://guides.uflib.ufl.edu/archivalprocessing/surveying). *guides.uflib.ufl.edu*. Retrieved 2018-11-02.

1. ^ [***a***](#cite_ref-:2_5-0) [***b***](#cite_ref-:2_5-1) [***c***](#cite_ref-:2_5-2) [***d***](#cite_ref-:2_5-3) [***e***](#cite_ref-:2_5-4) ["Processing Manual for Archival and Manuscript Collections"](https://scholarworks.umb.edu/cgi/viewcontent.cgi?article=1028&context=hlpubs). *University Archives and Special Collections University of Massachusetts Boston*. February 2017. Retrieved November 2, 2018.

1. **[^](#cite_ref-6)** ["Statement of Principles | Society of American Archivists"](https://www2.archivists.org/standards/DACS/statement_of_principles). *www2.archivists.org*. Retrieved 2018-11-02.

1. **[^](#cite_ref-7)** ["3.1 Provenance and Original Order | Beinecke Rare Book & Manuscript Library"](https://web.archive.org/web/20180624034228/http://beinecke.library.yale.edu/31-provenance-and-original-order). *beinecke.library.yale.edu*. Archived from [the original](https://beinecke.library.yale.edu/31-provenance-and-original-order) on 2018-06-24. Retrieved 2018-11-02.

1. **[^](#cite_ref-8)** ["arrangement | Society of American Archivists"](https://www2.archivists.org/glossary/terms/a/arrangement). *www2.archivists.org*. Retrieved 2018-11-02.

1. **[^](#cite_ref-9)** ["series | Society of American Archivists"](https://www2.archivists.org/glossary/terms/s/series). *www2.archivists.org*. Retrieved 2018-11-06.

1. **[^](#cite_ref-10)** ["subseries | Society of American Archivists"](https://www2.archivists.org/glossary/terms/s/subseries). *www2.archivists.org*. Retrieved 2018-11-06.

1. **[^](#cite_ref-11)** ["depth of description | Society of American Archivists"](https://www2.archivists.org/glossary/terms/d/depth-of-description). *www2.archivists.org*. Retrieved 2018-11-06.

1. **[^](#cite_ref-12)** ["level of description | Society of American Archivists"](https://www2.archivists.org/glossary/terms/l/level-of-description). *www2.archivists.org*. Retrieved 2018-11-06.

1. **[^](#cite_ref-13)** Kruse, Matthew. ["Guides @ UF: Archival Processing: Finding Aid Notes"](https://guides.uflib.ufl.edu/archivalprocessing/notes). *guides.uflib.ufl.edu*. Retrieved 2018-11-06.

1. **[^](#cite_ref-14)** Duff, Wendy; Johnson, Catherine (2001). ["A Virtual Expression of Need: An Analysis of E-Mail Reference Questions"](https://doi.org/10.17723%2Faarc.64.1.q711461786663p33). *American Archivist*. **54:1** (Spring/Summer 2001): 43–60. [doi](/source/Doi_(identifier)):[10.17723/aarc.64.1.q711461786663p33](https://doi.org/10.17723%2Faarc.64.1.q711461786663p33).

1. **[^](#cite_ref-15)** Berner, Richard (1983). *Archival Theory and Practice in the United States: A Historical Analysis*. University of Washington Press.

1. **[^](#cite_ref-16)** ["calendar | Society of American Archivists"](https://www2.archivists.org/glossary/terms/c/calendar). *www2.archivists.org*. Retrieved 2018-11-02.

1. **[^](#cite_ref-17)** Pitti, Daniel V. (1997). ["Encoded Archival Description: The Development of an Encoding Standard for Archival Finding Aids"](https://doi.org/10.17723%2Faarc.60.3.f5102tt644q123lx). *The American Archivist*. **60** (3): 268–283. [doi](/source/Doi_(identifier)):[10.17723/aarc.60.3.f5102tt644q123lx](https://doi.org/10.17723%2Faarc.60.3.f5102tt644q123lx). [JSTOR](/source/JSTOR_(identifier)) [40294437](https://www.jstor.org/stable/40294437).

1. **[^](#cite_ref-18)** ["Describing Archives: A Content Standard (DACS), Second Edition | Society of American Archivists"](https://www2.archivists.org/groups/technical-subcommittee-on-describing-archives-a-content-standard-dacs/dacs). *www2.archivists.org*. Retrieved 2018-04-24.

1. **[^](#cite_ref-19)** [http://www.archives.org.uk/publications.html](http://www.archives.org.uk/publications.html) Society of Archivists: Publications [Archived](https://web.archive.org/web/20061002003303/http://www.archives.org.uk/publications.html) October 2, 2006, at the [Wayback Machine](/source/Wayback_Machine)

1. **[^](#cite_ref-20)** Boadle, Don (December 2007). ["Describing Archives in Context: A Guide to Australasian Practice Australian Society of Archivists Committee on Descriptive Standards"](https://doi.org/10.1080%2F00048623.2007.10721314). *Australian Academic & Research Libraries*. **38** (4): 298–299. [doi](/source/Doi_(identifier)):[10.1080/00048623.2007.10721314](https://doi.org/10.1080%2F00048623.2007.10721314). [ISSN](/source/ISSN_(identifier)) [0004-8623](https://search.worldcat.org/issn/0004-8623).

1. **[^](#cite_ref-21)** ["Processing Manual for Archival and Manuscript Collections"](https://www.lib.umd.edu/binaries/content/assets/public/special/forms/umprocessingmanual.pdf) (PDF). *University of Maryland Libraries College Park, MD*. September 2011. Retrieved November 2, 2018.

## Further reading

- Michael Cook & Kristina Grant *Manual of Archival Description*. London: Society of Archivists, 1984 [ISBN](/source/ISBN_(identifier)) [0902886223](https://en.wikipedia.org/wiki/Special:BookSources/0902886223)

- Margaret Procter & Michael Cook *Manual of Archival Description*; 2nd ed. Aldershot: Gower, 1989 [ISBN](/source/ISBN_(identifier)) [0566036347](https://en.wikipedia.org/wiki/Special:BookSources/0566036347)

- Margaret Procter & Michael Cook *Manual of Archival Description*; 3rd ed. Aldershot: Gower, 2000 [ISBN](/source/ISBN_(identifier)) [0566082586](https://en.wikipedia.org/wiki/Special:BookSources/0566082586)

- Michael Cook gained a Ph.D. at the University of Liverpool in 1998 for his collected works on Archives Management, which included the manual and other writings.

## External links

- [Society of American Archivists](https://www2.archivists.org/)

- [Archives & Records Association (UK & Ireland)](https://www.archives.org.uk/)

- [Australian Society of Archivists](https://www.archivists.org.au/)

- [Standards for Archival Description: A Handbook](http://www.archivists.org/catalog/stds99/toc.html)

- [A Glossary of Archival and Records Terminology](http://www2.archivists.org/glossary/)

- [SAA publications](http://www.archivists.org/catalog/index.asp)

- [Arranging and Describing Archives and Manuscripts](https://web.archive.org/web/20070202110738/http://www.archivists.org/catalog/pubDetail.asp?objectID=1602)

- ["More Product, Less Process", Greene and Meissner](https://web.archive.org/web/20080106163418/http://ahc.uwyo.edu/documents/faculty/greene/papers/Greene-Meissner.pdf)

v t e Cultural heritage and historic preservation Topics and issues Agents of deterioration Archival processing Archaeological science Archaeology Archive Bioarchaeology Book Calendar (archives) Conservation and restoration of cultural property Conservation and restoration of immovable cultural property Conservation and restoration of movable cultural property Conservation science (cultural property) Collecting Collection (museum) Collection catalog Collections maintenance Collections management Collections management system Cultural heritage Cultural heritage management Cultural property Cultural property documentation Cultural property exhibition Cultural property imaging Cultural property storage Cultural resource management Database preservation Deaccessioning Digital library Digital photograph restoration Digital preservation Disaster preparedness (cultural property) Documentary editing Film preservation Finding aid Fonds Found in collection Heritage asset Heritage science Historic site Inherent vice Intangible cultural heritage Integrated pest management (cultural property) Inventory (library and archive) Inventory (museums) Media preservation Midden Mold control and prevention (library and archive) Museum Optical media preservation Preservation (library and archive) Preservation metadata Preservation survey Provenance Repatriation Ruins Sustainable preservation Treasure Web archiving Roles and expertise Archivist Art dealer Art handler Auctioneer Collection manager Conservator-restorer Conservation scientist Conservation technician Curator Exhibition designer Mount maker Objects conservator Paintings conservator Photograph conservator Preservationist Registrar (cultural property) Textile conservator Methods and techniques Aging (artwork) Anastylosis Arrested decay Cradling (paintings) Cultural property radiography Detachment of wall paintings Desmet method Display case Digital repository audit method based on risk assessment Historic paint analysis Inpainting Kintsugi Leafcasting Lining of paintings Mass deacidification Overpainting Paleo-inspiration Paper splitting Reconstruction (architecture) Rissverklebung Textile stabilization Transfer of panel paintings UVC-based preservation VisualAudio Conservation and restoration of immovable cultural property by item type Archaeological sites Cultural venues Frescos Heritage railways Historic gardens Outdoor artworks Outdoor bronze objects Outdoor murals Conservation and restoration of movable cultural property by item type Aircraft Ancient Greek pottery Bone, horn, and antler objects Books, manuscripts, documents and ephemera Ceramic objects Clocks Copper-based objects Feathers Film Flags and banners Fur objects Glass objects Herbaria Human remains Illuminated manuscripts Insect specimens Iron and steel objects Ivory objects Judaica Lacquerware Leather objects Lighthouses Metals Musical instruments Neon objects New media art Paintings Painting frames Panel paintings Papyrus Parchment Performance art Photographs Photographic plates Plastic objects Rail vehicles Road vehicles Shipwreck artifacts Silver objects South Asian household shrines Stained glass Taxidermy Textiles Tibetan thangkas Time-based media art Totem poles Vinyl discs Woodblock prints Wooden artifacts Wooden furniture Intangible cultural heritage preservation Ancient music Applied folklore Dance notation Early music Endangered language Ethnochoreology Ethnomusicology Ethnopoetics Family folklore Folklore Folk art Folk dance Folk etymology Folk instrument Folk music Folk process Folk play Foodways Folklore studies Heritage language Heritage language learning Indigenous intellectual property Indigenous culture Indigenous language Language death Language preservation Language revitalization Living history Oral history preservation Preservation of meaning Prehistoric music Tradition preservation Traditional knowledge Traditional medicine Notable projects Conservation issues of Pompeii and Herculaneum Conservation-restoration of Ecce Homo by Elías García Martínez Conservation-restoration of The Gross Clinic by Thomas Eakins Conservation-restoration of Leonardo da Vinci's The Last Supper Pompeian frescoes Conservation-restoration of the Shroud of Turin Conservation-restoration of the Sistine Chapel frescoes Conservation-restoration of the Statue of Liberty Conservation-restoration of the H.L. Hunley Conservation response to flood of Arno, Florence Modern and Contemporary Art Research Initiative Preservation Metadata: Implementation Strategies World Heritage Site

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