II.A.1. Description of Units

• General Collection of Early Books and Manuscripts (GENE)

- Aka pre-1600. Also includes non-European pre-print cultures (e.g, Arabic).

• General Collection of Modern Books and Manuscripts (GENM)

- Aka post-1600.

• James Marshall and Marie-Louise Osborn Collection (OSB)
• Yale Collection of American Literature (YCAL)
• James Weldon Johnson Collection (JWJ)

- Separate collection administered by and as part of YCAL. Has separate identity for citation, statistical, and shelving purposes. Reserved for papers of African-American authors, not for others writing about African-Americans or the African-American experience.

• Yale Collection of German Literature (YCGL)
• Yale Collection of Western Americana (WA)

• Curator of Early Books and Manuscripts

NOTE: For the General Collection, but don't use the phrase "General Collection" in reference to the curator.

• Curator of Modern Books and Manuscripts

NOTE: For the General Collection, but don't use the phrase "General Collection" in reference to the curator.

• Curator of the James Marshall and Marie-Louise Osborn Collection
• Curator of the Yale Collection of American Literature

NOTE: Also used for Curator of the James Weldon Johnson Collection in the Yale Collection of American Literature.

• Curator of the Yale Collection of German Literature
• Curator of the Yale Collection of Western Americana

II.B.1. Papers

Designates a body of documents accumulated naturally by a person or family (e.g., Kenaga Family Papers, Kathryn Hulme Papers). The Orbis Cataloging Manual: Mixed Materials Format and Visual Materials Format and Steven Hensen's Archives, Personal Papers, and Manuscripts should be consulted for conventions for naming collections, particularly for family papers and for collections of mixed attribution.

II.B.2. Records

Used for the official, active papers of an organization or institution. (Such collections are rare at Beinecke.)

II.B.3. Archives

Generally used to describe inactive organizational records of enduring historical value (e.g., The Theater Guild Archive). It also is used to designate complex collections of personal and/or family papers with mixed but related provenance (e.g., The Spinelli Archive; Alfred Stieglitz/Georgia O'Keeffe Archive).

II.B.4. Artificial Collections

Encompass materials acquired from various sources (e.g., Mrs. Humphry Ward Collection), which have been grouped together by an outside collector or by the library according to artificial criteria (perhaps person, subject, form, or physical characteristic). For more information see .

II.B.4.a) Collectors' Collections

The provenantial integrity of these artificial collections is preserved. Conventions for naming a collector's collection have varied over the years, and to some extent continue to be influenced by a collector's wishes. For detailed guidance on current standards for assigning names to collectors' collections, consult the Orbis Cataloging Manual: Mixed Materials and Visual Materials Format (MARC tag 245/title). As a general rule, we use the form "[Collector's name] Collection of [Person/Format collected]," e.g., Richard L. Purdy Collection of Thomas Hardy Henry Raup Wagner Collection of Mexican Manuscripts

Generic manuscript collections are listed as in the following example: Herman W. Liebert Manuscript Collection. Although collectors' collections often are referred to informally (e.g., Purdy-Hardy Collection), the official form of the name should always be used in finding aids and catalog records.

II.B.4.b) Library Designated Collections

Artificial collections created by the library that group together single items and small groups of papers by or pertaining to an individual. Materials were acquired by the library over time from various sources, and the library has decided not to catalog the individual accessions as separate units. Less frequently, an artificial collection is built around a special genre or format (e.g., Western TV scripts; English 18th-century poetry).

For further information on arrangement, see Chapter III.

II.C. PROCESSING LEVELS

Collections may be processed to provide one of several levels of physical and intellectual control, as outlined below. Beinecke's processing "norm" at the present time is to achieve full physical and intellectual control over the contents of collections (i.e., processing level 4). The guidelines and procedures outlined in this processing manual have been developed accordingly.

II.C.1. Level 1: Accession Level Control

Usually established at the time a collection is acquired (i.e., Beinecke's acq.tba DB/TextWorks file record). Consists of title, approximate size, rough span of dates, and list or summary of types of papers found in the collection, perhaps with names of a handful of prominent correspondents, principal writings, or list of significant subjects addressed. May be accompanied by a preliminary list or inventory of contents.

II.C.2. Level 2: Box Level Control

Usually papers are sorted as to series or form of material (correspondence, writings, personal papers, photographs, etc.), perhaps roughly sorted within these categories, and listed at box level.

II.C.3. Level 3: Folder Level Control

Papers are arranged in series order and properly foldered, but little or no effort is given to sorting materials within folders. Papers are listed at the folder level.

Note : If finding aids are produced for papers processed to the 2 or 3 level, they are often called "preliminary inventories."

Papers are sorted and arranged by series and subseries. The collection is completely boxed and foldered according to archival preservation standards: papers within folders are properly arranged, and the collection is described at the box and folder level in a completed finding aid. This includes front matter (title page, copyright statements, table of contents, administrative information, biographical/historical note, description of the papers), the box and folder list, and appendices as needed. An Orbis catalog record is completed, and all necessary conservation measures have been taken or have been logged in the MSCONSP database for future action.

II.C.5. Level 5: Item Level Control

A calendar or item-level list. An exceptional item or near-item level of foldering and description used occasionally in cases where the need for extreme security or other considerations of access and retrieval necessitate such control. This detailed level of control may also occur, de facto, as the result of retrospective conversion of existing, item-level card sets in the manuscript catalog.

II.D. SUMMARY OF STAGES IN ARCHIVAL PROCESSING

1. Manuscript Unit Head, in consultation with curators and others, selects the collection to be processed and assigns it to a processing archivist.
2. Once assigned and work begins, the archivist adds a standard 506 Access Restriction note to the preliminary Orbis record (or creates the Orbis record if one doesn't already exist) to alert Public Services staff and others to the fact that the collection is in-process.

506 In-Process Collection. Research use may require advance notice. Contact the Public Services Librarian for further information.

The archivist also notifies the Accessions Assistant that the collection is in-process, and provides printouts of all relevant Inmagic records for the Accessions Assistant to update the BCN from the Uncat # to read BCN Mssu plus the processing archivist's last name: e.g., BCN Mssu (Jones).
3. The archivist establishes the Processing File. This will include documentation from the Manuscript Unit and curatorial files, accession records, collection surveys now kept in black binders, The Yale Library Gazette , and other locally published sources (guides, exhibit catalogs, etc.), additional notes compiled from discussions with the curator and Manuscript Unit Head, and other basic historical or biographical data relating to the collection. Remember to check RLIN to locate any related material held elsewhere.

NOTE: Photocopy useful information from the various source files; leave the originals in the file of origin. BEFORE you spend too much time copying the preliminary lists you find in accession and other files, check the collection itself. Duplicates often are filed there as well, and may contain additional annotations or other information.

4. Locate all component parts of the collection to survey it. It is crucial that extreme care be taken to find ALL material that is to be processed, especially when dealing with older collections. Use the Survey Checklist (Appendix A) to assist you in checking all the likely files.
5. Having surveyed the collection, the archivist prepares a survey memo and processing proposal. This is discussed with the Manuscript Unit Head and then with the curator. These discussions provide an opportunity to note additional information that may be important or useful, and to suggest alternative strategies for organizing and arranging the material. The draft processing proposal is then revised, as needed.
6. The collection is processed, housed, and the register drafted by the archivist. Regular discussions are held between the archivist, the Manuscript Unit Head, and the curator to monitor overall progress of the project and to resolve any questions or problems that arise. Significant changes in processing strategy should be discussed with the Manuscript Unit Head and the curator before they are implemented. The curator and Manuscript Unit Head also should always be informed of any particularly important or unusual materials discovered in the course of processing.
7. A draft box and folder list (including Table of Contents and printout of Headings diagnostics) is submitted to the Manuscript Unit Head for preliminary review and discussion. Revisions are completed, and front matter is drafted. This draft register is submitted to the Manuscript Unit Head for review. Once revised, the draft is submitted to the curator for review and discussion. Revision continues until the register receives final approvalfrom the Manuscript Unit Head and the curator.

For online distribution of temporary registers for in-process collections, see section on mounting interim registers for in-process collections in Chapter VI.
8. Once the overall text of the register has been finalized, the call number is assigned and any other final work on the collection (such as final packaging for oversize and other non-standard materials and preservation photocopying) is completed. Only then can the final folder and box numbers be assigned and the box and folder labels printed and affixed.
9. Once the folders and boxes have been labeled, the finding aid is added to the finding aids database; the collection is shelved; paper copies of the finding aid are distributed, the Public Services Librarian, the curator (if requested), and the manuscript stacks; and the Orbis record for the collection is updated, resent to tape for RLIN, and linked to the SGML version of the finding aid. The Archivist arranges with the Public Services Librarian to attend a Public Services staff meeting to discuss the collection with desk staff and orient them to it in its newly processed state. These meetings are especially useful when a newly processed collection was heavily used in its unprocessed state and has undergone significant reorganization and description.

II.E. COLLECTION SURVEY AND PROCESSING PROPOSAL

II.E.1. General Notes

The survey draws on:

• preliminary discussions with the curator, Manuscript Unit Head, and other staff (e.g., Public Services Librarian), as needed
• direct examination of the collection
• review of accession records and related administrative files (e.g., accession files; Public Services files; curatorial files)
• review of any pre-existing lists or finding aids (e.g., cards in the manuscript catalog)
• preliminary background research in relevant biographical, bibliographical, and other information sources. This includes checking RLIN for related holdings.

NOTE: For collections acquired before Beinecke opened (1963), you may also need to consult Yale Librarian files in the University Archives (Manuscripts and Archives, Sterling Library) to obtain useful background information. Don't hesitate to do this if Beinecke's files are skimpy, as it's likely to pay off and save you time and trouble understanding the past history of the collection.

1. An overview:
• an estimate of the collection's overall size;
• a list of the kinds and quantity of materials found in the collection;
• mention of significant processing, storage or other handling problems;
• provenance information.
2. An outline of likely series and subseries arrangement(s), pointing out merits and limitations of options, as appropriate. Final arrangement decisions, especially for subseries, however, usually are determined in the course of processing, as the papers are more carefully examined.
3. A reasonably detailed summary of the work that will be required to complete the processing and arrangement of the papers. This helps us gauge complexity, time, and options for using student and clerical assistants effectively.
4. An estimate of the amount of time required to complete all work on the collection. In some cases, a preliminary processing calendar may also be required.
5. A list of any special or unusually voluminous archival supply needs.
6. Specific mention of significant (i.e., costly/time consuming) conservation needs, including any photographic, artwork, or AV conservation, which either requires special coordination with the Conservation Studio or referral to an outside specialist.
7. Identification of any significant runs of material that may require priority preservation reformatting (microfilming or digitization).
8. A statement outlining special storage needs/problems (e.g., framed art work, folio or broadside shelving, Art Storage/Object Storage) and any photographic work required from the campus AV office. This information should be forwarded to the Public Services Librarian so she can work this into her storage and AV work schedule plans.
9. A statement describing printed material (chiefly books, serials, newspapers, pamphlets, and ephemeral imprints) that, if retained, will be transferred to Technical Services for separate cataloging.
10. A statement describing printed or other material that, if kept in the archive, will require separate Orbis cataloging (e.g., printed texts, maps, or photographs retained in the archive).

II.E.2. Useful Tips for Locating Component Parts of a Collection

As mentioned earlier, it is essential that you properly identify and locate all material related by provenance or acquired for a particular collection before you start processing. Locating all the component parts of a Beinecke collection, however, isn't always easy:

• Beinecke acquires and accessions many collections (especially papers of living individuals) in increments, over a period of years, and creates individual accession records for component parts of a single archive. Accessioning practices have varied over the years and records may be more or less complete. Also, the various increments usually are not be shelved in a single location under a single call number.
• Manuscript groups obtained as a unit are sometimes accessioned in several increments, either because: a) the group didn't reflect a conscious "collecting focus" of the donor or seller; when accessioned, individual title/main entry was given precedence over group provenance; or b) the materials were individually priced at purchase (i.e., itemized individually and priced individually on the invoice), not priced as a "lot."
• Printed, photographic, and art components of collections acquired prior to 1985 may have been separated from the archive and shelved separately by format. Some pieces may even have been cataloged in either the manuscript or printed material catalog. Also, material may have been removed from a collection, regardless of provenance, and interfiled with other holdings related by subject. For example, letters from John Collier in the Elizabeth Shepley Sergeant Papers were placed in the John Collier Papers, and a collector's collection may have been dismantled and the items interfiled by main entry with other materials by or about that individual, whereas now the library is more inclined to maintain a collector's collection intact.

In addition, other Manuscript Unit staff, the curator, Public Services Librarian, Public Services staff, and the Technical Services Librarian can be invaluable sources of information about materials you haven't yet identified. They can also help you to track down material you've identified from the accession and curatorial files but cannot physically locate, and clarify the relationship of material you have found with or related to the material you are to process, but which may or may not actually be part of that archive.

NOTE: Separately cataloged monographs and other unannotated and substantive printed works generally are not reunited with the archival collection from which they came, or that accompanied them to the library. Heavily annotated printed items, however, and a variety of printed pamphlets and other ephemera (clippings, invitations, etc.) may be reunited with the archival collection. Consult the curator and Manuscript Unit Head for guidance.

II.E.3. Special YCAL Cases to Keep in Mind When Surveying and Processing
 

• Norman Holmes Pearson Papers/Bequest:  Anything that is a literary archive or manuscript should be integrated to the collection of the individual literary person; in the long run, the goal is to have in the Pearson Papers only non-literary materials (i.e., his own faculty papers, etc.), not any literary manuscripts that he might have collected or have acquired as “consultant” to YCAL.
• Donald Clifford Gallup:  Material received from Gallup was added to the manuscript collection of a particular author if it pertained to the publication of Gallup's edition of the author's writings. These materials should be pulled from the author's papers and added to the Donald Clifford Gallup Papers. Have the Archives Assistant make a new accession record based on the model of the record already in ACQ. There should be a MEM note that the material was “Added to YCAL/[name] collection by DCG.”  Do not say “gift” of Gallup, since that is not clear.
• Yale University Press:  Materials received from the Press (e.g., galleys) were usually added to the manuscript collection of the pertinent author, but were recorded in accession records or on the folder) as “Gift of Yale University Press.” These materials should be removed and returned to ZA Yale University Press.  Accession records, if they exist, should be annotated accordingly and the call number changed to ZA Yale University Press. The YCAL survey for Yale Press, also, should be updated.

NOTE: Anything from Pearson, Gallup or Yale University Press found in collections  processed or cataloged since 1986 should be brought to the attention of the Manuscript Unit head. Decisions on whether to relocate material according to the guidelines listed above will be made on a case by case basis, in consultation with the curator.
 

In-process collections are open for research use. As much as possible, the library makes material available on request, even on short notice. Where needed, special arrangements should be made between the Public Services Librarian, researchers, and the processing archivist, to assure reasonable research access to in-process materials in a manner that also permits the archivist to carry out his/her work in an orderly and timely fashion.

Because in-process collections circulate, containers should be clearly labeled as to their general contents, and arranged in the processing archivist's adjacent shelving as soon as possible after the initial review and sorting is completed in such a manner as to facilitate paging and the timely and orderly refiling of materials returned from circulation.