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- A. General Notes - B. Preliminary Review, Sorting, and Handling - C. Refining Organization - 1. General Notes - 2. Identifying and Naming Subgroups, Series, and Subseries - a) About Subgroups - b) About Series and Subseries - 3. Naming and Arranging Common Series and Subseries - a) General Notes - b) Correspondence - (1) Incoming and Outgoing - (a) Archival Collections - (b) Artificial Collections - (2) Common Subseries - (3) Classifying Mixed Files - (4) Alphabetical vs. Chronological Arrangement - (a) General Notes - (b) Alphabetical Arrangement - (i) Single Authorship - (ii) Joint Authorship - (iii) Unidentified or Partially Identified Letters - (iv) Letter Fragments - (c) Chronological Arrangement - c) Writings - (1) General Notes - (2) Chronological or Alphabetical Arrangement - (3) Published vs. Unpublished - (4) Subseries - d) Writings of Others - (1) General Notes - (2) Unidentified Writings - e) Subject Files - f) Printed Works or Printed Materials - g) Family Papers - h) Personal Papers - i) Memorabilia and Personal Effects - j) Photographs - k) Works of Art on Paper (Non-Photographic) - l) Audio and Moving Image Material - m) Additional Papers/Other Papers III.A. GENERAL NOTES The following sections attempt to describe in generic terms the approach that tends to work most effectively to achieve the library's preferred level (level 4) of physical and intellectual control over archival collections. This approach also facilitates researcher and staff access, as needed, to in-process materials. Within this general framework, progression of work on an individual collection, however, will be dictated by the attributes of the collection itself, research use patterns during processing, and by the level of experience and skill of the processor. At all times, processors must strive to maximize the efficiency of their work methods. The library's archival backlogs are sizable and largely unnecessary. The Unit's principal charge is to eliminate these unnecessary backlogs. Processing is judged as much on the efficiency and timeliness with which processing assignments are carried out as on the quality of work on any given finding aid and collection. III.B. PRELIMINARY REVIEW, SORTING, AND HANDLING Work at this stage (Steps 1-3) should be quite rapid. Even so, you can glean considerable information about the content and condition of the collection, which is essential for final processing. If necessary, revise the processing proposal at this point. Don't assume you'll remember everything; take notes or flag material for future reference. This may be the appropriate time to start student assistants on routine processing tasks (e.g., removing hardware, removing letters from envelopes, opening and flattening documents, sorting correspondence) so that the material will be ready for final review and descriptive work by the archivist. NOTE: Because Beinecke's folder labels are generated automatically from the box and folder list, keep marking on the folders to a minimum. Use only what is needed to maintain control over the materials in their in-process state. See also Chapter IV.
Use to locate different kinds of material within the current arrangement. CAUTION: Some materials ought to be kept together even though at first glance they appear to be items that might otherwise be assigned to another series. For example, an author's notes or subject files used in preparing his writings are frequently found with manuscripts of the published work. Such an arrangement is quite useful and these groupings ought generally to be maintained.From this point on, containers should be clearly marked as to the series or type(s) of material they contain. In the absence of the processing archivist, other staff should be able to locate the container(s) that have or are most likely to contain material sought for public services or administrative purposes. Use an attached to the end of each box to mark the contents. Once you have completed basic sorting, you're ready to refine organization and arrangement. In many cases, the finding aid box and folder list can be drafted as you go along. Do this whenever possible. Beginning with the most important or revealing series (usually, but not always, correspondence or writings), organize this section into its appropriate order, refining series and subseries as the full extent and character of the collection divisions and their logical arrangement become more apparent. If practical, sort directly into new legal size archival folders; otherwise use sorting folders. At this stage, don't spend an inordinate amount of time attempting to identify or classify individual items. Work in this or other parts of the collection and direct consultation with the curator may provide the answer you need. Tackle the problematic pieces once the series organization and subseries arrangement as a whole have been achieved. In the meantime, segregate a problematic item or make a "best guess" and tentatively file it in the collection, flagged for follow-up review. Make the most efficient use of your time by assigning simple routine tasks to student assistants (e.g., removing hardware, preservation photocopying, flattening folded material, handling simple chronological or alphabetical sorting or arrangement, removing quantities of letters from envelopes). However, don't assume they'll get everything right; you are responsible for their work and will have to review all of it. But don't waste your time doing gross sorting or other routine jobs that students can and should be expected to handle. Continue to take notes on the subject content of the collection, significant and key personages, subjects documented that may be of historical interest, notable correspondents, obvious gaps in the documentation as well as its strong points, and other noteworthy details about the collection itself or about the person or persons documented in it. Your notes will provide much of the substance for the biographical sketch and Description of the Papers in the register's front matter. III.C.2. Identifying and Naming Subgroups, Series, and Subseries In the following section, much of what is said about Series applies equally to the definition and arrangement of Subseries, although in each instance the term "subseries" may not be specified. Subgroups designate a subset of papers with a distinct provenance within a larger collection. They may be appropriate when dealing with a particularly large or complex archive. Beinecke manuscript collections that have been arranged in this manner include The Spinelli Archive (composed of several Italian family archives), the Rochambeau Family Archive (composed of one family member's correspondence and writings files, and a multi-generational family cartographic archive), the Alfred Stieglitz/Georgia O'Keeffe Archive, and the Katherine S. Dreier Papers/Société Anonyme Archive. In each collection, the subgroups are listed sequentially, with the name of each subgroup repeated on the series level. For example, within the Katherine S. Dreier Papers/Société Anonyme Archive, the first six series fall under the Katherine S. Dreier subgroup, and the last four series fall under the Société Anonyme subgroup. Thus, Series I is called "Katherine S. Dreier: Correspondence," and Series VII is called "Société Anonyme: Correspondence." For a fuller discussion of the concept of subgroups, see David Gracy, Archives and Manuscripts: Arrangement and Description (SAA Basic Manual Series). III.C.2.b) About Series and Subseries Series, of course, constitute the principal intellectual "groupings" of archival processing, around which the collection is sorted, arranged and described in registers and catalog records. Many series contain a variety of related papers that are then grouped under subseries. Writings, for example, can be organized into subseries of Books, Plays, and Shorter Works. Photographs can be organized into Albums, Portraits, Group Shots, People, and Places. The nature of the material itself ultimately determines whether to use subseries or not, and what titles should be assigned to them. To the extent possible, we use the same terminology for like material, across collections, across curatorial units. As a general rule, series are arranged in descending order of importance. The most important series is placed first and the least important is placed last. In Beinecke's collections, the most important series are usually Correspondence or Writings. Series should only be established when there is a sufficient quantity of material present to make a series a meaningful gathering point (usually 1.0 linear ft. or more), or when the material is sufficiently distinct to require separate listing, and sometimes special housing (e.g., Objects). Ideally, series should be roughly comparable in size; in practice, we establish series that make sense, even if small, if that is the most logical way within the archive overall to classify the materials. Some series may be format-driven (e.g., AV, photographs, or artifacts) to facilitate special housing and handling, which cannot always be provided for if special formats are mixed in with more routine, paper-based files. Subseries may or may not exist in a series, but if they exist, all material in the series should be brought under some form of subseries control. That is, if part of a series is to be identified as a subseries, whatever else is in the series must also be subordinated to a subseries. Series I. CorrespondenceNOTGENERAL CORRESPONDENCEfolderTHIRD PARTY CORRESPONDENCE Series I. CorrespondenceTo avoid creating single subseries within a series, revise your series name, add appropriately titled subseries, or use series descriptions in the Description of the Papers and Series Header notes to clarify the nature and extent of the materials listed.folderTHIRD PARTY CORRESPONDENCE III.C.3. Naming and Arranging Common Series and Subseries No two collections are alike, but general patterns for most Beinecke collections are discernible. To assure a reasonable degree of consistency across Beinecke's collections, the following definitions should be noted and applied in assigning series and subseries titles. The series and subseries that follow are described in the order in which they would be used within a manuscript collection at Beinecke. III.C.3.b)(1) Incoming and Outgoing The character of a collection usually dictates whether incoming and outgoing letters are to be interfiled in a single alphabetical sequence, or treated separately as subseries. In archival collections, there is generally a combination of incoming and outgoing letters to and from the same correspondent, and therefore a single arrangement is the most useful (e.g., George W. Wilbur Family Papers). However, in artificial collections, there are generally few or no names that overlap between incoming and outgoing correspondents, so that arrangement into separate incoming and outgoing groups is preferred (e.g., Leo Stein Collection). III.C.3.b)(1)(a)Archival Collections Letters to and from a correspondent are generally interfiled under the name of the correspondent, in chronological order. When further clarification of the extent of the files is needed, use a folder note or more generic summary notes in the Description of the Papers. For example, an occasional retained carbon in a file is mentioned in a folder note, and then only if the correspondent is considered noteworthy (i.e., a known name). If retained carbons are routinely found in files, refer generally to this in the Description of the Papers. Scattered and more substantial occurrences of incoming and outgoing original letters should be similarly noted. Drafts of responses on copies of incoming letters also should be noted, if tracing them may be significant. For example, Gertrude Stein frequently drafted substantive responses to letters received on the verso of the incoming letter. Usually a folder note (includes draft response from GS) is sufficient. III.C.3.b)(1)(b) Artificial Collections Letters are generally classified at the subseries level as either incoming or outgoing, and are then arranged alphabetically into folders (and chronologically within folders). III.C.3.b)(2) Common Subseries Most collections have a single correspondence series, entitled Correspondence. Other possible titles (as well as subseries titles) include Family Correspondence, Personal Correspondence, Professional Correspondence, Business Correspondence, Fan Mail, General Correspondence, and Third Party Correspondence. When a Correspondence series is divided into subseries, or there is more than one Correspondence series and the nature of an individual's file is mixed (e.g., the individual is both a personal friend and a professional colleague), use the following general rules of thumb to determine the best treatment: III.C.3.b)(4)(a) General Notes Much of the research in Beinecke collections is name-driven. This is particularly the case with the literary collections, but is also largely true for many of the historical manuscript collections. As a result, most researchers are best served by an alphabetical arrangement to correspondence. Chronological arrangement is used in collections in which name access is less crucial, such as some of the Western Americana collections that document the sequence of historical events at a particular time or place, more than the lives of prominent individuals (e.g., pioneering in Texas in the 1830s, or the political manueuverings that led up to the execution of Charles I during the English Civil War). If name access also is desired, usually it can be accommodated by folder notes, or in the summary description in the Description of the Papers. An alphabetical arrangement for all or part of a series/subseries of historical correspondence, however, should be considered when: OR OR III.C.3.b)(4)(b)(i) Single Authorship A "known" correspondent, regardless of the number of pieces of correspondence present, and any correspondent with 3 or more letters, is foldered and listed separately. Less prominent correspondents with fewer than 3 letters are filed alphabetically in "letter" general files (e.g., "A" general). The presence of these files is noted under the series title. The letter general files precede lists of individual names under that letter of the alphabet. See example in sample finding aid. For correspondents, "known" means any person or corporate entity that is bibliographically established as a heading in the Orbis, LC, or RLIN headings files. In some instances, persons not currently represented in these databases, but known to be prominent in a field of endeavor that is pertinent to the collection itself, will also be foldered and listed separately. The fact that individual name access was previously provided in the manuscript catalog does not necessarily dictate name access in the new finding aid; often, item-level cards were made regardless of the "known" status of the individual, and it is not necessary to perpetuate this level of access in the new arrangement. The correspondence files are listed alphabetically using the "word by word" filing rule. Within a file, letters of a single correspondent are arranged in chronological order; undated items and fragments are filed at the end of that individual's file(s). Each envelope is filed preceding the letter it accompanies. An enclosure is filed following the corresponding letter. Envelopes that lack a corresponding letter are filed at the end of the file or series of files under a given correspondent's name. III.C.3.b)(4)(b)(ii) Joint Authorship File the letter under the name of the principal author. On those rare occasions where authorship is really shared, and where the letter also is written on behalf of more than one individual, file the letter under the name that is of greatest interest or perceived importance in the context of the collection. A cross-reference may be made under a second prominent name. If the second writer is less significant but still warrants mention, a simple note under the principal name entry usually is sufficient. File round-robin family letters either under the name of the person with whom the letter originated, or the intended recipient, if all contributing parties are clearly writing to a single individual. (For examples, see George Wilbur Family Papers or Thornton Wilder Papers.) Spouses and partners often co-sign letters, or add additional short notes to the body of a letter. When significant, such instances should be noted. See example in sample finding aid. To highlight correspondence of particular importance in a group of files listed collectively, use the following type of folder note (date should read yyyy mmm dd, as in the example). See example in sample finding aid. III.C.3.b)(4)(b)(iii)Unidentified or Partially Identified Letters If only the author's surname is known (and there are three or more letters), file the letters in proper alphabetical sequence in the box and folder list. Use four dashes in place of the unknown first name. If you have additional information about the person (e.g., "Dr.", "Hon."), list that information in front of the four dashes. See example in sample finding aid. Three or more letters for which only the first name of the author is known are arranged alphabetically by first name, at the end of the correspondence list, as long as it is clear that the letters are all from the same person. Correspondence for which there is no name identification follows (titled as "Unidentified letters" or "Unidentified fragments"), in chronological order. Single letters for which only the first name of the author is known are filed in the "Unidentified" folder. There may be specific cases in which it is helpful to file together all the unidentified correspondence about a certain topic. See example in sample finding aid. The series headnote in the box and folder list should mention the presence and arrangement of groups of unidentified correspondence. See example in sample finding aid. Significant quantities of fragmentary or unidentified letters should also be mentioned in the Description of the Papers. III.C.3.b)(4)(b)(iv)Letter Fragments If the identity of the writer is known and the item is dated, interfile the fragment in the main correspondence file, not as a fragment. If it seems important, make a note that the item is a fragment. Identified fragments that are undated, or for which a likely date cannot be established, are filed at the end of a corresponding name file, or in alphabetical sequence in the appropriate letter general file. If the fragment lacks a signature and the identity of the author is known, lightly pencil the name of the author in square brackets, in the upper righthand corner of the first page of the fragment, using a soft-leaded pencil. Unidentified fragments are filed at the end of the series (or subseries). If numerous, dated and undated fragments should be foldered separately. III.C.3.b)(4)(c)Chronological Arrangement In chronologically arranged files, material is arranged in ascending chronological order (year, month, day). Letters identified only by the year of writing are filed at the end of other correspondence for that year. Letters with year and month but no day are filed at the end of the file(s) for that month. See example in sample finding aid. For a more detailed discussion, and examples of date treatment conventions, see the section on dates in Chapter IV. These headings encompass writings (in various drafts) and associated documentation and ephemera for published and unpublished textual works. Material generally originates from or is related to the individual around whom the collection has been created, but can also relate to third parties or topics. Depending on the circumstances, Writings of Others might be a subseries in a general Writings series or might be a separate writings series. III.C.3.c)(2) Chronological or Alphabetical Arrangement Generally, Beinecke does not arrange writings in chronological order. There might be a special case, however, in which this would be appropriate. An example might be a run of dated but untitled poems listed by incipit, where the evolution of the poetic style or themes is significant. Beinecke does sometimes arrange writings in a single sequence, alphabetically by title. III.C.3.c)(3) Published vs. Unpublished Do not attempt to classify writings as either published or unpublished, as this status is neither fixed nor necessarily certain. The library is not prepared to do extensive research on this point when processing collections, nor will we update registers with publication status information as it comes available. However, when a work is known to have been published, the materials should be filed under the published title; note alternate working titles if they are or appear to be significant access points. When a work has been published under various titles (including translations), generally all the material should be filed under the title of the first published occurrence of the work, and sub-arranged by titles of versions represented in the files, noting the language of each. In some cases (e.g., if a work was published simultaneously in various languages), the context of the archive will determine how to file the works. For examples, see Richard Wright Papers, JWJ MSS 3, and Nina Berberova Papers, GEN MSS 182. If no "as published" title is identified, file the various manifestations under what appears to be the final version of the work, as documented in the papers. Cross-reference from early versions of the title only if there is reason to believe one might search by that title. Otherwise, recording the alternate titles in a folder label or note is sufficient. At Beinecke, writings are usually grouped by literary genre or other categories. When establishing subseries for a Writings series, use the most specific descriptor that is appropriate. If a subseries consists exclusively of novels, use the term Novels. If, however, the material consists of full-length works of fiction and non-fiction, use the more generic term Books. Within the series or subseries, works are arranged in alphabetical order by title (transcribed or supplied). Translations of someone's work are treated as a writing of the translator, and are filed under the title given by the translator. A note should be made indicating the original title and author of the work that was translated. A wide variety of material can be placed in a Writings series, including background notes and jottings, outlines and synopses, handwritten drafts, typescripts, galleys and page proofs, printing samples, and published versions of works, as well as publicity about works, best seller lists, reviews, fan mail, dust jackets, and related artwork and mockups for published and unpublished writings. For arrangement of book length manuscripts according to the stage of the work, see The Creative Process. For less extensive writings files, the same principle of arrangement can be followed, as best as can be determined, with various stages of the work arranged in the order in which they were created. Where third-party writings are present in any quantity, the preference is to categorize and list them as Writings of Others. This assures efficient name, title, and genre access to important individuals and their work, whether or not the texts themselves are well known. Noteworthy third-party writings also frequently show up in research or subject files. When this occurs, a decision must be made whether name/title access to these writings is desirable, and if so, how it is best achieved while maintaining the overall organizational integrity of the archive. When establishing a series or subseries of Writings of Others, you may findthat it's not entirely clear why these texts are present in the collection. Usually, however, you'll find a link, if you dig a bit. Writings may have been enclosures in a person's correspondence, which may or may not be present in the archive. Texts may have been passed along through third parties, on the presumption that they were or might be of interest to the recipient. The item may also have been acquired because it dealt with a topic or individual of interest to the creator of the archive. Ultimately, even if a link cannot be ascertained, in most cases it is assumed, and the material is retained. III.C.3.d)(2)Unidentified Writings Writings of unidentified authorship should be listed as "Unidentified" and filed at the end of the author list in the Writings of Others series or subseries. See example in sample finding aid. If subject identification of untitled writings is useful or important, enclose the supplied title in square brackets. Otherwise, just list them as "Untitled" (without [ ]). See example in sample finding aid. This heading can encompass research notes, lecture notes, files on professional organizations in which a person was active, clippings, and other ephemeral printed materials about correspondents in collections, papers, or other research material on topics in which the creator of the records is known (or assumed) to have been interested. Material that pertains exclusively to a writing project represented in the Writings series, however, should be classified with other material about that work, in the Writings series. Subject Files are arranged alphabetically by title. The title is either taken from the original folder as marked by the author or collector of the papers, or the title is assigned by the archivist. If the title is taken from the original folder, the title should be placed in quotation marks. If the title is assigned by the archivist, neither brackets nor quotation marks should be used. If titles have transliterated from the original titles, the transliterated title should be placed in quotation marks, and you should make an appropriate note at the beginning of the series. III.C.3.f)Printed Works or Printed Materials Used for printed materials that are not more appropriately organized within another series. Sometimes used for the published writings of persons other than the record creator, when a Writings series does not exist. Includes books and individual serial issues, pamphlets, articles (clipped and reprint), newspaper clippings, poetry, and printed ephemera of all types. NOTE: Under some circumstances, printed material is removed from the collection for separate cataloging. Often, printed material previously removed must be reunited with the collection in the course of processing. (See the section on printed material in Chapter VII.) Generally arranged alphabetically by author and/or title, sometimes qualified by genre. Can also be organized into subseries by genre, and therein arranged alphabetically by author and/or title when you're dealing with a quantity of material of various genres. Used for accumulations of genealogical material, documents, writings, photographs, albums, printed ephemera, and other documentation associated with the family or specific family members. Family correspondence may be filed here if there is relatively little and it is quite distinct from the bulk of the material in the Correspondence series. If it's more substantial, however, it can be treated as a separate correspondence series or as a subseries of the principal correspondence series. Scattered pieces of family documentation should be incorporated (possibly as a subseries) in a Personal Papers series, and not treated as a separate series. Material should be grouped in categories (i.e., subseries) whenever possible to gather like material (e.g., papers of branches of a family or individuals within a family) together, not just listed alphabetically by folder title. "Type" categories are listed first, in alphabetical order; remaining single items should be listed as Other, in alphabetical sequence by folder title. Contain documentation pertaining to the individual who is the focus of the collection, which is not otherwise more appropriately treated in other established series (Correspondence, Writings, Subject Files, Diaries, etc.). Typical kinds of documentation include address books, awards, bills and receipts, biographical information, deeds, diaries, estate papers, financial records, genealogical material, greeting cards, legal papers, memorabilia, obituaries, photographs, wills, brochures, newspaper clippings, pamphlets, and postcards, as well as other ephemera known to reflect the individual's areas of activity or interest. Material should be grouped into subseries whenever possible to gather like material together, not just listed alphabetically by folder title. Examples include: Address Books, Awards and Certificates of Merit, Diaries, Financial Records, Legal Documents, and Scrapbooks. "Type" categories are listed first, in alphabetical order; remaining single items should be listed as Other Papers, in alphabetical sequence by folder title. See example in sample finding aid. Do not use Personal Papers or Family Papers as dumping grounds for all miscellaneous material. Items that cannot logically be interpreted as belonging in this or any other series, yet are to be retained, should be categorized in a separate Other Papers or Additional Papers series. III.C.3.i) Memorabilia and Personal Effects Used to refer to three-dimensional material that may or may not pertain directly to other paper files (e.g., the commemorative medal presented to someone for special achievements otherwise documented in the collection, jewelry, buttons, locks of hair, etc.). Usually the material has exhibit and illustrative value, but little research value. If the items are fragile or are not safely housed in folders, then photographic prints (usually color) for reference use should be provided in the regular box and folder sequence, and the originals should be treated in the finding aid as Restricted Fragile. (See sections of Three-Dimensional Objects and packaging and listing Restricted Fragile in Chapter VII.) Usually organized into subseries of person, place, or photographer, with unidentified items listed at the end. Sometimes photographs are organized by type of photographic process, especially when dealing with vintage prints (daguerreotypes, tintypes, cartes de visite). Commonly used categories: III.C.3.k)Works of Art on Paper(Non-Photographic) III.C.3.l) Audio and Moving Image Material III.C.3.m) Additional Papers/Other Papers Additional Papers and Other Papers are used to classify
miscellaneous papers that do not logically belong in any of the otherwise
established series or subseries, but are being retained. As a matter
of local practice, try to avoid referring to such materials as "Miscellaneous"
papers in series headings and folder titles; provide a more descriptive
term or phrase instead. Usually these papers are arranged alphabetically
by title. Comments: Karen Spicher, karen.spicher@yale.edu Copyright 1997. Beinecke Rare Book and Manuscript Library All rights reserved. |