Archival Processing Guide

Archival Processing Guide for
Staff, Students, and Volunteers

Special Collections & Archives
Z. Smith Reynolds Library
Wake Forest University
Winston-‐Salem, NC
Archival Processing:
A Guide for Staff, Students, and Volunteers

Introduction

This booklet will guide you through the basics of archival processing in the department of
Special Collections & Archives at Z. Smith Reynolds Library at Wake Forest. The guide is broken
into distinct sections to help you understand your role in the making archival resources
available to researchers and students.

We begin with an overview of basic concepts in archival processing, followed by accessioning,
re-‐housing and inventory, formal description, arrangement, and creating the finding aid. The
guide also includes instructions for using ƌĐŚŝǀŝƐƚƐ͛dŽŽůŬŝƚ͕ǁŚŝĐŚŝƐƚŚĞĚĂƚĂďĂƐĞƉƌŽŐƌĂŵ
used at ZSR (and many other libraries) for recording information about archival materials.

Contents

I. Overview 2
a. What is Processing?
b. What Is a Finding Aid?
c. Basic Principles of Archival Description

II. Accessioning 4

III. Pre-‐Processing: Inventory and Re-‐Housing 13

IV. Archival Processing 15
a. Survey and Processing Plan
b. Organization and Arrangement
c. Description

V. Appendices 42
a. Appendix A: Additional Resources
b. Appendix B: Glossary of Terms
c. Appendix C: Sample Finding Aid, Front Matter

\\acad1\ZSR\SpecialCollections\Administrative Files\Processing
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Overview of Archival Processing

What is Processing?

In order for a collection to be made available to research, the archivist gathers and analyzes
information about the collection, organizes and arranges its contents, and creates finding aids
in order for the user to discover relevant materials. Processing is the term used to encompass
all of the work required to make collections available and accessible for research.

There are three main parts of processing:

x Gathering and analyzing information about the collection
x Organizing and arranging the collection
x Creating finding aids to allow access to the collection

What Is a Finding Aid?

A finding aid is a written description of archival materials. Finding aids are what enable
researchers to discover the nature and contents of a collection. They are made available
ƚŚƌŽƵŐŚ^Z͛ƐǁĞďƐŝƚĞ͕ĂƌĐŚŝǀĂůƐĞĂƌĐŚĞŶŐŝŶĞƐ͕ĂŶĚǁĞďƐĞĂƌĐŚĞŶŐŝŶĞƐ͘&ŝŶĚŝŶŐĂŝĚƐ typically
consist of two parts: front matter and a container list.

Front matter outlines the nature of a collection. Essential parts of the front matter include:
location of collection, collection number and name, name of creator(s), date range, size (extent),
abstract, acquisition information, biographical/historical information, scope and content notes,
arrangement, access and use restrictions, and subjects indexed. Most front matter is created
after the arrangement and description of a collection. When doing processing, it is important to
consider the front matter, because you may come across information that will be helpful when
describing the collection as a whole.

The container list is a detailed inventory of a collection. A collection may be described at the
box level, folder level, and rarely, at the item level. Your processing plan will determine the
level of description to be used. Descriptions in a container list should be clear and concise.
Folder level description typically consists of the box and folder number, a brief description/title
ŽĨƚŚĞĨŽůĚĞƌ͛ƐĐŽŶƚĞŶƚƐ͕ĂŶĚĂĚĂƚĞ͘

Basic Principles of Archival Description

x Provenance
o Provenance tells the history of ownership. It refers to the origin of an item or
collection, identifying the original owner or creator, as well as subsequent
owners and creators.
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o Provenance also refers to the principle that the records of a given creator must
not be intermingled with those of other records creators. In archival studies, this
principle is also called respect des fonds.
o Provenance stresses the original context, use, and meaning of archival materials.

x Original Order
o Original order is the organization and sequence of records established by the
creator of the records.
o TŚĞĐƌĞĂƚŽƌ͛ƐŽƌŝginal organizational structure is useful to researchers.
o Archival processing is more manageable when you work with the existing
organizational structure (if there is one).
o Maintaining original order seems simple to follow, but there can be challenges in
practice. What if you discover an item that clearly does not belong with the
other materials in its folder? Discuss these issues with a supervisor.
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Accessioning Archival Materials at Z. Smith Reynolds Library

Introduction

Accessioning is the process through which Special Collections & Archives gains initial control
over a newly acquired, donated, or ͞ĚŝƐĐŽǀĞƌĞĚ͟ĐŽůůĞĐƚŝŽŶ͘ŶĞǁĐŽůůĞĐƚŝŽŶŝƐƚǇƉŝĐĂůůǇĐĂůůĞĚ
an accession until it is processed and described.

As soon as it arrives in Special Collections & Archives, a new collection is assigned a unique
accession number. An accession number consists of the year and a sequential number, such as
͞ϮϬϭϬ͘ϭϬ͕͟ƌĞŐĂƌĚůĞƐƐŝĨŝƚŝƐĂŶĂĚĚŝƚŝŽŶƚŽĂŶĞǆŝƐƚŝŶŐĐŽůůĞĐƚŝŽŶŽƌĂďƌĂŶĚ-‐new collection.

Instructions

x Complete an Accession Form for the collection
o Available at \\acad1\ZSR\SpecialCollections\Administrative Files\Accessions or
from a supervisor.
o An Accession Form records important information about the acquisition of an
item/collection so that researchers understand the history of the material(s).

x Create an Accession Record ŝŶƌĐŚŝǀŝƐƚƐ͛dŽŽůŬŝƚ
o Directions for creating an Accession Record are on the following page.
o ŶĐĐĞƐƐŝŽŶZĞĐŽƌĚŝƐƵƐĞĚƚŽŚĞůƉĐƌĞĂƚĞƚŚĞĐŽůůĞĐƚŝŽŶ͛ƐĨŝŶĚŝŶŐĂŝĚ;ƚŚŝƐŝƐ
ĐĂůůĞĚĂ͞ZĞƐŽƵƌĐĞ͟ŝŶƌĐŚŝǀŝƐƚƐ͛dŽŽůŬŝƚͿ͘
o Use the information from the Accession Form to create the Accession Record.

x Place the completed Accession Form iŶƚŚĞĐŽůůĞĐƚŝŽŶ͛ƐPermanent File
o A Permanent File is where collection information, such as the Accession Form,
donor correspondence, and container lists are kept.
o Ask a supervisor if there is not a Permanent File for the collection.

x For Additions to existing collections:
o Create a new Accession Form and Accession Record for each addition.
o WůĂĐĞĂĚĚŝƚŝŽŶĂůĐĐĞƐƐŝŽŶ&ŽƌŵƐŝŶƚŚĞŽƌŝŐŝŶĂůĐŽůůĞĐƚŝŽŶ͛ƐWĞƌŵĂŶĞŶƚ&ŝůĞ͘
o hƐĞƚŚĞ͞Link Resource͟ĨĞĂƚƵƌĞŽĨƌĐŚŝǀŝƐƚƐ͛dŽŽůŬŝƚƚŽŵĂƚĐŚĂĚĚŝƚŝŽŶƐƚŽĂŶ
existing fiŶĚŝŶŐĂŝĚ;͞ZĞƐŽƵƌĐĞ͟ŝŶƌĐŚŝǀŝƐƚƐ͛dŽŽůŬŝt) for a collection.
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Accessioning Requirements

General Principles

-‐ Create as much information as possible at the time of accessioning in order to avoid
additions to our backlog.
-‐ The data we create should follow established standards.
-‐ The cost of putting in extra time for accessioning is justified by the benefit of increased
and faster access to collections. This will save time in the long term.

General Guidelines

-‐ All items/collections must be accessioned within 2 weeks of arrival at ZSR.
-‐ Accessioning includes capturing all information described below.
-‐ Items to be accessioned should be stored temporarily in staff offices, although larger
collections may be stored in the stacks.

Elements for New Accessions (Using ƌĐŚŝǀŝƐƚƐ͛dŽŽůŬŝƚͿ

-‐ Basic Information [Required]
o Accession Number
o Accession Date
o Resource Type (collection/papers/records)
o Title
o Extent
o Container Summary
o Dates
o Location(s)
o Donor Name and Address (under General Accession Note)
o Custodial History (under General Accession Note)
-‐ Accession Notes [Required]
o Acquisition type (deposit/gift/transfer/purchase)
o Description
o Condition
o Inventory
-‐ Names & Subjects [Strongly Preferred]
o Creator (as Name Link)
-‐ Acknowledgements, Restrictions & Processing Tasks [Strongly Preferred]
o Rights Transferred note(s)
o Access Restriction note(s)
o Use Restriction note(s)
o Processing Priority
o Processing Plan
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ĐĐĞƐƐŝŽŶŝŶŐƌĐŚŝǀĂůDĂƚĞƌŝĂůƐŝŶƌĐŚŝǀŝƐƚƐ͛dŽŽůŬŝƚ
ĚĂƉƚĞĚĨƌŽŵƌĐŚŝǀŝƐƚƐ͛dŽŽůŬŝƚhƐĞƌDĂŶƵĂů͕sĞƌƐŝŽŶϭ͘ϭ

Overview

The Accessions functional area is designed for establishing basic intellectual and physical
control over a new accession at the time it is received in the repository. The accession record
allows for recording information about the accession transaction, about the contents of the
accession, and about several basic collection management events related to the accession.

An accession record documents a single accession transaction. The Toolkit requires two data
elements for an accession record, though you may enter many more. The required elements
are a unique accession number and the accession date. These two elements serve to document
the accession transaction only.

The Toolkit provides additional elements for describing the accession more fully and for
capturing basic collection management information. It also allows for the addition of creator,
source, subject, and location information to an accession record by linking the record to name,
subject, and location records.

It is not necessary to use the Accessions module if the sole objective is to create end-‐user
descriptive ƉƌŽĚƵĐƚƐ͕ƐƵĐŚĂƐĨŝŶĚŝŶŐĂŝĚƐĂŶĚĐĂƚĂůŽŐƌĞĐŽƌĚƐĨŽƌƚŚĞƌĞƉŽƐŝƚŽƌǇ͛ƐĂƌĐŚŝǀĂů
resources. However, one of the benefits of using the Toolkit is the ability to record accession,
collection management, and description information within the same system.

Basic Steps for Creating an Accession Record

1. From the Main Screen, select Accessions and press the New Record button.

2. Enter a unique Accession Number.

3. Enter the date of the accession transaction in the Accession Date field.

4. Save the accession record by pressing the OK button at the bottom right corner of the
window. If you are entering multiple records, the OK+1 button will save the record you are
working in and open a new accession record.

Caution! The record cannot be saved if the Accession Number is not unique. The Toolkit will
indicate if this is the case and will prompt you to change it to a unique string. If the record does
not include the two required elements listed above, the Toolkit will indicate that the record
cannot be saved because one or more of the required fields is not completed. The incomplete
fields are indicated in the error message and those required field(s) must be completed in order
to save the record.
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Accession Data Elements
ůĞŵĞŶƚƐZĞƋƵŝƌĞĚďǇƚŚĞƌĐŚŝǀŝƐƚƐ͛dŽŽůŬŝƚ

1. Accession Number. The accession number must be unique. ZSR format is year followed by a
consecutive number. In all displays and output, the Toolkit inserts a period between each
element.

If the accession number is not unique, the Toolkit will alert you that the accession number
ĂůƌĞĂĚǇĞǆŝƐƚƐŝŶƚŚĞƐǇƐƚĞŵ;͞ĂŶ͛ƚƐĂǀĞ͕ĚƵƉůŝĐĂƚĞƌĞĐŽƌĚ͟Ϳ͘ŶĨŽƌĐŝŶŐƵŶŝƋƵĞŶĞƐƐĞŶƐƵƌĞƐ that
every accession record in the Toolkit represents only one accession.

DACS Reference: 5.2.5

Example:

1976.034

2. Accession Date. The date of the accession transaction represents the date of receipt of the
materials, which is not necessarily the same as the date the accession record is created. In
other words, the date stamp that the Toolkit automatically assigns to the accession record
documents the record creation, and is not intended to document the accession transaction. The
date must be input according to the format established as the preferred date format in the
application. See Chapter 15 for more information on setting the date format.

Examples:

12/03/2004 (mm/dd/yyyy)

Additional Elements for Basic Information Tab
Required by ZSR Special Collections & Archives

The minimum accession record can be extended by recording data for any of the following data
elements available for the accession record. None of these data elements are required to
create an accession record. However, there are requirements associated with some of the data
elements if they are utilized. For instance, certain date fields must be expressed by four-‐digit
year format only.

1. Link Resource (for Collection Additions). The accession may be linked to one or more
archival resources using the Link Resource button. Clicking on this will open a list of resources.
To link to the resource, locate the name by scrolling through the list or use the Filter box to
narrow down the list. Then, either double click on the resource in the list, or select the resource
and press Link.

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Multiple Resource IDs may be added to link the accession record to more than one archival
description or resource record. This may be necessary if the accession has a mixed provenance
and its contents are distributed among multiple archival resources. When this occurs, you may
wish to use the Accession Disposition Note field (located on the Accession Notes tab) to provide
more information.

In addition to linking an accession record to an already existing resource record, it is possible to
create a new resource record from the accession record. To do so, select the Create Resource
button. A new resource record will appear. Some fields in this record will already be populated
with information from the accession record from which it originated. For example, the Title
from the accession record will appear in the Title field of the new resource record.

2. Resource Type. Select type from pull-‐down list. Choose between collection, papers, and
records.

A Collection ŝƐĂŐƌŽƵƉŽĨ͞ŵĂƚĞƌŝĂůƐĂƐƐĞŵďůĞĚďǇĂƉĞƌƐŽŶ͕ŽƌŐĂŶŝǌĂƚŝŽŶ͕ŽƌƌĞƉŽƐŝƚŽƌǇĨƌom a
ǀĂƌŝĞƚǇŽĨƐŽƵƌĐĞƐ͕͟ĐƌĞĂƚĞĚĂƌƚŝĨŝĐŝĂůůǇ͘

Papers͕ŽƌĨŽŶĚƐ͕ĂƌĞ͞ƚŚĞĞŶƚŝƌĞďŽĚǇŽĨƌĞĐŽƌĚƐŽĨĂŶŽƌŐĂŶŝǌĂƚŝŽŶ͕ĨĂŵŝůǇ͕ŽƌŝŶĚŝǀŝĚƵĂůƚŚĂƚ
have been created and accumulated as the result of an organic process reflecting the functions
of the creator͘͟WĞƌƐŽŶĂůƉĂƉĞƌƐĂŶĚŽƌŐĂŶŝǌĂƚŝŽŶĂůĂƌĐŚŝǀĞƐĨŝƚǁŝƚŚŝŶƚŚŝƐĐĂƚĞŐŽƌǇ͘

Records͕ƉĂƌƚŽĨƌĞĐŽƌĚŐƌŽƵƉƐ͕ĂƌĞĂ͞ďŽĚǇŽĨŽƌŐĂŶŝǌĂƚŝŽŶĂůůǇƌĞůĂƚĞĚƌĞĐŽƌĚƐĞƐƚĂďůŝƐŚĞĚŽŶ
the basis of provenance with particular regard for the administrative history, the complexity,
ĂŶĚƚŚĞǀŽůƵŵĞŽĨƌĞĐŽƌĚƐĂŶĚĂƌĐŚŝǀĞƐŽĨƚŚĞŝŶƐƚŝƚƵƚŝŽŶŽƌŽƌŐĂŶŝǌĂƚŝŽŶŝŶǀŽůǀĞĚ͘͟


3. Title. The title is usually a concatenation of the creator name and a term describing the form
of materials, whether general (papers, records) or specific (correspondence, diaries). The title
of the accession will typically, but need not always, match the title of the resource to which the
accession belongs. For example, the accession title may be John Smith Diaries, which is to
become part of the Smith Family Papers.

Consult DACS for further information.
DACS Reference: 2.3.18-‐2.3.22

Examples:

John Smith Diaries
Office of the President Correspondence
Marie Dolores Jones Papers

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4. Extent. First, enter the number of units as a whole or decimal number. Then select the type
of measurement (linear feet). ϭďĂŶŬĞƌ͛ƐďŽǆĞƋƵĂůƐϭ͘ϱůŝŶĞĂƌĨĞĞƚ͘ϭůĞƚƚĞƌŽƌůĞŐĂůƐŝǌĞĂƌĐŚŝǀĂů
box equals .5 linear feet. Other measurements, such as 1 folder, should be estimated and
explained.


Examples:

148.5 linear feet
.1 linear foot (1 scrapbook)

5. Container Summary. Enter an enumeration of the number and type of containers that house
the accession.


Examples:

5 cartons, 3 boxes, 1 flat box
10 record cartons, 3 archives boxes, 4 map folders

6. Dates. Dates can be entered in integer form (Date Begin, Date End, Bulk Date Begin, Bulk
Date End), and/or as a free-‐text string (Date Expression). Integer dates are used to support
computer processing of date information (e.g., searching). The date expression is designed for
human readability and allows for the use of qualifiers, such as circa or before. It is the date
expression that typically displays to end-‐users.

a. If you wish, you may only enter a Date Expression rather than using the fields for integer
dates. However, doing so may limit your ability to support searching by date in exported objects
such as MARCXML records and EAD documents.

DACS Reference: 2.4

Examples:

Between 1925 and 1953
ca. 1911
1913-‐1998, bulk 1950-‐1972

b. Integer Dates. (Date Begin, Date End, Bulk Date Begin, Bulk Date End). Integer dates must be
entered in years only, with no days or months. Enter inclusive dates using the Date Begin and
Date End fields. Enter bulk dates in the Bulk Date Begin and Bulk Date End fields. A value must
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be entered in both Date Begin and Date End. For single dates, the values are identical, whereas
for ranges, they differ. In addition, bulk dates can only be expressed when inclusive dates are
specified, and the bulk dates must be contained within the inclusive dates.

DACS Reference: 2.4

Examples:

1922-‐-‐1922 (Single date)
1900-‐-‐1930 (Inclusive dates)
1910-‐-‐1918 (Bulk dates)

7. Locations. Use the Add Location button to assign locations to the accession.

8. General Accession Note. Use this field to note any information that does not fit in any of the
more defined fields. Note custodial history for the accession (who owned the collection and
when) if known. Also note donor name and address, if known.

Accessions Notes Tab
Required by ZSR Special Collections & Archives

1. Acquisition Type. Indicate the type of accession transaction. This refers to the way in which
the accession was acquired. Options include: deposit, gift, purchase, or transfer.

2. Description. This field serves as a preliminary scope and contents note, and might include
description of document types and topical contents represented in the accession.


Examples:

Contains correspondence and financial records for Smith's clothing business, as well as personal
diaries. Provost's correspondence, subject files, and program files. Includes information about
diversity protests and formation of ALANA scholarships.

3. Condition Note. Enter notes about the physical condition of the materials, preservation
actions that may be necessary, and any special handling requirements.

Examples:

Rolled drawings in tubes 10-‐17 are brittle and in need of humidification. Collection is filled with
mold and silverfish. Deep freeze treatment is scheduled. Materials should not be unpacked in
the department and persons processing the materials should wear inhalation guards.
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Nitrate negatives in box 12 are in poor condition and should not be filed with other negatives.
Schedule for
reproduction and subsequent destruction.

4. Inventory. You may enter or paste a container list or other form of preliminary inventory in
this field. As an alternative, you may provide a reference to the existence and location of an
external paper or electronic document that contains the inventory.

Examples:

Box list from office of origin filed in archives. c:/transfers/provost/20061213contentslist.doc

or

Box 1 Correspondence, ca. 1970-‐1983
Boxes 2-‐3 Subject files, 1972-‐1984
Box 4 Program files, 1980s

Names and Subjects Tab
Strongly Suggested by ZSR Special Collections & Archives

Add names as creator, source, subject, or topic. Cataloger will finalize these terms.

Acknowledgements, Restrictions, & Processing Tasks Tab
Strongly Suggested by ZSR Special Collections & Archives

1. Rights Transferred/Rights Transferred Date. Indicate if intellectual property rights have been
transferred to the repository. If the source of the accession has transferred intellectual rights to
the custodial repository, check this box and record the date of transfer in the Rights Transferred
Date field.

DACS Reference: 4.4

Examples:

2004/7/21
06-‐9-‐22

2. Rights Transferred Note. Record if there are any notable aspects concerning the transfer of
intellectual property rights from the source of the accession to the repository. For example, this
field can be used to record if rights have only been transferred for a portion of the materials.

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3. Access Restrictions Note. Include here any useful statements indicating what materials in the
accession have restricted access, what the authority of the restriction is, and for how long the
restriction is to be in effect.

DACS Reference: 4.1.5-‐4.1.6; 4.2.6-‐4.2.7; 4.3.5-‐4.3.6

Examples:

Diaries in box 12 have been restricted by the donor until 10 years after her death.
Medical records in cartons 42 and 66 are restricted by legal statute until 75 years after the date
of their
creation.
Manuscripts in box 33 are fragile and restricted from use.

4. Use Restriction Note. Indicate which materials have use restrictions, how the materials can
be used, what the authority of the restriction is, and for how long the restriction is to be in
effect.

DACS Reference: 4.4

Examples:

Material is in the public domain.
Diary is fragile. User photocopy must be used in its place.

5. Processing Priority. Indicate the priority the repository assigns to completing processing of
the accession.

6. Processing Plan. Type or paste a complete processing plan here, or, if a processing plan exists
in print or electronic form externally, its existence and location may be referenced here.
Describe what needs to be done for the entire collection, if any, for it to be processed
completely.

Examples:

This collection must be re-‐housed in archival boxes. Bundles are held together with rubber
bands, which need to be removed. There are some binders without labels. Correspondence is in
chronological order, but photographs need special re-‐housing.
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Pre-‐Processing: Inventory and Re-‐Housing

Introduction

Inventory and re-‐housing can be done simultaneously or in order, depending on the collection
and the processing plan. If you have been tasked with inventory and re-‐housing, use the steps
below to document basic information about and the needs of the collection.

Inventory

x An inventory is a basic list that documents the contents of a collection. Most inventories
are at the box level and describe generally the formats and topics within a collection.
x Check the Accession Form for your collection to see if there is an existing inventory. If
there is an existing inventory, check the inventory against the boxes before you begin
re-‐housing.
x Your inventory should include:
o Collection number (available from collection file or a supervisor)
o Box numbers
o Box-‐level information: title(s) and topic(s), date(s) if given
o Notes on formats and other issues (see below)
x If you notice any of the following when doing your inventory, please consult a
supervisor:
o Preservation needs
Mold
Acidic paper
Faded ink
Fragile paper
Damaged/fading visual materials
Deformed or damaged film or magnetic tape
Odd or strong smells
o Duplicates
More than 2-‐3 copies or reprints of an item
o Missing materials
Incomplete series
Gaps in dates
Missing items in folders/boxes
o Obsolete or unusual media
Visual (photographs, negatives, artwork, etc.)
Audiovisual (video tapes, audio cassettes, LP records, etc.)
Electronic (CDs, DVDs, video games, etc.)
Books and runs of serials (except manuscripts/drafts)
x Document your inventory with word processing software such as Microsoft Word. A
template is available at \\acad1\ZSR\SpecialCollections\Administrative Files\Forms.
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x Save your inventory in the shared drive at \\acad1\ZSR\SpecialCollections\
Manuscripts\Container Lists or \\acad1\ZSR\SpecialCollections\University
Archives\Container Lists. Your file name should include the name of the creator.
x Place one copy of your inventory ŝŶƚŚĞĐŽůůĞĐƚŝŽŶ͛ƐWĞƌŵĂŶĞŶƚ&ŝůĞĂŶĚĂŶŽƚŚĞƌŝŶƚŚĞ
first box in the collection.
x Note: Do not attempt to organize materials as you do your inventory. If you notice
something out of order, add it to your inventory notes and speak to a supervisor.

Re-‐Housing

x Begin to re-‐house the collection in acid-‐free, lignin-‐free folders and boxes, using supplies
from Special Collections & Archives. Notify a supervisor if you run out of supplies.
x Preserve original order of the collection as you re-‐house it. If you notice something out
of order, add it to your inventory notes and speak to a supervisor.
x When re-‐housing:
o Remove rusty fasteners and pins, replacing them with plastic clips or stainless
steel paperclips. Remove rubber bands and loose adhesives when possible.
o Unfold materials (talk to a supervisor if you encounter fragile folded materials).
o If you encounter oversized items, ask a supervisor for oversized folder(s) and
box(es). Label as described below.
o Replace collection folders with acid-‐free, lignin-‐free folders.
Write lightly ŽŶƚŚĞĨŽůĚĞƌ͛ƐƚĂďƵƐŝŶŐƉĞŶĐŝů͘
Transcribe existing folder information when available. If no information is
given, provide a descriptive folder title. If you cannot determine a topic
or theme, speak to a supervisor.
On the folder tab, include: collection number, folder title, date(s), box
and folder number.
o Do not use sticky notes, pen or ink, or folded slips of paper when re-‐housing.
These materials can damage archival materials, while unsecured paper slips can
get lost or fall off.
o When filling folders, do not ŽǀĞƌĨŝůůƚŚĞŵ͘^Z͛ƐĨŽůĚĞƌƐŝŶĐůƵĚĞƚǁŽĐƌĞĂƐĞƐƚŚĂƚ
ǇŽƵĐĂŶƵƐĞƚŽĞǆƉĂŶĚƚŚĞĨŽůĚĞƌ͛ƐĐĂƉĂĐŝƚǇ͘/ĨǇŽƵĐĂŶŶŽƚĨŝƚĞǀĞƌǇƚŚŝŶŐŝŶŽŶĞ
folder, ĐƌĞĂƚĞĂƐĞĐŽŶĚĨŽůĚĞƌĂŶĚŝŶĐůƵĚĞǁŝƚŚƚŚĞƚŝƚůĞ͞WĂƌƚϭŽĨϮ͕͟ĞƚĐĞƚĞƌĂ͘
o If you find non-‐manuscript materials, ask a supervisor for assistance. There are
special enclosures for photographs, videos, and other media.
o Replace collection boxes with acid-‐free, lignin-‐free boxes.
Use a piece of acid-‐free paper to write: collection number, collection title,
box number, number of folders, and date(s).
Use a plastic clip or stainless steel paperclip to attach label to the box.
Make sure the clip is securely fastened; it may be a while before the box
is revisited!
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Archival Processing

Introduction

Archival processing is a repetitive and iterative process that requires patience and practice. By
gathering and analyzing information about the collection, organizing and arranging the
collection, and working on collection front matter (description), you will be able to create a
useful guide for researchers.

Survey and Processing Plan

x Review existing collection information
o 'ĞƚƚŚĞĐŽůůĞĐƚŝŽŶ͛ƐWĞƌŵĂŶĞŶƚ&ŝůĞĂŶĚƌĞĂĚthrough accession forms, donor
agreements and correspondence. Check the catalog for a MARC record.
o ŚĞĐŬĨŽƌĂŶĞǆŝƐƚŝŶŐƌĞĐŽƌĚŝŶƌĐŚŝǀŝƐƚƐ͛dŽŽůŬŝƚ͘/ĨŶŽŶĞĞǆŝƐƚƐ͕ǇŽƵŵƵƐƚĐŽŶƐƵůƚ
with the previous sections of this guide including accessions and pre-‐processing.
o If there is a container list or inventory, photocopy it for your records.
x Conduct research in reference sources
o Begin to understand the creator(s) of your collection by searching histories,
biographies, related archival collections, and other reference sources.
o Note your sources. You may need to revisit these resources and reference them
for your front matter.
x Study the contents of the collection
o Using the inventory and other documentation you have gathered, do a survey of
the contents of the collection. Check your inventory against the boxes and take
notes.
o 'ĂƚŚĞƌŝŶĨŽƌŵĂƚŝŽŶĂďŽƵƚƚŚĞĐŽůůĞĐƚŝŽŶ͛ƐƉƌŽǀĞŶĂŶĐĞ͕ĂĐƚŝǀŝƚŝĞƐĂŶĚĨƵŶĐƚŝŽŶƐ͕
any existing physical arrangement, as well as possible subjects/topics.
x Establish a processing plan
o After familiarizing yourself with the materials, you can begin to consider your
approach to processing them.
o While the majority of collections at ZSR are processed at the folder level, you
may consult with the primary processing archivist to determine a processing plan.
o Note your processing level and a timeline with milestones for completion of the
collection.
x Processing levels
o Collection level: Rarely done, but possible for very small or homogenous
collections. Includes MARC record in the library catalog and a basic record in
ƌĐŚŝǀŝƐƚƐ͛dŽŽůŬŝƚ͘
o Series level: Rough sort of series of a collection (see arrangement and description
below for more information). Includes MARC record and a finding aid record in
ƌĐŚŝǀŝƐƚƐ͛dŽŽůŬŝƚƚŚĂƚŝŶĐůƵĚĞƐƐĐŽƉĞĂŶĚĐŽŶƚĞŶƚŶŽƚĞƐĨŽƌĞach series, as well
as basic date ranges.
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15
o Folder level: Most commonly used processing level. Files and folders are
arranged beneath series, with little to no effort given to sorting individual
materials within folders. Includes MARC record and finding aid ŝŶƌĐŚŝǀŝƐƚƐ͛
Toolkit with series, box, and folder descriptions. Includes date ranges.
o Item level: Rarely done, but possible for very small collections or individual items.
/ŶĐůƵĚĞƐĚĞƚĂŝůĞĚĨŝŶĚŝŶŐĂŝĚƌĞĐŽƌĚŝŶƌĐŚŝǀŝƐƚƐ͛dŽŽůŬŝƚĂŶĚƉŽƐƐŝďůĞŝŶĚŝǀŝĚƵal
MARC records. Typically used only with correspondence series.

Organization and Arrangement

Archival materials are seldom received in perfect order with lengthy documentation of their
origins, structure, topics, and historical significance. If you are processing a collection that does
not appear to have an organizational structure, you must establish intellectual control over the
collection through organization and arrangement.

Organization is the process of dividing the collection into distinct units, such as series and
subseries. Following the principle of original order, the archivist attempts to retain as much of
the original organization structure as possible. Re-‐organization occurs only when access is
difficult, or if the materials are determined to be unusable due to their current organizational
scheme (or lack thereof).

Arrangement refers to the filing pattern, such as chronological or alphabetical order, that the
materials follow. At ZSR, we typically do not attempt to arrange the individual contents of
folders, except for correspondence series.

You may determine an organizational structure after consulting with the collection and its
contents and reference sources. It is recommended that you speak with other staff members or
the primary processing archivist before beginning physical organization. Your decision should
be recorded in your Processing Plan.

x Potential Series for Archival Materials
o Biographical/Genealogical Material: biographies, resumes, clippings, family
histories, questionnaires, etc.
o Correspondence: official, professional, personal, and family letters, postcards,
telegrams, notes, memoranda, cards with substantive notes, etc.
o Educational Material: report cards, class notes, diplomas, certificates, etc.
o Financial Papers: bills, receipts, account books, ledgers, checks, promissory notes,
tax lists, etc.
o Legal Papers: bonds, court summons, judgments, deeds, land records, estate
papers, insurance policies, mortgages, wills, briefs, land plats, marriage
bonds/licenses, etc.
o Writings and Speeches: addresses, sermons, manuscript drafts, essays, memoirs,
research notes, etc.
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o Diaries (or Journals)
o Photographic Material: photographs, slides, negatives, photo albums
o Printed Material: periodicals, pamphlets, flyers, programs, playbills, broadsides,
invitations, cards, etc. (Not typically used)
o Audiovisual Material: audio tapes, cassettes, videos, films, etc.
o Professional Papers (faculty only): class lecture notes, syllabi, course outlines,
reading lists, exams, student papers, etc.
o Research Material: typically used for subject-‐organized research material such as
articles, research notes, reference works, etc.
o Clippings: newspaper or magazine articles, illustrations, or other cut-‐outs
o Advertisements: proofs, clippings, concept sketches, etc.
o Scrapbooks/Scrapbook Material: clippings, photographs, etc.
x Collections are most frequently divided into series based on their physical type or
format.
x Some series warrant further breakdown. Large groupings within series, such as sermons
and essays within Writings and Speeches, can be made into subseries.

Processing Concerns

x Basic preservation:
o Newspaper clippings: photocopy onto acid-‐free paper and throw away originals.
o Telegrams and other acidic ephemera: fold a sheet of acid-‐free paper in half to
create a sling, or interleave with two sheets of acid-‐free buffer paper.
o Photographic material: place into polyester/mylar sleeves or other appropriate
housing (speak to a supervisor if you are unsure, particularly if you find glass
negatives or negatives/film with an unusual odor). Always wear clean cotton
gloves when handling any photographic materials.
x Remove and discard the following:
o Vinyl, metal, or cardboard binders (unless the binder has important information
that cannot be transcribed) and folder the contents.
o Deteriorating, acidic containers (including manila envelopes) that lack
informational value.
x Weeding
o Some material should be weeded if it is determined not to have permanent
research value.
o Examples include:
Routine personal, financial, and medical records
Duplicates without marginalia or other added info (one copy is retained)
Memorabilia
Large groupings of routine forms, letters, or requests
Anniversary or birthday congratulations, routine invitations
Student grades (shred or return to donor)
Large groupings of postcards with no message
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Individual income tax returns
x Additions and Interfiling
o Some collections have multiple additions, which are treated as new accessions.
o All additions are considered part of the same collection.
o Small additions can be interfiled with the original collection if they fit within the
existing box and folder system.
o Larger additions should be re-‐housed and shelved following the end of the
original collection. Additions to existing series should be listed together in the
finding aid with their box and folder numbers identified.

Description: General Guidelines

Determine with a supervisor or the primary processing archivist which system you will be using
to describe the collection. Most collections have basic resource records ŝŶƌĐŚŝǀŝƐƚƐ͛dŽŽůŬŝƚ
which need to be completed. In other cases, you may use Microsoft Access or another system.

x Container List
o /ŶƌĐŚŝǀŝƐƚƐ͛dŽŽůŬŝƚ͕ĐŽŶƚĂŝŶĞƌƐĂƌĞƌĞĐŽƌĚĞĚĂƐInstances. See next section for
more information.
o Folder Title
Use titles that reflect or duplicate existing headings, when appropriate.
EŽƚĞƚŚĂƚƚŚĞƚŝƚůĞǁĂƐĂůƌĞĂĚǇŽŶƚŚĞĨŽůĚĞƌďǇǁƌŝƚŝŶŐ͞΀ƌĞĂƚŽƌ͛ƐdŝƚůĞ΁͟
when possible.
If no titles are given, create a title that best describes the contents of the
folder. Be simple, clear, and consistent. Use keywords.
Only the first word of the title is capitalized unless it includes proper
noun(s).
Omit initial articles unless it is an essential part of the title or supplied by
the creator in the original title.
If you are unsure about a format or type, refer to the Getty Research
/ŶƐƚŝƚƵƚĞ͛ƐƌƚĂŶĚƌĐŚŝƚĞĐƚƵƌĞdŚĞƐĂƵƌƵƐ;dͿ͕ĂƚŚĞƐĂƵƌƵƐŽĨĐƵůƚƵƌĂů
and material heritage concepts.
Remember that the title must be transcribed onto the upper left corner
of the new folder lightly in pencil.
o Date
Enter year, month, and day if available: 1972 March 17
Typically, ca. (circa) is used to imply an estimated date: ca. 1939
Other forms may be accepted as appropriate: before 1867; 1892 or 1893;
1890s
If you do not know the date or cannot make an educated guess, write
͞ƵŶĚĂƚĞĚ͟

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o Note:
Do not use abbreviations! Many researchers will be accessing our finding
aids through keyword searches.
Stay focused and remember that your descriptions and organizational
decisions will help generations of researchers discover these materials.
Do not attempt to read every item in the collection. Look long enough
only to get a sense of what the items are about so you can create a brief
description.

x Front Matter
o Using the guide Describing Archives: A Content Standard (DACS) and your
research, create prose statements and compile information about the collection
ĨŽƌƚŚĞĐŽůůĞĐƚŝŽŶ͛ƐĨƌŽŶƚŵĂƚƚĞƌ͘
o Details about formatting and creating parts of the front matter are detailed in
the next section, which explores how to creatĞĨŝŶĚŝŶŐĂŝĚƐŝŶƌĐŚŝǀŝƐƚƐ͛dŽŽůŬŝƚ͘

x ůĞŵĞŶƚƐZĞƋƵŝƌĞĚĨŽƌ&ŝŶĚŝŶŐŝĚƐŝŶƌĐŚŝǀŝƐƚƐ͛dŽŽůŬŝƚ
o The following elements are required for ZSR collections described using
ƌĐŚŝǀŝƐƚƐ͛dŽŽůŬŝƚ. See the next section for more information.
o Collection (Resource)
Basic Description
x Level
x Name of Collection (Title)
x Collection Number (Resource ID)
x Date Range (inclusive and bulk)
x Extent
x Language(s)
x Container Summary
x Container Information (Instances)
Names and Subjects (likely created by cataloger)
Notes
x Abstract
x Location Note
x Access Restrictions (if any)
x Copyright Notice
x Preferred Citation
x Immediate Source of Acquisition (if known)
x Custodial History Note (if known)
x Processing Information Note
x Biographical/Historical Note
x Scope/Contents Note
x Arrangement Note
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o Series (Components)
Basic Description
x Title
x Series Number (Component Unique ID)
x Date Range (inclusive and bulk)
x Container Information (Instances)
Notes
x Scope/Contents Note
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ĞƐĐƌŝďŝŶŐƌĐŚŝǀĂůDĂƚĞƌŝĂůƐŝŶƌĐŚŝǀŝƐƚƐ͛dŽŽůŬŝƚ
ĚĂƉƚĞĚĨƌŽŵƌĐŚŝǀŝƐƚƐ͛dŽŽůŬŝƚhƐĞƌDĂnual, Version 1.1

Overview

The resources functional area ŝŶƌĐŚŝǀŝƐƚƐ͛dŽŽůŬŝƚallows you to capture information about the
physical and intellectual content of an archival resource, as well as contextual information
about collection creators and topics. You can output this information in various formats
including finding aids, catalog records, and other descriptive products used by researchers to
access materials.

It is important to note that the Toolkit stores data in linked tables within a relational database
structure, a structure that provides more flexibility for producing multiple outputs such as
MARCXML, MODS, EAD, subject guides, etc. -‐ all from the same data. Although the Toolkit can
import and export descriptive data in EAD format, the data is not stored as an EAD instance
within the Toolkit.

tŚŝůĞƐŽŵĞŽĨƚŚĞƚĞƌŵƐƵƐĞĚŝŶƌĐŚŝǀŝƐƚƐ͛dŽŽůŬŝƚŵĂǇďĞĐŽŶĨƵƐŝŶŐ͕ĚŽŶŽƚŐŝǀĞƵƉ͊
WƌŽĐĞƐƐŝŶŐĂŶĚĚĞƐĐƌŝƉƚŝŽŶŝƐďĞƚƚĞƌǁŝƚŚƉƌĂĐƚŝĐĞ͘ƌĐŚŝǀŝƐƚƐ͛dŽŽůŬŝƚŝƐŵĞĂŶƚƚŽďĞŝŶƚƵŝƚŝǀĞ͘

Resource and Component Records

In the Toolkit, an archival resource is described using two types of records, resource records and
component records. A resource record can represent one of two types of resources:
aggregations (collections, papers, record groups, or fonds, for example) or independent items,
that is, items that are not part of a larger aggregation. Either of these types of resource records
can stand on their own to form a single-‐level description.

In the case of the aggregate type of resource record, the resource record may also be linked to
resource component records to form multi-‐level descriptions. Component records may
represent a series, subseries, file, item, or other subdivision, the input template for each
component level contains the same data elements.

hƐŝŶŐƌĐŚŝǀŝƐƚƐ͛dŽŽůŬŝƚĨŽƌMulti-‐Level Description

The SAA Glossary of Archival and Records Terminology defines multi-‐ůĞǀĞůĚĞƐĐƌŝƉƚŝŽŶĂƐ͞a
finding aid or other access tool that consists of separate, interrelated descriptions of the whole
and its parts, ƌĞĨůĞĐƚŝŶŐƚŚĞŚŝĞƌĂƌĐŚǇŽĨƚŚĞŵĂƚĞƌŝĂůƐďĞŝŶŐĚĞƐĐƌŝďĞĚ͘͟/ŶƚŚĞƌĐŚŝǀŝƐƚƐ͛dŽŽůŬŝƚ͕
multi-‐level descriptions are built through the creation of a resource record and linked resource
component records.

These two resource record types accommodate the twelve numbered levels of description
permitted in the Encoded Archival Description standard and an unlimited number of
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unnumbered levels. Records at the same level are referred to as sibling records in the AT, while
component records are referred to as child records.

The Hierarchical Interface

Overview

As you describe archival resources and their components in the Toolkit, each new record will be
reflected in the hierarchical interface, which can then be used to navigate and reorder
components as necessary. In the hierarchical view, a folder represents the resource, or any
component which contains additional components.

Components that have no children are represented with a bullet. The title is displayed for every
record. To display the contents of a component, click on the + to the left of a folder, and the
Toolkit will display all of the components within it. To collapse the list, click on the -‐ to the left
of an open folder.

To display the record for any component, click on the title of the component. This will navigate
you directly to a given record for editing or review. To reorder component records, simply
select the component you wish to move, and drag it up or down in the hierarchy, releasing the
mouse button where you wish to place the component.

To insert a new component into the description, use the buttons found below the hierarchical
interface. Keep in mind that the context for the following buttons is the component currently
selected and displayed in the record window.

The Add Child button will open a new component record that is hierarchically subordinate to
the context record. For example, if your context record is a series and you want to create a
subseries within it, press this button.

The Add Sibling button will open a new component record that is at the same level as the
context record and that follows the context record within the sequence. If you are entering
multiple series one after another in sequence, use this button to create the next series.

The Delete Component button will delete the selected component and all of its children. If you
wish to delete the component but not its children, you must reorder the components first so
that they are no longer part of the component you wish to delete.

Reordering Components Using Drag and Drop

It is possible to reorder components in the hierarchical interface using drag and drop
techniques. That is, selecting a component while holding the mouse button down, moving the
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component to another location, then finally releasing the button to drop the component in its
new location. There are some limitations to the drag and drop capabilities:

1. A component cannot be moved to the end of a group of components. To work around this,
drop the component into the second to last position, and then move the last component up
one position.
2. If a component is not already a parent you cannot use drag and drop to make another
component its child. A component must already have at least one child in order to drag and
drop another component into a position where it is a child of the original component.

3. It is currently not possible to scroll while dragging a component. To drag a component to a
place within the collection that is not visible within the hierarchical window, move the
component up to the top of the listing (or the bottom, depending on where the component is
to go), scroll, then drag and drop it again until it is in the desired position. This limitation will be
fixed in future versions of the Toolkit.

Basic Steps for Creating a Resource Record

1. From the Main Screen, select Resources and press the Add Record button.

2. Select a Level for the record.

3. Enter a unique Resource Identifier.

4. Enter a Title.

5. Enter a Date Expression and/or Begin Date and End Date for the materials.

6. Enter the Extent Number and Extent Measurement (linear feet).

7. Enter the Language Code for the language of the materials.

8. Save the resource description record by pressing the OK button at the bottom right corner of
the window. If entering more than one resource record, save the record by pressing the OK+1
button. This will save the current record and open a new resource description screen so a
subsequent record can be entered.

Caution! If the record does not include the required elements listed above, the Toolkit will
indicate that the record cannot be saved because one or more of the required fields is not
complete. The incomplete fields will be indicated in the error message. The required field(s)
must be completed in order to save the record.

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Note: A resource record can also be created from an accession record. Some fields in this new
record will be automatically populated with information from the accession record from which
it originated. For example, the Title from the accession record will appear in the Title field of
the new resource record.

Basic Steps for Creating a Resource Component Record

1. From an open resource record or component record, press the Add Sibling or the Add Child
button. Siblings can only be added to component records.

2. Select a Level for the record.

3. Enter a Title.

Or

4. Enter a Date Expression and/or Begin Date and End Date for the materials.

5. Save the record by pressing the OK button at the bottom right corner of the window.

Or

If entering more than one component record, save the record by pressing the OK+1 button.
This will save the current record and open a new component screen so a subsequent record can
be entered.

Caution! If the record does not include the required elements listed above, the Toolkit will
indicate that the record cannot be saved because one or more of the required fields is not
complete. The incomplete fields will be indicated in the error message. The required field(s)
must be completed in order to save the record.

Description Data Elements

The Basic Information Tab

1. Level. [Required] This is required for resource and component records, and is the label for
the hierarchical level of the materials being described. Options are class, collection, file, fonds,
item, other level, record group, series, subfonds, subgroup, and subseries.

2. Title. [Required] A title is required for resource records. Either the title or the date is
required for component records. At the resource level, the title is usually a concatenation of the
creator name and a term describing the form of materials, whether general (papers, records) or
specific (correspondence, diaries).
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Examples:

John Smith Diaries
Office of the President Correspondence
Outgoing correspondence

3. Dates. [Required] Date is required for resource records. Title or date is required for
component records. Dates can be entered in integer form (Date Begin, Date End, Bulk Date
Begin, Bulk Date End), and/or as a free-‐text string (Date Expression). Integer dates are used to
support computer processing of date information (e.g., searching). The date expression is
ĚĞƐŝŐŶĞĚĨŽƌŚƵŵĂŶƌĞĂĚĂďŝůŝƚǇ͕ĂŶĚĂůůŽǁƐĨŽƌƚŚĞƵƐĞŽĨƋƵĂůŝĨŝĞƌƐ͕ƐƵĐŚĂƐ͞ĐŝƌĐĂ͟Žƌ ͞ďĞĨŽƌĞ͘͟
It is the date expression that displays to end-‐users.

a. Integer dates. (Date Begin, Date End, Bulk Date Begin, Bulk Date End). Integer dates must
be entered in the YYYY format: month and day elements are not supported.

To enter a single date, enter the same date in the Date Begin field and Date End field. Enter
inclusive dates using the Date Begin and Date End fields. Enter bulk dates in the Bulk Date
Begin and Bulk Date End fields. You may not enter bulk dates unless inclusive dates are present.
You may not enter bulk dates that do not fall within the range of the inclusive dates.

DACS Reference: 2.4

Examples:

Date Begin: 1922 Date End: 1936
Bulk Date Begin: 1925 Bulk Date End: 1930

b. Date Expression. A natural language expression specifying the date or date range of the
materials. You may enter only a Date Expression rather than using the fields for integer dates,
however, doing so may limit your ability to support meaningful date searching.

DACS Reference: 2.4

Examples:

1876-‐1933
Between 1925 and 1953
ca. 1911
1913-‐1998, bulk 1950-‐1972
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4. Language Code. [Required] This field is required for resource records. Select the code for the
language that predominates in the materials being described. You may jump to the appropriate
place in the list by typing the first few letters of the language you are seeking.

Examples:

English ; eng
French ; fre

If most of the materials in the repository are of one language, it is recommended setting the
default value for this field to that language. Use the Language of Materials note to describe
other languages present in the collection.

5. Repository Processing Note. For recording any internal information regarding processing
that the repository wishes to record. This information will not be exported into descriptive
outputs for researcher use. For processing information to be included in descriptive outputs,
use the Processing Information note.

6. Resource ID. [Required] This field is available in resource records only and is required. Like
the accession number, the resource ID may consist of up to four elements, though only one
element is required.

The resource ID may be linked to one or more accessions also recorded in the Toolkit. If this is
the case, a list of linked accessions will appear below the resource ID.


Examples:

MSS 263
RG 3/1-‐1960

7. Accessions linked to this Resource ID. This is a listing of linked accessions. Accessions can
only be linked to resource records through the accession record; it is not possible to link from a
resource record to an accession record. It is possible to create a resource record from accession
record.

8. Component Unique Identifier. This field is available in component records only. This is the
identification number or code used to uniquely identify the component among the other
components within the same unit. Component identifiers need not be unique across the entire
repository's holdings.

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Examples:

Series 1.
D-‐1.1

9. Extent Number and Extent Measurement. [Required] Both of these fields are required for
resource records. First, enter the number of units as a whole or decimal number. Then select
the type of measurement (linear feet). Extent is intended to be a measurement of the entire
contents of the resource or component. Enumerations of containers in the resource or
component can be entered in the Container Summary.


Examples:

148.5 linear feet

10. Container Summary. [Required] Enter an enumeration of the number and type of
containers that house the accession.

Note: The container summary can be used in conjunction with the Extent fields to create a
parallel statement of extent, as described in DACS rule 2.5.7.


Examples:

5 cartons, 3 boxes, 1 flat box
10 record cartons, 3 archives boxes, 4 map folders

11. Instances. [Required] Instances are used to record container information for materials in
the collection, ĂŶĚƚŽĚĞƐĐƌŝďĞĚŝŐŝƚĂůŽďũĞĐƚƐ͘^ĞĞƚŚĞ͞/ŶƐƚĂŶĐĞƐ͟ƐĞĐƚŝŽŶďĞůŽǁ͘

12. Restrictions Apply. This is a yes/no field indicating if access restrictions apply to the
materials being described.

Creating Component Records with the Rapid Data Entry Screen

The Toolkit offers a Rapid Data Entry feature to allow for repeated entry of component records
with fewer mouse clicks than one would use during the process of adding individual component
records and then adding instances. The Rapid Data Entry feature provides a more efficient
May 2010
27
interface for entering things like folder lists, where multiple components of the same level are
entered one after another.

Note: In the Toolkit, the hierarchy of components is not driven by the Level element. When
entering multiple components with the Rapid Data Entry interface, you can change the Level
element for each, but the components are all entered at the same level (as siblings) in the
hierarchy. For example, if your first component is set at the series level and the second
component is set at the file level, the Toolkit will not automatically make the file a child of the
series. The hierarchy can be modified later.

Follow these instructions to use the rapid data entry interface from any resource or component
record:

1. Press the Rapid Data Entry button.
2. Enter desired data. The Level element and either Title or one of the Date elements is
required. Instance type and at least one container type/number are necessary if locations are
to be linked to the resource.
3. Press the OK button, or to enter another component, press the OK+1 button.

Instances

Overview

Any description record in the Toolkit may include data about multiple instances of the resource
or component being described. For example, an archival component record that contains
descriptive information for a scrapbook may be equally representative of both the original
scrapbook and a digital object surrogate of the scrapbook. An archival resource record for a
collection of correspondence may provide accurate description for both the original collection
and a microfilm that reproduces the collection exactly.

Instances do not need to be declared at any level, but an instance must be declared if either a
digital object is to be described or if container information is to be provided and linked to a
repository location. If you do declare an instance then you must also provide container
information for the instance, unless the instance is a digital object, in which case you must
complete the top-‐level digital object record.

Adding Analog Instances

It is necessary to add an instance wherever you wish to create a digital object or input container
information such as box and folder numbers. Use the following instructions to add one or more
instances to a resource or resource component record.

1. From the Basic Information tab, press the Add Instance button.
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2. Select the type of instance you wish to create.

Note: The list of instance types is not authoritative, with the exception of the Digital object
type. With the exception of that one term, you can use the Lookup Lists option to modify or
add items to the list as you choose. It is recommended is that you devise a local authoritative
list of instance types and apply it consistently in all cases. The Digital object type may not be
deleted or modified as it activates a set of records for describing the files comprising a digital
object, whether it is a surrogate of another instance or a born digital object.

3. Enter Container 1 Type. This is the type of container within which the instance is stored. For
example, Box, Disk, Reel, and Volume are all potential values for this field.

4. Enter the container information, or enter a single Barcode. You may record a Container type,
Numeric Indicator, or Alphanumeric Indicator for up to three nested containers (e.g. box and
folder numbers; reel and frame numbers; folder and item numbers, etc.). Use a Numeric
Indicator for any integer or decimal number used to identify the container (e.g. 12, 1.3). Use
the Alphanumeric Indicator if a mixture of numbers and letters is used to identify the container
(e.g. 1A, 3b). Be aware that alphanumeric indicators may not sort as ĞǆƉĞĐƚĞĚ͖Ăůů͞ŶƵŵďĞƌƐ͟
ďĞŐŝŶŶŝŶŐǁŝƚŚ͞ϭ͟ǁŝůůƉƌĞĐĞĚĞĂůů͞ŶƵŵďĞƌƐ͟ďĞŐŝŶŶŝŶŐǁŝƚŚ͞Ϯ͘͟ In addition, when a container
has both a numeric and alphanumeric value, the numeric value will take precedence over the
alphanumeric value on export.

5. Press OK to save the instance record.

6. Once you have recorded container information, you can assign a location to each container
using the Manage Locations button.

Note: The Rapid Data Entry screen discussed earlier in this chapter allows for analog instance
records and container information to be entered in a more efficient fashion.

Caution! When working with analog instances, the Cancel button will occasionally not function
as expected and instead of canceling, save the input information. This will be fixed in future
releases. In the meantime it is best to double check after canceling transactions.

The Names & Subjects Tab

Use the Names & Subjects tab to add names as creator, source, or subject, and to add topical
subject terms. At ZSR, a cataloger will finalize the names and subjects that will be used;
however, it is helpful to present the cataloger with some suggestions.

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The Notes, Etc. & Deaccessions Tab

The Notes, etc. tab provides 29 notes that can be added at the resource level or at any
component level. Notes generally include four elements, though certain notes contain more
detailed data. These are described in the list of specific note types. The elements of notes are:

1. Type. A specific designation for the type of note you wish to add. Note types, which are listed
and defined below, correspond to specific DACS and EAD elements.

2. Note Label. A title for the note, output in the <head> element of an EAD finding aid and as a
header for the note in print finding aids. If not defined, the note Type will be used.

3. Internal Only. Indication that the note is for repository use only. It will not be output in print
finding aids, and will be omitted from EAD encoded finding aids or output with the audience
ĂƚƚƌŝďƵƚĞƐĞƚĨŽƌ͞ŝŶƚĞƌŶĂů͘͟

4. Note Content. The content of the note itself. To enter multiple paragraphs, use two line
breaks between each paragraph.

Note: The Bibliography and Index options include an Ead Ingest Problem field. This field is for
EAD elements that did not map directly into a Toolkit note. The Toolkit inserts these elements
into the Ead Ingest Problem area in order to place them as close as possible to where they
belong. It is important to check after EAD import if note information exists in these fields, and if
so, move it to more appropriate areas.

Note Types

1. Abstract. [Required] A brief description of the context and content of the materials.

DACS Reference: 3.1

EAD Tag: <abstract>

Examples:

Manuscripts and drawings of Theodor S. Geisel, author and illustrator known internationally as
Dr. Seuss. The collection (1919-‐1992) includes early drawings, manuscripts and drawings for the
majority of his children's books, scripts and storyboards for Dr. Seuss films, television specials
and theatre productions, advertising artwork, magazine stories, speeches, awards, memorabilia,
fan mail, Dr. Seuss products and photographs. Also included are videorecordings and cassette
audiorecordings of UCSD events held to commemorate Geisel's life and work.

2. Accruals Note. Information about expected additions to the materials.
May 2010
30

DACS Reference: 5.4

EAD Tag: <accruals>

Examples:

Additional accruals are expected.

3. Appraisal Note. Information about appraisal, retention scheduling, or destruction of the
materials.

DACS Reference: 5.3

EAD Tag: <appraisal>

Examples:

Appraisal criteria for retention included the presence of handwritten notes.

4. Arrangement Note. [Required] Description of organization or arrangement of materials.

DACS Reference: 3.2

EAD Tag: <arrangement>

Examples:

Organized into two series: Series 1. Biographical materials; Series 2. Correspondence.
Arranged chronologically.

5. Bibliography. Information related to publications about or based on the materials. The
bibliography is output in EAD as <bibref> tags, and therefore the note content for a
bibliography consists of multiple items rather than a single large text field. To enter items in a
bibliography, press Add Item and enter the data for that item. Press the OK button, or to enter
another item, press the OK+1 button.

DACS Reference: 6.4

EAD Tag: <bibliography>

Examples:

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31
Annotated edition of letters in the collection published in The Massachusetts Historical Review,
Spring 1997.

6. Biographical/Historical Note. [Required] Note for information about creator(s) of materials.

DACS Reference: 10

EAD Tag: <bioghist>

Examples:

The Council of Provosts (COP) reviews academic files for appointment and promotion and
makes recommendations to the Committee on Academic Personnel and academic departments.
The COP assigns faculty members to individual colleges, reviews and coordinates student
housing policies with the Vice Chancellor for Business Affairs, and forms part of the Teaching
Assistant Allocation Committee, which reports to the Program Review Committee. The chair of
the Council of Provosts serves on the Chancellor's Cabinet, the cabinet of the Vice Chancellor
for Academic Affairs and the Program Review Committee.

7. Conditions Governing Access Note. [Required] Field for indicating restrictions on the
material due to repository policy, donor specifications, legal requirements, etc.

DACS Reference: 4.1

EAD Tag: <accessrestrict>

Examples:

Open to researchers without restriction.
Tenure records closed for 75 years.

8. Conditions Governing Use Note. [Required] Restrictions on use of the materials (for example,
reproduction or publication) that apply after access has been granted.

DACS Reference: 4.4

EAD Tag: <userestrict>

Examples:

Materials in this collection are in the public domain.

9. Custodial History Note. [Required, if any] History of ownership and custody of the materials.
May 2010
32

DACS Reference: 5.1

EAD Tag: <custodhist>

Examples:

The records were originally collected and maintained by the Hampshire County Art Ceramic
Society, before being donated to the Hampshire County Historical Society in 1976.

Dimensions Note. Numerical data about the size of material being described.

DACS Reference: 2.5

EAD Tag: <dimensions>

Examples:

5 x 20 inches

11. Existence and Location of Copies Note. Information about copies available in additional
formats, for example microfilm, photocopies, or digital surrogates.


EAD Tag: <altformavail>

Examples:

Correspondence also available on microfilm.

12. Existence and Location of Originals Note. Information about the existence and location of
originals, in cases where copies are being described.

DACS Reference: 6.1

EAD Tag: <originalsloc>

Examples:

Originals are in the Massachusetts State Archives.

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13. File Plan Note. Information about any classification method used by the creator(s) of the
materials.

EAD Tag: <fileplan>

Examples:

The ACM used the following classification system to organize its publications:
A. General Literature
A.0 GENERAL
Biographies/autobiographies
Conference proceedings
General literary works (e.g., fiction, plays)
A.1 INTRODUCTORY AND SURVEY

14. General Note. Any information that does not fit in a more specifically defined note.

DACS Reference: 7.1

EAD Tag: <odd>

Examples:
Drawings humidified, flattened, and repaired.

15. General Physical Description Note. General information about the physical characteristics
of the materials that cannot be accommodated in other fields or notes that capture physical
description information.

EAD Tag: <physdesc>

Examples:

Videocassettes in this series are recorded in Hi-‐8 format.

16. Immediate Source of Acquisition Note. [Required, if any] Information about the direct
source from which the materials were acquired. This could also include date, means of
acquisition, and other information relevant to an acquisition.

DACS Reference: 5.2

EAD Tag: <acqinfo>

Examples:
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34

Donated by the Massachusetts Citizens League.

17. Index. List of terms and reference pointers compiled to enhance access to the materials
being described.

The index is output in EAD as <indexentry> tags, and therefore the note content for an index
consists of multiple terms and references, rather than a single large text field. To enter items,
press the Add Item button.

Enter the Item Value, and select the Item Type. The Reference field will automatically populate
with note and component records currently in the AT for the resource. Select the Reference
you wish to point to and enter any necessary Reference Text. Press OK to save the item, and
repeat the process as needed.

EAD Tag: <index>

18. Language of Materials Note. Indicate all languages represented in the materials.

DACS Reference: 4.5

EAD Tag: <langmaterial>

Examples:
Materials primarily in English, with some publications in Arabic.

19. Legal Status Note. Status of the described materials as defined in legal statutes.

EAD Tag: <legalstatus>

Examples:

Public records.

20. Location Note. [Required] Natural language expression of location, particularly in cases
where location
affects access to the materials.

DACS Reference: 4.2

EAD Tag: <physloc>

Examples:
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Materials stored off-‐site. Advance notice required for use.

21. Material Specific Details Note. Information unique to the material format that cannot be
assigned to any other element of description.

EAD Tag: <materialspec>

Examples:

Scale: 1:10000, Projection: Universal transverse Mercator projection

22. Other Finding Aids Note. Additional/external finding aids available to facilitate access to the
materials.

DACS Reference: 4.6

EAD Tag: <otherfindaid>

Examples:

Item-‐level index of drawings available in the repository.

23. Physical Characteristics and Technical Requirements Note. Physical conditions or
characteristics, or technical requirements that affect access to the materials.

DACS Reference: 4.2, 4.3

EAD Tag: <phystech>

Examples:

Letterpress books are nearly illegible.
System requirements: 48K RAM; Apple Disk II with controller; color monitor required to view
this file.

24. Physical Facet Note. Specific information about a physical aspect of the materials, such as
color, style, marks, materials, or techniques.

EAD Tag: <physfacet>

Examples:

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36
Lost wax process.

25. Preferred Citation Note. [Required] Suggested format for citing the materials.


EAD Tag: <prefercite>

Examples:

Wilbur Joseph Cash Papers, MS 578, Z. Smith Reynolds Library Special Collections and Archives,
Wake Forest University, Winston-‐Salem, NC, USA.

26. Processing Information Note. [Required] Information about the arrangement, description,
and preservation actions related to the materials.


EAD Tag: <processinfo>

Examples:

Collection arranged and described by Joan Salisbury, 1999.

27. Related Archival Materials Note. Information about related collections, either within or
outside the repository.

DACS Reference: 6.3

EAD Tag: <relatedmaterial>

Examples:

For more information about the academic career and personal life of Herbert John Davis see
the Herbert John Davis Personal Papers in the College Archives.

28. Scope and Contents Note. [Required] Information about the materials, such as record types,
dates covered, topics and persons represented, etc.

DACS Reference: 3.1

EAD Tag: <scopecontent>

May 2010
37
Examples:

The Jesús Colón Papers are a significant contribution to the study of Puerto Rican history and
especially to the reconstruction of Puerto Rican community history in New York. They support
research principally on such topics as organizational development and political participation
among Puerto Ricans in New York. They also shed light on issues of employment and
discrimination and Puerto Rican relationships to other groups in the city. The history of the
labor movement in Puerto Rico as well as Puerto Rican involvement in labor and left
organizations in New York are documented. The collection spans the years from 1901 to 1974,
with the bulk of the papers dating from 1920 to 1970. There are letters, notes, drafts of
published and unpublished works, reports, clippings, and photographs with a majority of the
papers consisting of organizational records such as by-‐laws, lists, programs, and policy
statements.

29. Separated Materials Note. Information about materials related by provenance that have
been physically separated or removed.

DACS Reference: 6.3

EAD Tag: <separatedmaterial>

Examples:

Photographs have been transferred to the Pictorial Collections of The Bancroft Library.

Creating External Links

1. Within the appropriate note, select the text to be linked.

2. In the Wrap in tag drop-‐down box, select <extref>.

3. Select the appropriate actuate and show attributes from the drop-‐down lists (optional).

4. Enter the URL for the link in the href field. For example, http://www.archiviststoolkit.org.
This entry is required to make the link operational.

5. Enter a title, which will be exported in a title attribute (optional).

6. Press OK.

The Finding Aid Data Tab

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Because all of the information contained in this tab applies to the finding aid for the resource as
a whole, this tab is only available through resource records; it is assumed that component
records will inherit the information stored in this tab from the resource record. Elements
contained in the finding aid data tab help in managing descriptive outputs, in particular EAD
encoded finding aids. Many of these fields are exported into the <eadheader> and may be used
in the title page of print finding aids.

1. EAD FA Unique Identifier. A unique identifier for the finding aid within a repository context.

EAD Tag: <eadid>

Examples:

mshm23

2. EAD FA Location. Online location of finding aid, in Universal Resource Identifier format.

EAD Tag: URL attribute in <eadid>

Examples:

www.lib.utexas.edu/taro/hrc/00001.xml

3. Finding Aid Title. Name of the finding aid.

EAD Tag: <titleproper>

Examples:

Inventory of the Harold Ramis papers, 1956-‐2006

4. Finding Aid Subtitle. Subtitle for the finding aid.

EAD Tag: <subtitle>

Examples:

A Guide to the Collection

5. Finding Aid Date. Date the finding aid was first published.

EAD Tag: <publicationstmt><date>

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39
Examples:

April 2006
1998

6. Author. Person(s) responsible for writing the finding aid.

EAD Tag: <author>

Examples:

Finding aid written by Samuel Sorenson.

7. Description Rules. Rules used to construct content of the description. Default options are
AACR2, CCO, DACS, and RAD, but the repository can configure the list to include other options.

EAD Tag: <descrules>

8. Language of Finding Aid. Language in which the finding aid is written.

EAD Tag: <language>

Examples:

Finding aid written in English.

9. Sponsor Note. Name of agent(s) who funded the acquisition, arrangement, and / or
description of the resource.

EAD Tag: <sponsor>

Examples:

Encoding funded by a grant from The Andrew W. Mellon Foundation.

10. Edition Statement. Information about the edition of the finding aid.

EAD Tag: <editionstmt>

Examples:

Second edition.

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11. Series. Information about the series to which the finding aid belongs.

EAD Tag: <seriesstmt>

Examples:

Observatories of the Carnegie Institution of Washington Collection

12. Revision Date. Date of last revision to the finding aid.

EAD Tag: <revisiondesc><change><date>

Examples:

May 1998

13. Revision Description. Description of revision made.

EAD Tag: <revisiondesc><change><item>

Examples:

Finding aid updated to include materials integrated from accession number 1998-‐37.

14. Finding Aid Status. Overall status of the finding aid. Options include Completed, In_process,
Under_revision, and Unprocessed. List of options may be configured to the repository's
preference.

Note: Customized values may not contain spaces.

EAD Tag: findaidstatus attribute in <eadheader> element
May 2010
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Appendices

Appendix A: Additional Resources

Description

x Association of College and Research Libraries, Rare Books and Manuscripts Section
(RBMS). Controlled Vocabularies for Use in Rare Book and Special Collections Cataloging.
http://www.rbms.info/committees/bibliographic_standards/controlled_vocabularies/in
dex.shtml

x Describing Archives: A Content Standard (DACS). Chicago: Society of American Archivists,
1998. [Available at ZSR]

x Getty Research Institute. Art & Architecture Thesaurus Online (AAT).
http://www.getty.edu/research/conducting_research/vocabularies/aat/

x Getty Research Institute. Union List of Artist Names (ULAN).
http://getty.edu/research/conducting_research/vocabularies/ulan/

x Library of Congress. Library of Congress Authorities. http://authorities.loc.gov/

x Society of American Archivists. Glossary of Archival and Records Terminology.
http://www.archivists.org/glossary/

Preservation

x Foundation of the American Institute for Conservation. Conservation Online.
http://cool.conservation-‐us.org/

x National Archives and Records Administration. Preservation and Archives Professionals.
http://www.archives.gov/preservation/

Processing

x 'ƌĞĞŶĞ͕DĂƌŬ͘ĂŶĚĞŶŶŝƐDĞŝƐƐŶĞƌ͘͞DŽƌĞWƌŽĚƵĐƚ͕>ĞƐƐWƌŽĐĞƐƐ͗ZĞǀĂŵƉŝŶŐ
Traditional ArcŚŝǀĂůWƌŽĐĞƐƐŝŶŐ͘͟American Archivist 68 (2005): 208-‐263. [Available at
ZSR by request]

x J. Paul Getty Trust. Introduction to Archival Organization and Description.
http://www.getty.edu/research/conducting_research/standards/introarchives/

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Appendix B: Glossary of Terms

AACR2: Anglo-‐American Cataloging Rules, Second Edition. A large, complex guide to the
standardized principles of bibliographic description in English-‐speaking countries. AACR2 is the
data content standard for bibliographic materials (typically books, audio, visual, as well as
graphic and archival materials).

Accessioning: the process through which an institution gains initial control over a newly
acquŝƌĞĚ͕ĚŽŶĂƚĞĚ͕Žƌ͞ĚŝƐĐŽǀĞƌĞĚ͟ĐŽůůĞĐƚŝŽŶ͘ŶĞǁĐŽůůĞĐƚŝŽŶŝƐƚǇƉŝĐĂůůǇĐĂůůĞĚĂŶĂĐĐĞƐƐŝŽŶ
until it is processed and described.

Arrangement: relates to the filing pattern (e.g. alphabetical, chronological, etc.) of materials
within the unit described. Not to be confused with organization.

Collection͗ĂŐƌŽƵƉŽĨ͞ŵĂƚĞƌŝĂůƐĂƐƐĞŵďůĞĚďǇĂƉĞƌƐŽŶ͕ŽƌŐĂŶŝǌĂƚŝŽŶ͕ŽƌƌĞƉŽƐŝƚŽƌǇĨƌŽŵĂ
ǀĂƌŝĞƚǇŽĨƐŽƵƌĐĞƐ͕͟ĐƌĞĂƚĞĚartificially. (From the SAA Glossary)

Container List: a detailed inventory of a collection. A collection may be described at the box
level, folder level, and rarely, at the item level.

DACS: Describing Archives: A Content Standard is the data content standard that guides
archivists through all the levels of description in processing: administrative,
biographical/historical, collection-‐level, folder-‐level, and item-‐level. It was developed from the
General International Standard Archival Description, Second Edition (ISAD(G)), and replaced the
Archives, Personal Papers, and Manuscripts (APPM) standard.

EAD: Encoded Archival Description is the data structure standard for encoding electronic
versions of archival inventories and registers. It defines the structural elements of a finding aid
and their interrelationships. In short, EAD does for archival inventories and registers what
MARC does for catalog records. The EAD standard is embodied in a Document Type Definition
(DTD) that conforms to the syntax of Standard Generalized Markup Language (SGML).

Finding Aid: a written description of archival materials. Finding aids are what enable
researchers to discover the nature and contents of a collection. Finding aids typically consist of
front matter and a container list; however, basic inventories can serve as finding aids.

Fonds͗ĂƌĞ͞ƚŚĞĞŶƚŝƌĞďŽĚǇŽĨƌĞĐŽrds of an organization, family, or individual that have been
created and accumulated as the result of an organic process reflecting the functions of the
ĐƌĞĂƚŽƌ͘͟WĞƌƐŽŶĂůƉĂƉĞƌƐĂŶĚŽƌŐĂŶŝǌĂƚŝŽŶĂůĂƌĐŚŝǀĞƐĨŝƚǁŝƚŚŝŶƚŚŝƐĐĂƚĞŐŽƌǇ͘;&ƌŽŵƚŚĞ^
Glossary)

Front Matter: outlines the nature of a collection. Essential parts of the front matter include:
location of collection, collection number and name, name of creator(s), date range, size (extent),
May 2010
43
abstract, acquisition information, biographical/historical information, scope and content notes,
arrangement, access and use restrictions, and subjects indexed.

MARC: Machine-‐Readable Cataloging. MARC is the data structure standard for storing
bibliographic information. Every piece of information corresponds to a numerically-‐coded field.
Archival collections that are fully described with online finding aids should also have a
collection-‐level MARC record, making it discoverable through the library catalog and databases
such as WorldCat.

Organization: the manner in which materials have been subdivided into smaller units, such as
record groups divided into series, and series into subseries. Not to be confused with
arrangement.

Original Order: the organization and sequence of records established by the creator of the
records.

Papers: a term used ͞generically to encompass materials in a variety of formats, including
manuscripts, typescripts, clippings, photographs.͟dŚĞƚĞƌŵƚǇƉŝĐĂůůǇĐŽŶŶŽƚĞƐŵĂƚĞƌŝĂůƐƚŚĂƚĂƌĞ
associated with an individual or family. (From the SAA Glossary)

Processing: gathering information about a collection, physically organizing and arranging the
materials, and providing access through description.

Provenance: tells the history of ownership. It refers to the origin of an item or collection,
identifying the original owner or creator, as well as subsequent owners and creators.

Record Group͗Ă͞ďŽĚǇŽĨŽƌŐĂŶŝǌĂƚŝŽŶĂůůǇƌĞůĂƚĞĚƌĞĐŽƌĚƐĞƐƚĂďůŝƐŚĞĚŽŶƚŚĞďĂƐŝƐŽĨ
provenance with particular regard for the administrative history, the complexity, and the
ǀŽůƵŵĞŽĨƌĞĐŽƌĚƐĂŶĚĂƌĐŚŝǀĞƐŽĨƚŚĞŝŶƐƚŝƚƵƚŝŽŶŽƌŽƌŐĂŶŝǌĂƚŝŽŶŝŶǀŽůǀĞĚ͘͟;&ƌŽŵƚŚĞ^
Glossary)
May 2010
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Appendix C: Sample Finding Aid, Front Matter

Inventory of the Wilbur Joseph Cash Papers, 1936 -‐ 1968

Descriptive Summary
Z. Smith Reynolds Library. Special Collections and Archives
Repository:
Creator: Cash, W. J. (Wilbur Joseph), 1900-‐1941
Title: Wilbur Joseph Cash Papers, 1936 -‐ 1968
Language of Materials: Materials in English
Location: For current information on the location of these materials,
please consult the Z. Smith Reynolds Library Special
Collections and Archives.
Abstract: Wilbur Joseph Cash is best known as the author of The Mind
of the South, an influential book about the American South in
the late 19th and early 20th centuries.
The W.J. Cash papers include typewritten drafts of The Mind
of the South, business and personal correspondence, and
personal and family memorablilia.
Extent: 3 linear feet, 3 boxes

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Administrative Information
Access Restrictions
Collection is open.
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Copyright Notice
Copyright for materials resides with the creators of the items in question or their
descendants, unless otherwise designated. Users of this collection are responsible for using
the materials in conformance with U.S. copyright law.
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Preferred Citation
Wilbur Joseph Cash Papers, Z. Smith Reynolds Library Special Collections and Archives,
Wake Forest University, Winston-‐Salem, NC, USA.
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Acquisitions Information
Gift of Charles Elkins (W.J. Cash's nephew), 1990.
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Processing Information
Processed by Sharon Snow, 1990; revised by Megan Mulder 2006.
Encoded by Megan Mulder, 2006.
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Biographical and Historical Note
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Wilbur Joseph Cash (1900-‐1941) is best known for his book The Mind of the South, a
personal and passionate analysis of the history and culture of the American South in the 19th
and early 20th centuries.
A native Southerner, Cash was born to working-‐class Baptist parents in Gaffney, South
Carolina. Growing up in small towns in North and South Carolina, Cash experienced first hand
the folk culture and social conventions of the early 20th century South, and as a child he
accepted its values unquestioningly. But as a student at Wake Forest College, Cash was
profoundly influenced by the liberal-‐minded (by Southern and Baptist standards) President
William Louis Poteat and other faculty members. Cash began to look with critical detachment
at the culture in which he had been raised.
After graduating from Wake Forest, Cash tried with varying degrees of success to make a
living as a journalist and freelance writer. He eventually contributed articles to H.L. Mencken's
American Mercury. One of these articles was entitled "The Mind of the South", and it
attracted the attention of publisher Blanche Knopf, who gave Cash a contract to expand the
essay to book length for publication.
Cash struggled over the manuscript of The Mind of the South for the next decade,
supporting himself during the Depression years of the 1930's by writing editorials for the
Charlotte (N.C.) News and other publications. When the 400+ page Mind of the South was
finally published in 1941, it received enthusiastic reviews. Unfortunately, Cash's physical and
mental health was deteriorating. He received a Guggenheim fellowship and traveled with his
wife to Mexico to work on a novel. But while they were there, Cash became increasingly
anxious and delusional, and finally hanged himself in his hotel room.
The Mind of the South proved to be a profound influence on the post-‐World War II
generation of Southern historians. Painting a portrait of Southern culture with broad strokes,
Cash extolled some of the traditional values of his upbringing, but devoted most of his book
to a stinging criticism of the South's bigotry, violence, and anti-‐intellectualism. Cultural
historians still argue over the issues raised by The Mind of the South.
Chronology
1900 Wilbur Joseph Cash born on May 2 in Gaffney, South Carolina
1918-‐1919 Attended Wofford College
1922 Received A.B. degree from Wake Forest College
1923-‐1924 Instructor in English at Georgetown College (Kentucky)
1924-‐1925 Instructor, Blue Ridge School for Boys
1926-‐1927 Worked for Charlotte News
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1928-‐1929 Editor, Cleveland Press, Shelby, North Carolina
1929 First article published in American Mercury
1937-‐ Charlotte News editorial department
1941 Awarded Guggenheim Fellowship in Literature on May 1
1941 Delivered Baccalaureate Address "The South in a Changing World" at University of
Texas commencement, June 2
1941 Died in Mexico City on July 1
1941 Posthumously awarded Mayflower Cup for North Carolina for best literary work
published in 1941

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Collection Overview
The Wilbur J. Cash Collection at Wake Forest University consists of some of Cash's writings,
including Mind of the South in typescript, articles, review clippings, business and personal
correspondence of W.J. Cash and his wife Mary, photographs, and ephemera.
Series List
Writings by W. J. Cash
Reviews of The Mind of the South
Correspondence
Awards and Tributes
Biographical Materials and Personal Ephemera

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Online Catalog Headings

Cash, W. J. (Wilbur Joseph), 1900-‐1941
Maury, Mary Cash
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Cash, John W.
Knopf, Alfred A., 1892-‐1984
Knopf, Blanche W., 1894-‐1966
Southern States -‐-‐ Civilization
Southern States -‐-‐ Social conditions

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Detailed Description of the Collection

[Begin Container List here.]
May 2010
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Gift of Charles Elkins (W.J. Cash's nephew), 1990.

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Encoded by Megan Mulder, 2006.

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Biographical and Historical Note

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Online Catalog Headings

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Detailed Description of the Collection

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