Basic Archival Terms and Concepts (LTS Procedure #144)

Scope: Guidance for arranging archival and manuscript collections physically and intellectually, in accordance with professionally accepted archival principles as well as institutional needs and requirements.

Contact:   Katerina Dimitriadou-Shuster

Unit: ATS/RMC

Date last updated: March 2025

Date of next review: March 2026

Roles: all archival processing staff

Contents:

Provenance and Original Order

 When possible, arrangement should be carried out in accordance with the archival principles of provenance and original order. In cases where a collection’s existing order deviates significantly from its original order, does not reflect the activities of the creator, or does not facilitate use of the collection, archivists may impose a new arrangement on the collection, taking into consideration the preservation of contextual information, facilitation of researcher use, and efficiency of processing. For example, if a collection contains labeled folders that were clearly meant to be alphabetical, but became disorganized during transfer or reboxing, the archivist can rearrange the files. 

Types of Collections with notes on arrangement

 This section describes the most commonly acquired types of collections. Collection titles are assigned in accordance with current professional standards (DACS), and the categories below will help archivists consider how to define and describe a particular collection. Further guidance on assigning and formulating titles can be found in Describing Archives: A Content Standard (DACS). 

 Papers 

 The term “Papers” designates a body of documents accumulated naturally by a person or family (e.g., Stevens Family Papers, Burt Green Wilder Papers). If the collection consists of three or more forms of material and the creator is an individual person or a family, use “papers” for the nature of the materials. 

 Arranging Personal Papers 

For personal papers, the organization is often based largely upon the mode of creation and the nature of the material. The highest hierarchical level employed in describing personal papers is the series. In imposing a series structure on a collection of personal papers, consider first the activities of the individual and second, the form of materials present in the collection (and whether these require separate housing or separate care). The final series structure almost always includes both functional (representing the activities) and form-based (representing the types of materials) series. In personal papers, series 1 is usually reserved for the most important material in the collection. 

Records 

 If the collection consists of three or more forms of material and the creator is an organization or government body, use “records” for the nature of the materials. 

Example: Carrier Corporation records 

Arranging Organizational Records 

For organizational records, the basic structure of a collection of organizational records will be hierarchical, with the hierarchy mirroring the structure of the organization that produced them. University archives are generally arranged as received, and description provided by the originating office is often reused. Data reused from originating offices may not perfectly meet RMC descriptive standards, but processing staff should make a basic effort to make data adhere to our standards, including altering description and normalizing dates. 

 Archive 

 The term “Archive” has been used in the past to designate complex collections of personal and/or family papers with mixed but related provenance, or when a collection has long been known by that designation (e.g. Adler hip hop archive, Afrika Bambaataa hip hop archive). While use of this term is not recommended by DACS, it may be used locally in some cases, following consultation with curators.  

Collections 

 Intentionally assembled collections contain materials acquired from multiple sources, grouped together either by a previous collector or by the library itself, according to criteria other than provenance (perhaps person, subject, form, or physical characteristic). Such collections are usually closed (i.e. no additions are anticipated), but in exceptional cases are ongoing. A variety of strategies are used in processing collections. Provenance for individual items is tracked in provenance notes at the appropriate level in the finding aid. In some cases material can be grouped by provenance into series-like components. 

 Collector’s Collections 

The provenance of intentionally-assembled collectors’ collections is preserved. Conventions for naming a collector’s collection have varied over the years, and to some extent continue to be influenced by a collector’s wishes. For detailed guidance on current standards for assigning titles to collectors’ collections, consult Section 2.3 (Title) of DACS. In RMC, the collector’s name is generally in the title, e.g. Gail and Stephen Rudin anti-slavery collection. 

Determining the Level of Arrangement

 Archivists determine a level of arrangement as part of the processing proposal. The following paragraphs outline approaches to determining levels of arrangement. 

 If a collection is already relatively well organized, then the archivist may devise a series organization that clarifies or enhances the current state of the material, or better reflects the types of material, but not organize further into subseries or files. The archivist can compensate for the lack of detail in arrangement by providing a more detailed description in the series-level scope and content notes. 

 If a collection is a low priority for detailed processing overall, but contains substantive correspondence from an important author, then the archivist may devise a detailed arrangement for selections of correspondence, grouping the remaining papers into a series of Other Papers. 

 If a collection is of high research value, is relatively unorganized, and is in high demand, then the archivist may devise an overall series organization that reflects the key activities of the creator, while limiting detailed lower-level arrangement to a few series that will likely receive the highest level of use, or which relate directly to the main activities for which the creator is best known. 

Processing Levels

 All collections receive at least a “baseline” level of cataloging at the point of accessioning, which provides a collection-level description and at least a box-level inventory. To facilitate access to a wide range of material, all collections are processed at a box level. 

 A finer level of processing is carried out when research interest, preservation concerns, and/or security concerns warrant further work on a collection, and as time and resources allow. Archivists and curators determine the appropriate level of control for a collection, based on the value of the material, its physical condition, and anticipated use.  

*Collections that are five or more cubic feet in size must have at least a box list inventory in order to be available for patrons. 

 Different components of a single collection may be processed to different levels. A writings or correspondence component, for example, may merit folder-level arrangement and description, but a component of financial records may be sufficiently served by a container-level arrangement and description. 

 A single component of a collection might be arranged at one level but described at another. Financial records, for example, may be arranged at the file level for ease of use, but described at the container level, which is sufficient to facilitate retrieval. 

 Definition of levels