Level 1 Protocol

In an effort to open more collections for research at the point of accession, and in accordance with the principles outlined in the Harvard Joint Processing Guidelines, the Center utilizes a triage process at the point of accession to identify manuscript collections that can be adequately made available with only minimal physical control and description. First, a collection is assessed for whether 1) it can be opened with minimal/Level 1 processing, or 2) it requires Level 2 processing and should enter the backlog. If entering the backlog, it is then assessed as to whether it requires a folder-level inventory to support preliminary access while it awaits processing, or whether a box-level inventory is sufficient. Criteria for each of these assessments is outlined below, along with the workflow for Level 1 Processing.

See more about Processing Levels.

Level 1 Triage Criteria For New Accessions

The Accessioning Archivist should track a collection for Level 1 Processing based on the following criteria:

1 folder or less: Always
5 cubic feet or less: Yes, unless there are significant restriction preservation needs
5+ cubic feet: Yes, if there are no restriction or arrangement needs

Avoid tracking for Level 1 if:

Further accruals are expected
Born digital content is present (for now, at least)

Folder Listing Criteria

Whether entering the Level 1 track or Level 2 track (backlogged), the Accessioning Archivist should determine whether a collection requires a folder-level inventory (beyond the box-level inventory) to support access (or preliminary access in the case of backlogged collections).

A folder-level inventory should be created IF a collection (or a portion of the collection) meets EITHER of the following criteria:

High-interest materials (excluding those that will be fast-tracked to processing within a year), especially in cases where the folder titles themselves provide significant added descriptive value such as:
- Individual correspondent names
- Subject file titles
Exceptionally “messy” materials for which a boxlist cannot easily or adequately reflect contents.

Extensible/iterative approach

Keep in mind that we will be open to folder listing on-demand if pubic services finds boxlist inadequate for a particular collection or portion of a collection. Therefore, in cases where it’s difficult to decide whether to folder list, we should err on the side of NOT folder listing.

Level 1 Workflow

The following steps should take place after the Accessioning Archivist has tracked the collection for Level 1 Processing.

The Acquisitions LHT:

Prepares preliminary description (a word doc in the digital control file)
- Drafts a biographical note or administrative history
- Assigns access points
If/where necessary:
- Logs A/V
- Refolders (if items are loose or poorly labeled)
- Labels boxes
- Barcodes (if going to HD)

The Accessioning Archivist:

Completes Acquisitions checklist
Facilitates transfers if needed (book/arch/WAM)
Completes boxlist
Determines whether to folder list

The Collections Services Archivist:

Spawns, completes, and publishes resource record
Creates MARC and Holdings records (may enlist LHT to enter barcodes for larger volume collections)
Sends offsite/stores in stacks
Tracks in reporting systems (Aspace collection management, tracking spreadsheet)

Level 1 Description Guide

ArchivesSpace

Spawn a Resource record (or experiment with template..)

Title: Remove accession number and any date information from the title, except in rare cases where the date is part of the formal title of the thing (like "Annual Report 1914"). No punctuation at end of title.

Identifier: This is the collection's call number. Will most likely look like "H MS cXXX."

Level of Description: If a single item use "Item", if 2 or more items use "Collection."

Resource Type:

Papers: for manuscripts created by persons or families

Collection: use only for intentionally-assembled/artificial collections
Records: for manuscript collections created by non-Harvard corporate bodies such as hospitals, IPPNW, etc.
harvard university records: for HMS, HSPH/Chan School, and HSDM institutional records
Objects: for single-item or groups of objects such as art, artifacts, specimens, instruments, memorabilia, etc.
Publications: for books/printed materials.

Languages: English (or other language if applicable); Script: Latin

Dates: Dates of creation if known, otherwise leave blank. Remove Date of Transfer if carried over from Accession Record.

Extent:

Portion: Part OR Whole (only use part if adding 2nd extent for digital materials or accrual)
Number: ## or 0.## (always include a leading zero for less-than-zero extents).
- (Hint: .02 cubic feet is a good average for a single folder, could use .01 for a very slim folder and up to .05 for a thick/expanded folder)
Type: cubic feet, Gigabytes, items, volumes, pages, or website.
Container summary: record the number and types of boxes, or indicate network storage for transferred digital files. Do not include parentheses, or periods at end of field content.
- ## records center cartons
- ## records center cartons and ## document boxes
- digital files on network storage

Finding aid data:

Finding Aid Title: [ Creator name authority. Collection title and dates: Finding Aid. ]
Date: [ YYYY-MM-DD ]
Author: [ Encoder's name in direct order ]
Description Rules: Describing Archives: A Content Standard
Language of Description: English
Script of Description: Latin
Language of Description Note: English
Status: Completed

Agents & Subjects:

Check and add any relevant names/subjects
Aim for 3-5 subject headings per collection, okay to add more if particularly subject rich. Be sure to always include the creator name as an access point (so two Agent links for the creator, one Role = Creator and the other Role = Subject).
Remove "Source" agent if one is present from the accession record spawn.
Remember that NAMES (whether personal, corporate body, or family) should be added as an Agent record link (role=subject), not as a Subject record link. This is true even when the heading will include a topical subdivision (like Harvard Medical School – History)

Accessions

If not already linked (which may happen if record was spawned from Accession), link to the Accession Record for this material in Aspace (search for the title).

Notes:

Text editing tips:

Can use either hard-return or tags for separate paragraphs.

For formal titles (publications etc) use <title render="italic">[title goes here]</title>

For hyperlinks use: <extref xlink:href="[url goes here]">[display text for link goes here]</extref>

- Immediate Source of Acquisition
 - Use info from accession record. Language to use:
 - [Gifted OR Transferred] to the [Harvard Medical Library OR Boston Medical Library] by [donor/transferring office name] in [YYYY] (Accession #[YYYY-###]).
 - Purchase, [name of seller], [YYYY] 
- Preferred Citation [Title, dates. H MS cXXX.] Harvard/Boston Medical Library, Francis A. Countway Library of Medicine, Boston, Mass.

- Biog/Hist (Change the Label to EITHER Biographical Note or Administrative History)
  - Example of a bio note with minimal creator information available:
    - Ellen Lucy Moyle (1876-1956) (later Ellen Kellogg) was born in Raymond, Wisconsin on 15 August 1876. The 1900 U.S. Census identified her as white. She married Marcus Kellogg and had one child, Lucy May. Moyle was a patient of Clark I. Miller of Whitewater, Wisconsin, and a resident of La Grange, Walworth, Wisconsin in 1895.

- Scope & Content
  - Using the "Content Description" field from the Accession Record (if one exists) as a starting point, briefly describe the record types and formats and content of the material. Limit your description to a short paragraph.

- Conditions Governing Access
 - Collection is open for research. Access requires advance notice. Contact <extref xlink:href="https://www.countway.harvard.edu/chom/research-and-access">Public Services</extref> for further information.

- Conditions Governing Use (choose one option below)
 - Public domain. [Use for works from authors who died before 1948, OR Works created before 1898.]
 - The [Harvard/Boston] Medical Library does not hold copyright on all materials in the collection. Researchers are responsible for identifying and contacting any third-party copyright holders for permission to reproduce or publish. For more information on the Center's use, publication, and reproduction policies, view our <extref xlink:href="https://www.countway.harvard.edu/center-history-medicine/policies/reproduction" >Reproductions and Use Policy</extref>.

- Processing Information -
 - Label: Alma ID
 - Content: [9 digit Alma ID]
- Processing Information - (2nd note)
 - Label: (leave blank)
 - Processed by [processor's name] in [Month, YYYY]. Collection was processed according to Level 1 protocol. [If applicable add any other details regarding physical processing, rehousing, etc].

If relevant add:

- Arrangement
- Other finding aids (to note local inventories)
- Related Collections (Label = "Related Collections in the Francis A. Countway Library of Medicine, Center for the History of Medicine" or "Related Collections at Other Institutions")
- Separated materials (to note related WAM objects, etc)

Instance: Mixed Materials, Box #, Barcode if going offsite, Location.

For Small Collections/accessions box, may need to use "Browse" and search for "small collections".

Collection Management: Processing status: Completed (Level 1)

PUBLISH ALL

PUBLISH the creator Agent record

Cataloging

Bib Record

Create using MED DACS template (don't forget to add dates/country in 008 and check the Leader)

Holdings

852 8_ $b MED $c RAREB/HDRB $h [call number]

506 _ _ $a Collection is open for research. Access requires advance notice. [Add restriction info if needed]

[Delete 908 if present]

Items

Add "dummy" item with Item Policy = 91, and enter the call number in the

Tracking sheets

Update FY##_Tracking (Proc & FA)
EADID list
Add to FA libguide?