Assigning Office Names and Numbers to Departments

Introduction

The Center for the History of Medicine, Countway Library, holds the archives of the Harvard Medical School, Harvard T.H. Chan School of Public Health, and Harvard School of Dental Medicine.

The Center assigns office codes to creating entities and numbers to archival series to control holdings and their relationships to functions and creators.

Prior to 2000, a “call number” was used to denote the subject matter (series and creator) and shelf location of holdings. The current, more flexible framework separates creator, record series, and physical location and can accommodate change as well as ongoing accretions to open series.

A system entry has the following components:

Official office name and number code (section 2)
Series number (section 3)
Location (section 4)

How to Create an Official Office Name and Number Code

The function of the official office name and number code is to bring related creators (or “entities”) together for the purpose of convenient reporting on the records and activities of related offices. While this could be done with names alone, it is far more convenient to manage as an alpha numeric code. Official name numbers are maintained in "Accessions_CollectionNumbers.xls", located here: N:\Collections\07_Collections_Databases_and_Lists. Instructions for how to create an office code within this document are below.

Offices are identified by an alphanumeric code based on their parent organization and where they are hierarchically situated. The first piece of the code is a letter prefix for the school from which the records originate:

Harvard Medical School is identified by the letter “M” (M-)
Harvard School of Dental Medicine is identified by the letter “D” (D-)
Harvard School of Public Health is identified by the letter “P” (P-)

The second piece of the code is a two-letter abbreviation for the “topmost” office of origin in a particular school, whether a strictly administrative office (e.g. Financial Administration), an academic and clinical office (e.g. Program in Medical Education), or an advisory group (e.g. the Board of Fellows). For example:

AD = Administrative Departments
- Example:
AP = Academic Programs?
- Example:
CD = Clinical Departments

Example: M-CD = Harvard Medical School, Office of Clinical Departments

CE = Centers
- Example:
CL = Countway Library
DE = Office of the Dean

Example: M-DE = Harvard Medical School, Office of the Dean

GE = Graduate Education
- Example:
ME = Medical Education
- Example:
SD = Basic Science and Policy Departments

Example: M-SD = Harvard Medical School, Office of Basic Science and Policy Departments

Note: There are times when a unit might not fit the above structure. For example, the New England Primate Research Center was assigned M-NE01 and not a CE archival code. The NEPRC was a high-level unit that did not report to a department, they reported the Dean, therefore, it deserved its own high-level office code. For the most part, centers are usually part of an existing department.

Note: Only create an "Office of the Dean for xxxx" if that dean has a completely different function than the rest of the office. Otherwise, call the unit the "Office of xxxx" and archive the dean's records as 1053a. Always make sure to note in the Excel folder list file name which dean the records are associated. For example: Acc. 2008-057 (Bray).xls

Where possible, the two-letter alpha code for similar offices in different schools should be the same. (For example DE should be the code for the Office of the Dean regardless of the school: M-DE; D-DE; and P-DE.)

The third part of the code is a two-digit number for a subunit of a particular office (essentially, the next office “down” on the organizational chart). The fourth part of the code is a number for “a sub-unit of a sub-unit,” identified by a decimal point and another two-digit number.

Note that this structure permits the expression of offices that are “four levels deep.” Series titles for units below this level will include the name of the unit in the series title itself and are not assigned codes.

Generally, office codes are not assigned until contact has been established with the office. At the point where information about contacts or records is added to "Accessions_CollectionNumbers.xls", the office code will be needed. Parent offices will be assigned codes as needed to establish codes for their children, or reporting, offices.

Examples
HARVARD MEDICAL SCHOOL M

Academic Programs: M-AP

Office of the Associate Dean for Research M-AP04

Sponsored Programs Administration M-AP04.01
Office of Technology Licensing & Industry Sponsored Research M-AP04.02

Basic Science and Policy Departments: M-SD

Council of Department Chairs M-SD01
Department of Social Medicine M-SD02

Clinical Departments M-CD

Department of Surgery M-CD02
Department of Anesthesia M-CD03

Assigning a Code in Accessions_CollectionNumbers.xls

The procedure for creating codes for offices in "Accessions_CollectionNumbers.xls" is as follows:

Review available information concerning office history on website and school timelines. Also check HOLLIS and Alma to determine if records have been previously catalogued under this department’s name.
Determine if an office name code has already been established for this department or another version of this department (i.e. historical or updated). Use the following tables as a guide:
- HMS Office Codes
- HSDM Office Codes
- HSPH Office Codes
When assigning an Archival office number for the first time, use the

Main Entry Authority Work Form (PDF) to establish the official name for the office. File hard copy of paperwork in Authority File.

Series Names and Numbers

A series is a group of similar records that are arranged according to a filing system and that are related as the result of being created, received, or used in the same activity.[1] Series numbers are unique, five-digit numbers that identify discrete groups of records throughout their lifecycles, regardless of changes to the name of the series itself. Each series that results from a specific function or activity is assigned its own unique number. Numbers are assigned in sequential order, with each new series receiving the next number available; the numbers have no inherent meaning. Assignment of series numbers is accomplished in Accessions_CollectionNumbers.xls. Instructions for creating series numbers can be found at the end of this section.

The Harvard University General Records Schedule should guide the identification of archival records into series. The GRS is arranged functionally, and in general, the function of records guides the identification of series names. When appropriate, series names and descriptions should be taken directly from the GRS.

Examples:

HUGRS 1025: Standing Committee Membership Records
HUGRS 2125: Donor Records
HUGRS 0250: Environmental Health and Safety Records

Some records have established series names that predate the GRS. When appropriate and when the function of the records has not significantly changed, updated series names based on the GRS should be used to identify new accessions to a collection.

Example:

A series historically accessioned as “Photographs,” should be called “HUGRS 1655: Publication Visual Resource Records” as a new accession.

Other accessions may include records that are a mix of different series and it may not make sense to arrange them into smaller more specific series. In this case it may be acceptable to describe a series as the “Records” of a department. However, this should be reserved for accessions that are collections of assorted that cannot easily be separated into series.

Series numbers, used in conjunction with office codes, provide a rapid way to identify the origin, function, and content of holdings.

Examples:

Accreditation records 00122
Course records 00023
Records 00030

Rule: Assign a series number when a series has been identified in an office and information about the series is entered into Accessions_CollectionNumbers.xls.

Rule: When the responsibility for a series is moved to a new creating office, continue to use the existing series number as long as the function and content of the series remains substantially the same.

Rule: If function and content changes significantly, establish a new series title and series number. Render the former series number defunct in the Arch Series #s sheet in Accessions_CollectionNumbers.xls.

Rule: Defunct series (non-continuing series) are identified with an “x” after the series number.

Examples:

M-DE01/00001 (HMS Office of the Dean/Executive correspondence)
D-AD05/00002 (HSDM Department of Orthodontics/Program development files)
M-DE06/00112 (HMS Office of Communications and External Relations/Publication Visual Resource Records)
P-AA02/00146 (HSPH Office of Academic Affairs/Faculty Records)

To create series numbers, use Excel file Accessions_CollectionNumbers located here: N:\Collections\07_Collections_Databases_and_Lists

The procedure for creating series numbers is as follows:

Arch Series #s sheet: scroll down the list of collections to find the next five digit number in the list of archival collections. Add the series title and next series number on the list as a new entry to the sheet.

Location Designations

Location is indicated by an alphanumeric number encoded with row, unit, and shelf location (for records in the stacks) or by the code “HD” (for records stored at the Harvard Depository). This information is maintained in the ArchivesSpace accession record, as well as on the Accessioning Checklist.

Rule: Newly accessioned records are assigned a location when they are moved from the “New Accessions” area of the stacks to regular stacks storage or shipped to the Harvard Depository.

Rule: As existing holdings are processed and moved out of call number order, they are assigned a location in the stacks or Depository as above.

Changes to Series Numbers, Office Codes, and Locations

The structure of the school changes periodically. Changes will be made to name authority tables or office codes at the point in time when a records action is initiated, that is, when additional records are surveyed, acquired or processed and described.

Most changes will relate to the name of the entity only and will require changes solely to HMS/HSDM/HSPH office code sheets in Accessions_CollectionNumbers.xls.
If structural changes include the transfer or alteration of functions, the office code may be rendered defunct and a new office code assigned. Such changes will be recorded in the HMS/HSDM/HSPH office code sheets. In cases where an ongoing series is unchanged, it will continue to have the same series number. Holdings under the old office code will continue to be identified by that office code, thus these series will be linked to two office codes.
If the series also changes as a result of the office’s change in function, the series will be rendered defunct and a new series and series number will be created. To identify non-continuing series, place an “x” after the series number. [Please note that as of December 2011, this rule has never been applied.]
If the only change is the office name and there are no changes to the office structure/function, update the N: drive control file name to the new office name.

EXAMPLE

Was:

Department of Pathology (1990-1998): M-AD08 (defunct office, merged with Dept. of Microbiology and Immunobiology; not used for records created after 2011)

Now:

Dept of Microbiology and Immunobiology (2011- ): M-XXXX (new department)

EXAMPLE

A structural change occurred in 1998 that merged facilities and planning functions.

Was:

Planning Office (1847-2011): M-CD03 (defunct office, merged with Department of Biochemistry; not used for records created after 2011)

Was:

Facilities (1990-1998): M-AD07 (defunct office; not used for records created after 1998)

Now:

Planning and Facilities (1998- ): M-AD02

As a part of this change, the function of recruiting basic science faculty members was moved from the Planning Office to Financial Operations and Analysis. The function and records documenting recruitment planning have not changed, so the series number will remain the same. The series will be linked to its two creating offices.

Official Names and Office Codes: Series identified as:

Planning Office (1990-1998): M-AD08 Recruitment files (1990-1998) AD08/0040
Financial Operations and Analysis (1990- ): M-AD03 Recruitment files (1998- ) AD03/0040