Archival cataloging using ISAD-G

Archival Cataloging
using ISAD (G)

by
Fe Angela M. Verzosa
famverzosa@yahoo.com

Seminar-Workshop on Organizing and Digitizing Library Archival Materials:
ISAD (G) and Technology
September 27-28, 2012
Colegio de San Agustin, Bacolod City

What are archival collections?

Collections of archival records, manuscripts and
personal papers are distinct groupings of records
defined by format, content and creating agency.
Generically, we will refer to all collections of enduring
value as “archival collections.”
However, it is important to understand the differences
between records, collections and papers as these
differences may manifest during the arrangement,
description and cataloging processes.

Fe Angela M. Verzosa 2

Types of archival collections
archival records generally are groups of
documents created by organizations or
institutions that are kept because they have
enduring ‘long-term value’.
“Personal Papers” are collections of
documents created by individuals or families.
“organic collections” refer to groups of
documents or records that grew naturally as
the result of the record creator’s activities.
They include the letters, reports, and other
documents that a person or organization
accumulates and files as they go about their
business


What are ‘manuscript’ collections?
“Collection” generally means an artificial
assemblage of documents accumulated
on the basis of some common
characteristic without regard to the
provenance of those documents.

Oftentimes called “Artificial Collections”
or “Assembled Collections” to refer to
groups of individual documents that were
created by different persons or
organizations, and assembled later from
multiple sources. The documents bear no
organic relationship to each other. E.g.

Single pieces of handwritten documents
Literary Remains
Collections of Events
Records of an organization collected and
brought into the archives or library for
research

Arrangement
the most important step in managing an archival or
manuscript collection.
“Arrangement is the process by which a collection of
any size is brought under both intellectual and
physical control.”
“Arrangement is the intellectual and physical
processes and results of analyzing and organizing
documents in accordance with archival principles.”
Effective cataloging and access is possible only if a
collection has been arranged.


Principles in arrangement
Provenance- refers to the individual, group/
office, or organization that created the
records.
Also known as office of origin, or source

Principle of provenance:
~the records of one organization or individual
remain together. They must never be mixed
with the records of another organization or
individual.
Also relates to the chain of custody or ownership of a collection.

Principles in arrangement
Principle of Original order – or Respect de l'ordre
primitif in French, Registratorprinzip in German,
refers to the original order of arrangement

“records are to be maintained in records/archives
repositories in the same scheme of order and with the
same designations they received in the course of the
business of their office of origin and primary use. “

Emphasis is to maintain the “original order”, the way in which
the records were originally organized and filed. If no discernible order,
or it is impossible to re-establish the original order, then use common
sense, ordinary logic, and a basic familiarity with archival
principles to impose a new order. M. Verzosa
Fe Angela 7

5 Levels of Arrangement
Fonds or record group ~ the whole of the records,
regardless of form or medium, organically created
and/or accumulated and used by a particular person,
family, or corporate body in the course of that
creator's activities and functions.
e.g. Papers of J. P. Laurel, Adams Family Papers,
Records of the Board of Trustees of DLSU
Sub-Fonds - Subordinate administrative unit under
the fonds or record group
Series ~the basic unit which refers to a set of
documents resulting from the same function or
activity, or having a common form or relationship
arising from their creation, receipt or use.
e.g. Election Campaign Materials, Land Cases,
Speeches, Diaries, Correspondences, Scrapbooks 9
Fe Angela M. Verzosa

5 Levels of Arrangement
File ~ an organized unit of documents grouped
together either for current use by the creator or in the
process of archival arrangement, because they relate
to the same subject, activity, or transaction. A file is
usually the basic unit within a series.
e.g. Presidential Election 1949, Senatorial Election
1953, Senatorial Election 1957
Item ~ the smallest intellectually indivisible archival
unit, a single document or record
e.g., a letter, memorandum, report, photograph, sound
recording.

5 Levels of arrangement
Subordinate
administrative unit
under the fonds or Fonds or
record group Record group

Sub-group Sub-group Sub-group

Series Series Series

File Sub-series
Basic unit which refers to a set of
documents resulting from the same Item File
function or activity, or having a
common form or relationship arising item
from their creation, receipt or use. Fe Angela M. Verzosa 11


Fonds Board of Trustees

Sub-Fonds Committees Secretariat Advisors

Series Minutes of Correspondence Reports
Meetings

(Sub-series) President/Chancellor

File 1990-1995 Annual reports

Item Letter from
Fe Angela M. Verzosa 2011 12
Pres. Luistro


Jose P. Laurel Papers

Pre-Presidential Presidential Senatorial

Circulars
Campaign Speeches and
Correspondence
Material addresses

Incoming letters Outgoing letters

Benigno Aquino Sr.

Letter requesting release of funds, M.31 March 1944
Fe Angela Verzosa 13

Proper arrangement
During analysis of records, determine if
“organic”, functional record series exist
(e.g. correspondence, research notes,
project files, organizational reports,
publications, etc.)
Identify arrangement schemes used in the
past : alphabetical, chronological, numeric…

If more than one arrangement scheme,
choose the most logical, most recent, etc.

Series are grouped based on one or more of
the following elements:

physical type of document ~ such as journals,
account books, photographs, clippings
subject matter or function or activity ~ such as
election campaign, legal cases and decisions,
Japanese Reparations, Laurel-Langley Treaty
time frame ~ Presidential Campaign 1949,
Presidential Campaign 1953, Pre-war Records
source – such as Laurel – Recto Correspondence
Series, Bureau of Insular Affairs Files, Supreme
Court Files


What is archival description?

Archival description is “the process of capturing,
collating, analyzing and organizing any information that
serves to identify, manage, locate and interpret the
holdings of an archival institution and explain the
contexts and record systems from which these
holdings were selected” (Definition from the Society of
American Archivists)
Description ~ “the process of establishing intellectual
control over holdings of an archival institution through
preparation of finding aids”
(From: http://www.archives.gov/research/alic/reference/archives-
resources/terminology.html)Angela M. Verzosa
Fe 16

Access tools or ‘finding aids’
inventories (description used for archival
records; include preface, introduction, agency
history, scope and content note, administrative
information, colophon, series description,
container listing)
container and folder lists
card catalogs
databases
guides (provide a summary or general
description of the contents of an archival
collection)
calendars (refer to a chronological listing of
documents in a collection)
indexes
registers (description M. Verzosa for personal papers)
Fe Angela used 17

Sample Finding Aid
Collection Summary
Title: Thomas Jefferson Papers
Span Dates: 1606-1943
Bulk Dates: (bulk 1775-1826)
ID No.: MSS27748
Creator: Jefferson, Thomas, 1743-1826
Extent: 25,000 items; 225 containers plus 9 oversize; 90 linear feet; 65
microfilm reels
Language: Collection material in English
Repository: Manuscript Division, Library of Congress, Washington, D.C.
Abstract: United States president, vice president, and secretary of state;
diplomat, architect, inventor, planter, and philosopher. Correspondence,
official statements and addresses, including a rough draft of the
Declaration of Independence, plantation and personal accounts,
notebook, fee book, case book, garden book, farm book, calculations of
interest, records of early Virginia laws
and history and other writings on political, legal, educational, and scientific
matters, newspaper clippings, and other papers.

Collecting Data for a Finding Aid
What is the name or title of the collection?
Who created the material and for what
purpose?
What dates does it cover?
How much material is there?
What genres or formats are represented?
How did it come into the repository’s control or
possession?
Who or what was the immediate source of the
acquisition?

Collecting Data for a Finding Aid
Are there restrictions on access or
reproduction?
Has it been assigned a unique identiication
number for tracking within the repository?
What storage location will be used for the
material?
Have any materials been separated for transfer
to other units in your repository?


Developing standards in archival description
In 1993 the International Council on
Archives produced an International
Standard for Archival Description
[ISAD(G)]
The second edition was adopted by
the ICA Committee on Descriptive
Standards at Stockholm, Sweden, 19-
22 September 1999
Published during the XIVth
International Congress on Archives in
Seville, Spain in September 2000.


What is ISAD (G) ?
A standard published by the International
Council on Archives that establishes general
rules for the description of archival materials,
regardless of format, to promote consistent
and sufficient descriptions, and to facilitate
exchange and integration of those
descriptions.
It defines the elements that should be
included in an archival finding aid.
Source: http://www2.archivists.org/glossary/terms/g/general-international-
standard-for-archival-description Fe Angela M. Verzosa 23

Aims of ISAD(G)
To define and control the structure of
archive finding aids
To define and control the content of
archive finding aids

Note: This standard provides general
guidance for the preparation of archival
descriptions. It is to be used in conjunction
with existing national standards or as the
basis for the development of national
standards.

Archival description is hierarchical and multi-level
in structure. That is, it must be made up of a
number of levels, and must follow the four rules of
multi-level description.

HIGHEST
Fonds Description of the whole archive
level LEVEL
Descriptions of
Series component parts within
level
the archive
Descriptions of smaller
File component parts within
level the archive
Descriptions of
each
Item
individual record within LOWEST
level
the archive
LEVEL

Define and control the structure…
Rule 1 ~ From General to Specific
“At the fonds level give information for the fonds as a
whole. At the next and subsequent levels give
information for the parts being described. Present the
resulting descriptions in a hierarchical part-to-whole
relationship proceeding from the broadest (fonds) to
the more specific.”
Purpose:
To represent the context and the hierarchical
structure of the fonds and its parts.
Levels of description within finding aids should move
from a general description of the archive as a whole
at the highest level to a specific description of each
individual ‘record’ or ‘item’ at the lowest level of
description.

Rule 2 ~ Information relevant at the level of
description
“Provide only such information as is appropriate to the
level being described.”
Purpose:
To represent accurately the context and content of the
unit of description.
For example, do not provide detailed file content
information if the unit of description is a fonds; do not
provide an administrative history for an entire
department if the creator of a unit of description is a
division or a branch.

Rule 3 ~ Linking of Descriptions
“Link each description to its next higher unit of
description, if applicable, and identify the level of
description.”
Purpose:
To make explicit the position of the unit of description
in the hierarchy.
information if the unit of description is a fonds; do not
provide an administrative history for an entire
department if the creator of a unit of description is a
division or a branch.

Rule 4 ~ Non-repetition of information
“At the highest appropriate level, give information that
is common to the component parts. Do not repeat
information at a lower level of description that has
already been given at a higher level.”
Purpose:
To avoid redundancy of information in hierarchically
related archival descriptions.
information if the unit of description is a fonds. Do not
repeat information at the item level that has already
been provided at the collection or series level.

Levels of description

FONDS
LEVEL
FONDS

SERIES
LEVEL SERIES SERIES SERIES

FILE
FILE FILE FILE FILE FILE FILE
LEVEL

ITEM
LEVEL
ITEM ITEM


Multi-level Description: First Level
Describes the entire collection in a very
general way.
Provides overview of the types of material.
Points out significant people and subjects
represented.
Provides provenance and access
information.
May include a biographical sketch or
agency history and a scope and content
note that describes the collection in its
entirety.

Multi-level Description: Second Level

Focuses on groupings of material within the
collection.
Describes each in more detail than done at the
first level.
Highlights more specific material types and
additional individuals and subjects
represented.
May be represented in finding aid by narrative
description of series or subseries within the
whole.


Longfellow Family Papers - Series


Multi-level Description: Third Level
Each file or possibly
each item, may be
described.
Often takes the form
of a container or
folder list.
These lists explicitly
lay out the intellectual
hierarchy of the
materials

Define and control the content
ISAD(G) names 26
different ‘elements’ that
archivists can use within
their finding aids to record
descriptive information
These data elements are
for use at any level of
description.


ISAD— 26 elements in seven areas:
1. Identity Statement Area (information to identify the
unit of description)
2. Context Area (information about the origin and
custody of the unit of description)
3. Content and Structure Area (information about the
subject matter and arrangement of the unit of
description)
4. Condition of Access and Use Area (information about
the availability of the unit of description)
5. Allied Materials Area (information about materials
having an important relationship to the unit of
description)
6. Note Area (information that cannot be accommodated
in any of the other areas.)
7. Description Control Area (information on how, when
and by whom the archival description was prepared)

At collection level description
Minimum ISAD(G) for collection level are:
Reference Code (country code,
repository code, local repository archive
code, other associated numbers)
Title
Date of Creation of Material
Level of description
Extent

3.1 Identity statement area
3.1.1 Reference code(s) ID No.: MSS27748
3.1.2 Title Thomas Jefferson Papers
3.1.3 Date(s)
3.1.3.1 Date(s) of creation Span Dates: 1606-1943
of the structure of u/d (bulk 1775-1826)
3.1.3.2 Date(s) of contents
of the unit of description
3.1.3.3 Date of last input
3.1.3.4 Date of last access

3.1.4 Level of description Fonds
3.1.5 Extent of the unit of 25,000 items; 225 containers plus 9
description (quantity, bulk, oversize; 90 linear feet; 65
or size) microfilm reels

3.1.2 Title General Correspondence and
3.1.3 Date(s) Related Material, 1651-1827
3.1.3.1 Date(s) of creation
of the structure of u/d
3.1.3.2 Date(s) of contents 1651-1827

3.1.4 Level of description Series
3.1.5 Extent of the unit of 57 microfilm reels
description (quantity, bulk,
or size) Fe Angela M. Verzosa 43

3.1.2 Title Undated
3.1.3 Date(s)
3.1.3.1 Date(s) of creation
of the structure of u/d 1651-1827
3.1.3.2 Date(s) of contents

3.1.4 Level of description File
3.1.5 Extent of the unit of
description (quantity, bulk, 1 microfilm reel (Reel 56)
or size) Fe Angela M. Verzosa 44

3.2 Context Area
3.2.1 Name of creator Jefferson, Thomas, 1743-1826
3.2.2 Administrative/ United States president, vice
biographical history president, and secretary of state;
diplomat, architect, inventor, planter,
and philosopher.
3.2.3 Archival history History of the Collection
(if acquired directly from [From Index to the Thomas Jefferson
creator, record the info in Papers (Washington, D.C.: 1976), pp.
3.2.4) vii-xvii]

3.2.4 Immediate source Gift and purchase, from various
sources, 1901-2000, and by transfer
of acquisition or
from the United States Department of
transfer State in 1904.

3.3 Content and Structure Area
3.3.1 Scope and content Correspondence, official statements
and addresses, including a rough
draft of the Declaration of
Independence, plantation and
personal accounts, notebook, fee
book, case book, garden book, farm
book, calculations of interest,
records of early Virginia laws and
history and other writings on
political, legal, educational, and
scientific matters, newspaper
clippings, and other papers.

3.3.2 Appraisal, For permanent preservation.
destruction and
scheduling information
3.3.3 Accruals No accruals expected.

3.3.1 Scope and Content Element
may include information about any or all of the following:

the function(s), activity(ies), transaction(s), and
process(es) that generated the materials being
described
the documentary form(s) or intellectual
characteristics of the records being described
(e.g. minutes, diaries, reports, account books,
documentaries)
the time period(s) covered by the intellectual
content or subject of the unit being described
geographic area(s) and places to which the
records pertain
subject matter to which the records pertain, such
as topics, events, people, and organizations

3.3.4 System of Arrangement
Specify the internal structure, order and/or system of
classification of the unit of description
This element must be completed for each level of
description above the file unit level. At the collection
level, this is the arrangement for the Jefferson Papers:


At the series level, this is the
arrangement for the Jefferson Papers:


3.4. Conditions Of Access
and Use Area
3.4.1 Conditions The Jefferson Papers are
governing access open to research.
3.4.2 Conditions on The status of copyright in the
reproduction unpublished material in the
collection is governed by the US
Copyright Law.
3.4.3 Language/ Collection material in
scripts of material English
3.4.4 Physical To promote preservation of
characteristics and originals, users are required to
use the microfilm edition of the
technical collection as available
requirements
3.4.5 Finding aids

3.5 Allied Materials Area
3.5.1 Existence and Manuscript Division, Library of
location of originals Congress, Washington, DC, USA

3.5.2 Existence and Series 1-9 in 65 microfilm reels; online
location of copies content is available in the Library of
Congress website
(http://memory.loc.gov/ammem/collecti
ons/jefferson_papers/ )
3.5.3 Related units of See also The Jefferson Papers in the
description University of Virginia Library’s Special
Collections:
http://guides.lib.virginia.edu/TJ

3.5.4 Publication note Boyd, Julian P., et al, eds. The Papers
of Thomas Jefferson. Vols. 1-.
Princeton: Princeton University Press,
1950-


3.6 Notes Area
3.6.1 Note ~ to provide information that cannot be
accommodated in any of the other areas. E.g
Also known under the title:
Thomas Jefferson Papers at the Library of Congress (Fonds)


3.6 Notes Area
Consider making Notes about:
Source of a transcribed title, if other than a title
page
Dates of:
Publication or copyright appearing on a literary
manuscript
Delivery of a speech or other presentation
Originals from which a copy was made
Annotations
Acquisition and assembly of bound collections
Accompanying material
Handwritings
Unusual writing implements, writing surfaces, or
bindings Fe Angela M. Verzosa 53

3.7 Description Control Area
3.7.1 Archivist’s Note Arranged and described by
Manuscript Division staff,
Library of Congress
3.7.2 Rules or
Conventions Based on Rules for Archival
Description (RAD)

3.7.3 Date(s) of Finding aid encoded by the
Descriptions Library of Congress
Manuscript Division in 2009


Congratulations!
We are done!


Questions?

famverzosa@yahoo.com

Archival cataloging using ISAD-G

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