LEGISLATIVE RECORDS AT THE CALIFORNIA STATE ARCHIVES:

PROCESSING THE PAPERS OF STATE LEGISLATOR MICHAEL MACHADO

A Project

Presented to the faculty of the Department of History

California State University, Sacramento

Submitted in partial satisfaction of the requirements for the degree of

MASTER OF ARTS

in

History

(Public History)

by

Ignacio Sanchez-Alonso

SUMMER 2016

© 2016

Ignacio Sanchez-Alonso

ALL RIGHTS RESERVED

ii

LEGISLATIVE RECORDS AT THE CALIFORNIA STATE ARCHIVES:

PROCESSING THE PAPERS OF STATE LEGISLATOR MICHAEL MACHADO

A Project

by

Ignacio Sanchez-Alonso

Approved by:

______, Committee Chair Patrick Ettinger, Ph.D.

______, Second Reader Jeff Crawford, M.A.

______Date

iii

Student: Ignacio Sanchez-Alonso

I certify that this student has met the requirements for format contained in the University format manual, and that this project is suitable for shelving in the Library and credit is to be awarded for the project.

______, Graduate Coordinator ______Patrick Ettinger, Ph.D Date

Department of Public History

iv

Abstract

of

LEGISLATIVE RECORDS AT THE CALIFORNIA STATE ARCHIVES:

PROCESSING THE PAPERS OF STATE LEGISLATOR MICHAEL MACHADO

by

Ignacio Sanchez-Alonso

Statement of Problem

The California State Archives received the records of State Legislator Michael Machado through several different accessions and had not been previously arranged or described. The Michael

Machado collection contained material on a variety of paper mediums. The ultimate goal of the

California State Archives is to make collections accessible to patrons. The intern arranged, described, and preserved the records in accordance with proper archival methods and principles, providing greater accessibility of the records.

Sources of Data

Several sources were employed to complete this project. Sources include the Michael Machado

Papers at the California State Archives, legislative publications, articles, professional manuals, institutional manuals created by the California State Archives, the California State Archives website, and archival related publications.

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Conclusions Reached

The arrangement and description of the Michael Machado Papers provided the public with greater access to the records and ensured their long-term preservation by using the proper preservation methods for the different types of material found within the collection. Once uploaded to the

Online Archive of California potential researchers across the country will have access to the collection’s finding aid.

______, Committee Chair Patrick Ettinger, Ph.D

______Date

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ACKNOWLEDGEMENTS

This project took an immense amount of time and dedication. The entire staff at the California State Archives was extremely patient and helpful with me, I could not have completed this project without their guidance. I would especially like to extend my gratitude to Jeff Crawford, the processing coordinator who helped me select my collection. His willingness to help me find a collection that suited my interests made processing the collection very exciting. Writing the finding aid for this collection was the most difficult task. I want to thank Andrew Hyslop and Lisa Prince for their help in writing the finding aid. Their incredible attention to detail made the writing process a success. I also owe a great deal of gratitude to Dr. Ettinger, he encouraged me to stay in the program when I felt I would not be successful. I would also like to thanks all the friends I have made in the program, you have made my experience that much more memorable, especially baby Paul. I want to thank my family for their continued support and understanding. Lastly I want to say thank you to Amanda Weyer for her continued support throughout this entire project, your words of encouragement helped a lot during many stressful occasions.

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TABLE OF CONTENTS Page

Acknowledgements ...... VII

Chapter

1. PREFACE ...... 1

2. INTRODUCTION ...... 4

3. LEGISLATIVE BIOGRAPHY ...... 12

4. METHODOLOGY ...... 14

Appraisal for Acquisition ...... 15

Accessioning Archival Records ...... 19

Before Processing ...... 23

Appraisal for Selection ...... 27

Arrangement ...... 31

Processing the Collection ...... 34

Description ...... 37

5. FINDINGS AND CONCLUSION ...... 42

Appendix A. Guide to the Michael Machado Papers, 1995-2008 ...... 44

Appendix B. Sample Processing Checklist ...... 55

Appendix C. Sample Processing Plan Worksheet ...... 57

Appendix D. Sample Separation Sheet ...... 59

Bibliography ...... 61 viii

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Chapter 1

PREFACE

This thesis was motivated by my desire to further understand and apply the core concepts of the archival profession. I spent the majority of the Fall 2015 semester processing and writing a finding aid for the papers of former state legislator Michael

Machado at the California State Archives (CSA). The following chapters will detail the process and application of archival standards and concepts while processing the collection. I worked at the California State Archives as a Graduate Student Intern for two years. My duties as the intern included providing reference assistance to researchers, accessioning material, processing collections, and re-filing material. I also participated in a week-long preservation course and was given the opportunity to participate in designing an exhibit. I also participated in public outreach events such as the annual Archives

Crawl and Family History Day. During the inception of this project I was still the graduate student intern at the California State Archives as part of the Public History

Program at CSUS. Thus the decision to write about processing and arranging an archival collection seemed logical.

The California State Archives holds a variety of collections, including: governor’s records, legislative records, state agencies’ and departments’ records, and Supreme Court and Appellate Court papers. The rules for processing of records from each branch of government differs at the State Archives. Also, the method for processing legislators’ collections differs from processing the records of a legislative committee. Most

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importantly, the State Archives is required to keep nearly everything a legislative committee sends to them, while working on a legislators’ collection archivists have more freedom when it comes to deciding what should be kept and why. For that reason, Jeff

Crawford suggested that arranging a legislator’s collection would give me a better experience for my thesis. Working with a legislator’s collection would allow me to apply all the archival knowledge I had acquired during my time at the State Archives. Finding a collection that would be ideal for my thesis project, however, was not a straightforward process.

The first collection I processed at the California State Archives was the Senate

Health Committee Records, which consisted of sixty-eight cubic feet of Bill Files and

Hearing Files. Once I completed that collection, I met with the Processing Coordinator and we discussed what collection would be best for me to process next. There were several things that we considered when selecting a new processing project. We looked for a collection that was a manageable size. We did not want to start a collection that would be too large and take up too much time, and we did not want a collection that was too small. We also had to ensure that the collection had a Deed of Gift that had transferred ownership to the State Archives without restrictions. The State Archives only processes collections that have no restrictions. The first collection I considered for this project was the Nell Soto Papers, for which the State Archives did have a Deed of Gift. However after consulting with the Legislative Records Archivist, it was discovered that due to her unexpected death Legislator Soto had not signed the deed of gift herself. In order to avoid any legal issues, the decision was made not process the Soto Papers until the

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appropriate party signed the deed of gift. The next collection I focused on was the

Michael Machado Papers. This particular collection met all of the criteria: it was a management size, had a signed deed of gift, and it had more than one record potential series. Once the collection was deemed ready for arrangement, I moved the thirty-two cubic feet of material into the processing lab and began examining the material. Machado represented Senate district 17 and Assembly district 5. The unprocessed Michael

Machado Papers consisted of thirty-two cubic feet and three discernible series: Bill Files,

Invitations, and the California Sesquicentennial Investigation Files. Most of the material in the Machado collection was textual in nature.

This work will consist of four chapters. The introductory chapter will focus on the history of the California State Archives and introduce the core concepts of the archival profession. The legislative biography chapter will focus on Michael Machado and his time as a California State Legislator. Next, the methodology chapter will focus on the process of arranging and describing the Michael Machado Papers. The practice of arrangement and description can be intimidating which is why so much effort goes into the initial preparation. The California State Archives developed a twenty-four-step checklist to guide archivists during processing. The processing checklist acts as a road map for archivists, and the step-by-step method ensures every finding aid and collection is processed and described to the same standard. I used the processing checklist to help me write the methodology chapter. The final chapter will be the conclusion and findings of this project. I approached the writing of this work as I would the drafting of a finding aid.

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Chapter 2

INTRODUCTION

When someone hears the word “archives”, they probably imagine a person buried up to their nose in old dusty books and papers, deep in the basement of some museum.

This was the image I thought of when I was first introduced to the term, and that image was the very thing that attracted me to the archival profession. I wanted to be alone with my work where no one would bother me. Sitting deep inside the basement of a museum surrounded by dusty books, sounded like the perfect career for me. Of course the very first day of my first archival internship quickly washed that image from my mind. I was introduced to a fast-paced environment where communicating with people is the heart of the profession. As it turned out, I enjoyed archival work and I was glad I was able to share the work I was doing with the public.

Processing, as it will be used in this work, is defined as the “arrangement, description, and housing of archival material for storage and use by patrons.”1 Processing is a critical part of the archival profession. Through processing the archivist combines everything he or she knows about their institution and collection in order to make the material as accessible and useful as possible for researchers. The goal of processing is optimum access. Before processing can commence, the archivist must first understand the concept of respect des fonds and original order. In accepting those concepts the archivist

1 Richard Pearce-Moses, A Glossary of Archival and Records terminology (Society of American Archivists, 2005), 27, accessed April 2, 2016, http://www.archivists.org/glossary/term_details?DefinitionsKey+431.

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accepts that processing will be a time and labor intensive task.

Respect des fonds is the principle stating that records created, assembled, and/or maintained together by an individual or organization should not be intermixed in order to preserve their context.2 It may seem logical to separate archival records by subject, however, doing so destroys the intellectual structure of a collection. For example, if one was to separate Machado’s legislation on water and create an artificial collection about the subject, it would be impossible to understand why Machado drafted such legislation.

Original order and provenance are part of the all-encompassing concept of respect des fonds.3

Provenance is a concept closely tied to respect des fonds. Provenance indicates that all records created by one individual, family, or institution should stay together.

Separating archives by subject, date, or any other criteria would destroy the context in which the record was created and diminish the role of the creator.4 Legislative research depends heavily on the principle of provenance. For example, a researcher interested in a piece of legislation Machado drafted would find it impossible to understand his motives and reasoning for writing a particular bill if the collection had been removed from its creator.

Original order is another concept that archivists must adhere to at all times.

Original order refers to keeping records in the order in which they were received.

Original order seems like a straightforward concept but in some instances it can be

2 Elizabeth Duham, “Manuscript and Archival Records Processing Manual,” Arizona State University Library, 7th edition (March 2015): 3. 3 Laura A. Millar, Archives: Principles and Practices (New York: Neal-Schuman Publishers, 2010), 97 4 Ibid,99-99

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difficult to adhere to. Most of the collections at the State Archives have paperwork documenting the creator and order of the collections received. Thus keeping original order is relatively simple. Keeping original order also saves the archivists’ time, because they will not have to spend resources applying an artificial structure to the records.5

Archival institutions vary in terms of size, collecting scope, and mission statement. According to Gregory S. Hunter, the mission of the archivist is to identify records of enduring values, to preserve them, and to make them available to patrons.6

Archival work is demanding and often times the archivist must balance a variety of different projects at the same time. There is an ever-increasing list of skills an archivist has to learn. Some are acquired by trial and error, others can be acquired through education.7 Before an archivist can make any decisions regarding what records should be preserved for preservation or what records hold historical value, the archivist must have an understanding of the institution for which he or she works.

California State Archives

The California State Archives began with the first law from the Statutes of 1850, which designated that the Secretary of State will be responsible for keeping and maintaining any document that pertains to California history. The State Archives are mainly comprised of records from California state agencies and departments, the Governor's Office, the State Legislature, and the State Supreme Court and Courts of Appeal. The archives also hold some personal papers that have been donated. Initially, the archives were housed in the Capitol building along with

5 Millar, 101 6 Gregory S. Hunter, Developing and Maintaining Practical Archives (New York: Neal-Schuman Publishers, Inc) 3. 7 James M. O’Toole and Richard J. Cox, Understanding Archives and Manuscripts (Chicago: The Society of American Archivist, 2006) 131.

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the other functions of the Secretary of State. In the early 1950s, the California State

Archives were moved into the old state printing plant on 10th and “O” streets in downtown Sacramento. From 1993 to 1995 they were temporarily moved to Roseville to allow for the construction of a new building at the location of the printing plant.8 The

170,000 square-foot current building was completed in 1995 and consisted of six floors of environmentally controlled stacks and specialized vaults.9 This complex also houses the Office of the Secretary of State and the California Museum for History, Women and the Arts.10

Today the California State Archives has multiple program areas that ensure that it collects and preserves records with enduring and historical value pertaining to state government. The State Records Appraisal Program allows CSA staff to review record retention schedules and identify, or flag, record series created by state agencies that have potential archival value. If a CSA staff member flags a record series it will be transferred to the California State Archives at the end of its retention period. Just because a record series is flagged by the CSA does not guarantee that it will be deemed to have archival value.11 Archivists only have the description written on a retention schedule to help them determine if a collection is valuable. Those descriptions are not always accurate and upon closer inspection of the records archivists can decide if the selected material has archival value.

8 Jessica Herrick, California State Archives Reference Binder, “Brief History of the Archives,” (2013) 9 “About the California State Archives,” California Secretary of State http://www.sos.ca.gov/archives (Accessed February 19, 2016) 10 Herrick,. 11 “About the California State Archives,” California Secretary of State Archives, accessed February 19, 2016, http://www.sos.ca.gov/archives/programs/state-records-appraisal/

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Recent technological advances have influenced collecting policies throughout the archival community. More of our everyday functions are being recorded electronically.

Email has almost completely replaced paper correspondence and electronic records are much more common in the workplace. In response to the influx of electronic documents the CSA established the Electronic Records Program. The passage of Senate Bill 2067 in the year 2000 required the Secretary of State to implement statewide standards for storing permanent and nonpermanent documents in electronic media.12 The Electronic Records

Program was established to provide records managers with guidelines and resources regarding digital material. Archives staff created an Electronic Records Management

Handbook designed to work in conjunction with the Records Management Handbook to familiarize state agencies with the best records management practices.13

Another program essential to the operations of the State Archives is the

Governor's Records Program. The archives holds over 10,000 cubic feet of records from the governor's office. The material is composed of such record series as executive clemency files, pardons, proclamations, executive orders, speeches, press releases and enrolled bill files. Chapter 503 of the Statutes of 1988 statutes added Government Code section 6268 to the California Public Records Act. The act requires that every gubernatorial administration must now turn over their records to the State Archives once

12 Government Code, Section 12168.7 (a) 13 State and Consumer Service Agency Department of General Services, Electronic Records Management Handbook: State of California Records Management Program (Sacramento: CalRim) 1, Adobe PDF eBook.

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they leave office.14 The Governor's Records Program provides the public with a rich collection of material. However, the most extensive collection in CSA is the legislative collection. The Legislative Records Program consists of legislative committee records, legislator records caucus files, Assembly and Senate hearings, and published resources.

The Court Records Program is another important resource for researchers interested in California history. The Supreme Court and Courts of Appellate records make up the majority of the Court Records Program, with a few exceptions from the

Superior Court. This collection consists of over 25,000 cubic feet of records and they include civil and criminal case files, minutes, and civil and criminal registers of actions.

Aside from paper records, the California State Archives also holds a large collection of audiovisual material. The Audio Visual Records Program oversees material in a variety of formats including motion picture film, VHS videotape, Beta videotape, U-

Matic videotape, audiocassette, DVD, CD, Mini-Disc, 2-inch quad videotape, phonograph, transcription disc, instantaneous disc, Dictabelt, Soundscriber Disc, magnetic tape, and reel-to-reel audiotape.15 The CSA actively digitizes these records so that they are easily accessible and available to the public. For preservation purposes, researchers can only view or listen to tape after a user copy has been made. The

California State Archives is also an active participant of the California Audiovisual

Preservation Project (CAVPP), which works to digitize these types of material to provide

14 “Governors Records,” California Secretary of State, accessed February 19, 2016, http://www.sos.ca.gov/archives/programs/governor/ 15 “Audio Visual Program,” California Secretary of State, accessed February 19, 2016, http://www.sos.ca.gov/archives/programs/audio-visual-program/

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access to and preserve historic California audiovisual recordings.16 CSA has digitized content including photographs, videos, audio, and text files. All of the State Archive’s programs are critical to the function of the institution. All the programs work together towards one goal, which is to provide access.

At the forefront of providing access is the Reference Program. The CSA is open to the public on weekdays and has a large research room for patrons to use. In compliance with the California Public Records Act, the State Archives do not charge guests for conducting research. The archivist on the reference desk ensures that researchers have access to the records housed in the State Archives. They provide scholars with research assistance and educate visitors on the use of indexes and databases. Access is the ultimate goal of archivists. If records cannot be used, then the records might as well be non-existent. The California State Archives is a public institution and must provide access to its holdings to any member of the public. Limited research services are provided at CSA. Services are provided via email, telephone, fax, and mail. In depth research services cannot be provided because the State Archives does not have the staff to perform in-depth research. Researchers are allowed to take photographs of material at no charge. If they require paper copies there is a twenty-five cent fee. The archives staff does all of the copying to ensure records are properly handled and preserved.

Staying true to the public archives tradition, California makes public records open for research as soon as they arrive at the archives. The public archives tradition

16 “California Preservation Program,” accessed February 19, 2016, http://calpreservation.org/projects/audiovisual-preservation/

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began in 1899 with the founding of the Public Archives Commission.17 This tradition's main focus is to make government records available for public research.

From its inception the public archives tradition stated "the documents with which it was concerned—the official records of governments, as opposed to the non-official records of individuals and other non-governmental entities—should be as unreservedly open for use as possible.18" Today, the California Public Records Act and the California Information Practices Act ensure that the public has access to government records.

17 Raymond H. Geselbracht , “The Origins of Restrictions on Access To Personal Papers at the Library of Congress and the National Archives,” American Archivist 49, no. 2 (Spring 1986): 153. 18 Geselbracht, 153.

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Chapter 3

LEGISLATIVE BIOGRAPHY

Michael Machado, Democrat, served in the California State Assembly from 1995 to 2000. His 17th Assembly District included agricultural areas as well as urban areas.

Some of the cities within the 17th district include; Escalon, Manteca, Stockton, Ripon, and Tracy.19 In 2000, he was elected as a State Senator and served until 2008. His 5th

Senate District was also composed of large and diverse agricultural areas as well as a number of urban areas. Cities included Fairfield, Davis, West Sacramento, Stockton,

Tracy, and Vacaville.20

Machado was born on March 12, 1948, in Stockton, California. He served in the

United States Navy during the Vietnam War. He attended Stanford University, receiving a Bachelor of Arts in Economics in 1970 and a master's degree in Agricultural

Economics from the University of California, Davis, in 1974. He, and his wife Diana, have two surviving children: Erahm John, and Melissa Rose.21 Their eldest son,

Christopher, died in a farm accident in 1998. Michael Machado grew up a farmer in

Linden, California. He continues to operate the family farm in Linden. His background as a farmer explains some of his legislative interests. For example, his collection contains numerous legislative bills regarding water and its use. Mr. Machado also showed interest in the protection of the San Joaquin Delta. Some of legislation was designed to protect

19 “who’s who in the California Legislature,” (Sacramento: Capitol Enquiry, 1999) Who’s who, 123- 124. 20 Pocket Directory of the California Legislature (Sacramento: Capitol Enquiry, 2008) 18-19. 21 Ibid.

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watersheds and wildlife throughout the state. Prior to his career as a state legislator,

Machado worked for the Agency for International Development in Eastern Europe and

Russia where he assisted farmers with the transition from a closed to an open market economy.

Machado's legislative interests included agriculture, the environment, fiscal accountability, water, and consumer protection. Some of his more notable accomplishments include co-authoring Proposition 13 (AB1584, 2000), the Safe

Drinking Water, Watershed Protection, and Flood Bond Act of 2000.

After his time working in state government, Machado continued to aid San

Joaquin County and the Sacramento-San Joaquin Delta community, by acting as Chief of the Delta Protection Commission (2010-2013), a commission Machado often referred to as "the voice of the Delta." He is also a member of the board of trustees for the San

Joaquin County Historical Society, a non-profit organization that promotes San Joaquin

County history and innovation.

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Chapter 4

METHODOLOGY

Archivists need to balance archival theory and practice. All activities in which archivists engage are important and require a great deal of attention to detail. Processing, often referred to as the “nuts and bolts” of the profession, is no exception.22 The objective of archivists everywhere consists of three basic elements: identify records of enduring value, preserve those records, and make them accessible to researchers.23 Before records are made available to researchers California State Archives staff must ensure that the accessioned records fall within the parameters of the collecting policy. A well-written policy will result in a group of complementary and interconnected collections.24 Making records accessible deals directly with the practice of arranging and describing. However, before archivists can begin processing a collection, they must go through a planning and preparation process.

At the CSA, the first step in Arrangement and Description is to develop a processing plan with the assistance of the processing coordinator. The coordinator must approve the plan before processing can begin. It is also important to remember that the processing plan is developed based on the initial evaluation of the records; a more comprehensive review will be done during arrangement.25 The preparation of the plan

22 Laren Metzer, “Processing Manual” (Sacramento: California State Archives, Office of the Secretary of State, 2002, updated June 2004) 3. 23 Hunter, 3. 24 Frank Boles, Selecting and Appraising : Archives and Manuscripts (Chicago: Society of American Archivists, 2005), 66. 25 Metzer, 5.

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requires attention to the following aspects of the records: provenance, organization, types of materials, subjects, physical condition, restrictions, and record units.26 According to the Society of American Archivists (SAA), provenance refers to the individual, institution, or family that created or received the records.27 Archivists will also note any name changes that have occurred to the name of the records creator and to the record groups themselves. In addition, it is also important to distinguish between legislative records and personal papers and to make sure they are not mixed together. The general organization of the records will be listed in the processing plan. The structure of the records will be carefully recorded so that staff can use the already existing structure. Staff will carefully examine the structure of the records and point out any existing record series. Accessioning worksheets and related documentation can provided additional information regarding organization and subjects. However, only a deeper examination of the records will give archives staff a greater understanding of the major subjects that are found within a collection.

Appraisal for Acquisition

One of the most difficult aspects of archival work is deciding what records should be kept. The archival profession does not have a set of universal rules that dictate to archivists which records have historical value. Laura A. Millar wisely points out that “If every record were valuable, and if archivists had unlimited resources and unending amounts of storage space, there would be no need for appraisal.”28 Appraisal for

26 Metzer, 6. 27 Moses, 345. 28 Millar, 115.

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acquisition takes place before records are received. The goal of appraisal is to determine which records contain material that has historically relevant information.29 Timothy L.

Ericson notes in his 1991 article, “At the ‘Rim of Creative Dissatisfaction’: Archivists and Acquisition Development”, that appraisal and acquisition development often exists in the form of lists detailing items we want rather than focusing on the types of information we want to collect.30 Many acquisition and appraisal policies, he notes, are based on old ways of archival thinking. He urges archivists to get rid of ambiguous language in appraisal policies and encourages the development of policies that focus on collecting information rather than objects.31 There are many factors one should consider when accessioning record groups. For example, an old diary should not be accessioned just because it is old. The archivist should consider what sort of information it contains and if it fits within the collecting parameters of the institution. Ericson further explains that archivists whose responsibilities include collecting private records are struggling to keep up with the volume and technological complexity of contemporary records.32

Before any steps in appraising can take place the archivist will consult the collection policy so they can better decide if a collection fits within the institution’s collecting scope.

29 Timothy L. Ericson, “At the ‘Rim of Creative Dissatisfaction’: Archivists and Acquisition Development,” Archivaria 33 (1991-92): 66-76, accessed March 15, 2016, http://journals.sfu.ca/archivar/index.php/archivaria/article/viewFile/11799/12750 30 Ericson, 71. 31 Ibid., 71 32 Ibid., 66.

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The CSA collection policy reads:

“It is the statutory mandate of the California State Archives to acquire state government records and selected local government records of enduring value. In addition, the Archives will acquire, either by legal or physical transfer, deed of gift, bequest, exchange, purchase or any other transaction by which title passes to the archives, personal papers, ephemera, and related materials of enduring value that augment the record of California government and political activities, functions, and purposes.”33

The archivist appraising the records will consult the collection policy, as well as the institution’s mission statement. Laura Millar indicates that it does not matter how important a body of records may be, if they do not fit within the collection policy, the archivist is doing a disservice to the institution if they choose to take in those records.34

Many archival professionals and institutions that face growing processing backlogs share Millar’s view. An immense amount of work goes into every collection so that it can become accessible. If an archivist takes in a collection that does not fit within the collecting scope, valuable resources are wasted on that collection.

In addition to being familiar with the collection policy and mission statement, archivists must also be aware of state laws that influence the collecting scope. For instance, all Senate and Assembly legislative committee records must be retained as they are transferred to the California State Archives because of the Legislative Open Records

Act.35 Archivists will also study research trends as well as the administrative, legal, and fiscal values of records. A good archivist will also be familiar with other institutions and their collecting scopes. Some records could be better suited for other institutions. Other

33 “ Collection Management Manual,” 2. 34 Millar, 116. 35 California Legislative Open Records Act, Government Code sections 9070-9080

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factors in appraisal of a collection include the physical condition of the collection and the space limitations of the archives.

Reviewing record retention schedules is critical in determining which collections or record groups may hold archival value. A retention schedule is a document listing records series, reason for retention, period of retention, and the extent of the records.

They also provide archivists with a title of records and a short description the records.

Once archivists review the retention schedules, the next step is to physically appraise the records before they are transferred, if possible. Not all records that are flagged as archival, however, are physically appraised before transfer to the CSA. The third step is examine the records once they arrive at the archives; not all descriptions on the retention schedule are accurate. Archivists must ensure collections received match the retention schedule.

The California State Archives also looks at the primary and secondary values of a record series during appraisal. Primary values, as mentioned earlier, include administrative, legal, and fiscal values. The California State Archives notes “generally speaking primary values become less important as time passes, although this is not always the case.”36 Records with primary values are usually still active and have not reached the end of their retention period.37 Secondary values consist of evidential and informative values. Evidential values determine the organizational structure and documents, its procedures and policies. Examples include: policies and procedures,

36 “The Art of Appraisal,” California State Archives, accessed March 9, 2016, http://www.sos.ca.gov/archives/programs/state-records-appraisal/art-appraisal/ 37 “The Art of Appraisal,”

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minutes, project files, correspondence, organizational charts, duty statements, and press releases.38 Once a collection is determined to be suitable for acquisition it is formally accessioned.

Accessioning Archival Records

It is important for archivists to invest the necessary amount of time during accessioning. The goal of accessioning is to establish initial control of the records.39

It is also during this step that staff will identify any potential problems with the records being received. For example, if there are any preservation issues such as mold or insect infestation, this would be the time to take the necessary steps to remedy those issues.

Records can be transferred to the archives as a complete group or in stages.40 During accessioning, archivists will determine if the repository has received documentation, such as a deed of gift or records transfer form, transferring ownership and if possible making the records available for research.41 Accessioning provides the perfect opportunity for archivists to determine if there are any arrangement and descriptions issues.

The archivist who receives the records must complete several tasks in order to establish intellectual and physical control of the records. During this initial step, staff at the State Archives will create an accession record. The record may include dates, condition of material, size of the collection, and name of donor. Staff also has to establish legal control over the records that are sent to the Archives. One has to examine the records for any restrictions and document that the records were acquired through

38 Ibid. 39 Kathleen D. Roe, Arranging and Describing Archives and Manuscripts (Chicago: Society of American Archivist, 2005), 45. 40 Ibid., 46. 41 Ibid.

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appropriate methods. Documentation of acquisition, such as a deed of gift or proof of purchase, is required before staff can make them available for research.42 Given the volume of historical records that come to the archives, it is important that every box of material is accounted for from the moment it arrives at the loading dock. Creating the receiving record will guide the archivist to determine the origin of the records being accessioned. Determining the origin of the records will inform how the archivist will proceed with accessioning the records.43

Because the focus of this thesis centers on historical material dealing with a legislator, I will only concentrate on the steps used with legislator’s papers. Legislator papers are their personal papers, so it is important to remember that they must remain restricted until a Deed of Gift is signed giving full ownership and access to the collection.

By rule records will remain restricted for as long a legislator is in office, even if a signed

Deed of Gift exists.44

The California State Archives has developed two sets of steps to follow when accessioning historical material from lawmakers. One set deals with legislators who have included a deed of gift with their records and the other set deals with legislators who have not provided a deed of gift for their records. The differences between the sets are few, but they are critical to accessioning, processing, and access. Once records are received at the

CSA, the archivist will evaluate the material in the boxes and look for any discernible series such as subject files, bill files, or correspondence. For legislative material the

42 Roe, 46. 43 California State Archives, “Accessioning Guide” (Sacramento: California State Archives, Office of the Secretary of State, updated October 2007) 3. 44 Roe, 6.

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archivist will note the range of the bills and the corresponding dates. For other series, date and title will typically be sufficient.45

Once the series are determined, CSA staff will move the historical records into acid-free boxes. If the archives have received a deed of gift with the material, the archivist will begin by removing any duplicate copies of bills (unless they have hand- written notes on them.) They will also remove any material that is inside of binders, plastic folders, or any other type of plastic covers and put them in acid-free folders. Each folder will be labeled with the name of the records group, series title, dates and restrictions. For material received without a deed of gift, the archivist will only transfer them to acid-free boxes. By policy, archivists do not remove any material from the collection unless a signed deed of gift is acquired.

Audiovisual and electronic material will be left in the file in which it arrived. If they did not arrive in a file, the digital material will be placed at the end of the paper documents. Using Sostomcat, an application designed to manage records, CSA staff create an accession record for the material received and they choose a location for the material in the stacks.46

There are two ways an archivist can create an accession record. If the archivist is creating a record from an existing record the process is relatively simple. After logging into Sostomcat, the CSA staff member will change the status of the record from received to accessioned. If no previous record exists, however, the archivist will need to create one. The archivist should enter as much information about the collection into the

45 Accessioning Guide, 6-9. 46 Ibid.

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accession record as possible. The creator field is a required field; the system will request that the user enter a creator in order to proceed to the next step. In this case, the creator was Michael Machado. Other required fields include title and dates of records. Both of those can typically be found on the transfer documentation Receiving information includes the date the material was received, who received it, the quantity received, and sources of acquisition. In the accession information fields, the archivist will enter the accession number, the date that records were accessioned, a description of the records, arrangement, quantity of material accessioned, and any access restrictions. Once the accession record is created the archivist can prepare to physically move the records to their new locations.47

Collections that have not been processed are generally housed on the second floor stacks, also known as B floor. Staff at the CSA keeps an updated list of open locations on the B floor, making it easy to find a location to place the material. However, if the size of the collection is too great for the B floor, CSA staff can house the collection on the fifth floor, also known as E floor. Once an accession record has been created and a location has been determined, the archivist will create box labels. Boxes that contain restricted file folders or series will be stamped with a restricted label. After box labels have been created and placed on the corresponding boxes, the archivist will move the material into its new location.48

Legislative collections rarely arrive at the California State Archives in one tranfer.

The Michael Machado Papers came to the CSA in a series of eight distinct accessions

47 Accessioning Guide, 6-9. 48 Accession Guide, 7.

23

starting in 1999 (Accession Numbers: 1999-08-02, 2000-12-39, 2001-05-09, 2002-176,

2002-207, 2004-155, 2006-167, and 2008-176). It is possible that more than one archivist will accession records for one creator over a period of years. It is also likely that those records are not kept physically together. However, because all archivists practice respect des fonds, the records of one creator will always be together intellectually.

Once the Michael Machado Papers were accessioned, the next step was to gain legal control of the papers. Archivists need to remember that a legislator’s papers are their personal papers and they retain ownership of them until they are out of office and

CSA has a signed deed of gift.49 The deed of gift is an “agreement transferring title to property without an exchange of monetary compensation.”50

The Deed of Gift also transfers any rights to intellectual property. In some cases the Deed of Gift can also take the form of a contract outlining any restrictions and or access use.51 Ideally an archivist would receive a Deed of Gift with no restrictions.

Before Processing

During this step the processing archivist will become intimately familiar with the contents of a collection. The archivist must gain knowledge about the inner workings of a collection in order to write a comprehensive finding aid. A collection of records is essentially only as good as its finding aid. The finding aid will most likely be the first point of contact researchers have with a certain collection. Researchers will decide if they need to look through a group of records based on what they find written in the description

49 Ibid., 4. 50 Pearce-Moses, 108. 51 Pearce-Moses, 108.

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record. Thus, it is important that the processing archivist is able to illuminate any subjects that could be valuable to researchers. Not only does processing allow archivists to holistically understand a record group, it also allows them to link the collection to its research use.52 As mentioned earlier the end result of processing at the California State

Archives is a document called a finding aid.

During processing an archivist will look through every single piece of paper and any other type of media that is included in a collection in order to determine its archival significance. At the California State Archives, archivists, graduate interns, and student interns are assigned processing projects. Although archivists, graduate interns, and student interns participate in processing, graduate interns and student interns process the majority of the records. My first assignment was to process the Senate Health Committee

Records. The collection originally consisted of over sixty cubic feet; after processing that number was reduced to fifty-three cubic feet. After demonstrating proficiency in processing the Senate Health Committee Records, I was assigned a collection where I would have more liberty to practice appraisal. Legislator papers are not as straight forward in terms of arrangement and content. They usually require more research to determine the arrangement and significance of the records.

The California State Archives has developed a twenty-four-step processing checklist to ensure that archivists follow the proper steps during processing. The first step is to pull the accessioning sheets and worksheets from the master set. The master set of accession sheets contains a copy of every transfer that has been accessioned. As

52 Metzer, 3.

25

collections are not always received in one accession, they are not always kept in the same location. Because CSA keeps intellectual control of all collections that are accessioned, the accession worksheets provided all the locations pertaining to the Michael Machado

Papers. Once I acquired all the necessary accession sheets, I pulled the collection from the “B Floor” stacks and moved it into my assigned station in the Processing Lab. Next, I stamped the reference accession worksheets as “out for processing.” Stamping the accessions sheets inform the reference archivists and support staff that the collection is no longer in its normal locations in the stacks, but instead is removed to a processing station in the Processing Lab. Once the reference accession sheets are stamped, archival staff will update the records on Sostomcat, the archive’s digital catalog. The California State

Archives keeps records available for research during processing, so it is important that archival staff can locate the records if a researcher requests them.

Preliminary research is invaluable to the archivist by providing insight about the records creator.53 For example, this research can highlight subjects that the legislator showed interest in. Gaining this sort of insight helps the processing archivist easily identify those subjects during arrangement. It is also essential for the production of a biographical sketch of the legislator, which will not be finalized until arrangement has been completed. The California State Archives has a variety of sources to help archivists conduct preliminary research. I used Journals and Final Histories for the Assembly and

Senate, Legislative Handbooks, and Pocket Directories. In addition I conducted a brief internet search. In this case, my research helped me highlight Machado’s legislative

53 Metzer, 9.

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interests. Additionally, the biographical sketch helped me determine the major functions and activities of Legislator Michael Machado. Depending on the complexity of the collection, the biographical sketch can be accomplished in a few pages.54

The next step was to conduct a preliminary review of the Michael Machado

Papers. With the initial review of the records I was able to discern three series: Bill Files,

Sesquicentennial Investigation Files, and Invitation Files. I later discarded the Invitation

Files and kept only two series. The creator kept the series more or less separate, making the process of figuring out their original order simple.

Using the information I discovered during the preliminary review I created a processing plan. The processing plan is essential for arrangement. The CSA processing guide states the following, “a thoughtful and comprehensive plan provides the archivist with a road map to understanding the full context and content of the records, and through it, a sound arrangement and description.”55 It is important to note that I was allowed to deviate from the original processing plan. A series I noted in the processing plan—the

Invitation Files—was left out of the final arrangement.

I developed the processing plan under the guidance of the Processing Program

Coordinator, Jeff Crawford. The processing plan worksheet included collection name, accession numbers, total volume, dates, organization, types of material, subjects, physical condition, and restrictions. The processing plan provided me with information that eventually made the arrangement and description a more accelerated process.

54 Metzer, 10. 55 Metzer, 4.

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Appraisal for Selection

As Millar points out, the second stage of appraisal involves deciding which materials within an acquisition have archival value.56 There is no single method used by all archivists to appraise records. Instead they rely on a variety of resources to insure that all acquisitions have historical value. “The selection of records of enduring value is the archivist’s first responsibility,” this line is echoed throughout the archival community.57

Appraisal for selection is a sensitive topic; there are many theories, and deciding what works best is sometimes a matter of trial and error.

Millar notes the following in her book, Archives: Practices and Principles:

“ No amount of archival theory can provide a definitive answer to the questions of exactly what to keep and what to discard. There is no scientific formula or master checklist that replaces the judgment and analysis of the individual archivist. But the archivist can arm herself with guidance that will help her identify that portion of records that warrant the effort, time and resources required to preserve them as archives and make them available for long-term use.”58

The process is subjective. However, Millar explains that a comprehensive mission statement will establish the basis for acquiring and preserving archives.59 Extremely limited space deems appraisal an important part of processing.

The moment a record arrives at the State Archives it starts to consume the repository’s resources. Tangible resources are the most obvious, for example, file folders and boxes. An example of a non-tangible resource is staff time. Archives do not always

56 Millar, 116. 57 Tyler O. Walters, “Contemporary archival appraisal methods and preservation decision-making,” American Archivist 59, (Summer 1996): 323. 58 Millar, 122. 59 Ibid., 60.

28

have the necessary staff to manage their holdings. This is why it is important that any record that is kept has research value. Appraisal theory dates back to the inception of archival theory. Although theories have changed, most discussions of appraisal theory in the United States begin with the classic appraisal theory.60 Classic appraisal theory consists of evidential value and informational value.61 Evidential value refers to the value that records have to exhibit the organization and functions of an institution. Before I was able to decide what value the records contained, I had to do research in regards to the interests of legislator Machado. During the preliminary research, I learned that Machado was a farmer and had a great interest in water legislation. Thus an example of a record with evidential value from his collection is the bill file for Proposition 13 (AB1584), also known as the Safe Drinking Water, Clean Water, Watershed Protection and Flood

Protection Bond Act of 2000. This piece of legislation documents the process Machado underwent in order to get the proposition on the ballot.62

Informational value refers to persons, things, and events.63 Informational value is not as obvious as evidential value, which is why T.R. Schellenberg developed three tests to determine informational value. The tests focus on uniqueness, form, and importance.

Uniqueness refers to information that is not found anywhere else.64 For example, someone’s journal is unique because it is not reproduced anywhere else, unlike a book that can be found in libraries across the world. The legislative material in the Michael

Machado Papers is unique because it can only be found in his collection. The language of

60 Hunter, 52. 61 Ibid. 62 Hunter, 52-53. 63 Ibid., 53. 64 Ibid.

29

the bills can be found elsewhere, but the paperwork he generated to develop the various bills he authored can only be found in his collection.

The second test, which Schellenberg called form, concentrates on the physical condition of the records and the ratio of research value to the volume of the collection.

Form also refers to the physical condition of the records.65 The Michael Machado Papers contained a series of invitations. The invitations were for fundraising events by other legislators and invitations to events by local governments and associations. However, a large amount of the invitations did not specify who was sending the invitation or what the event was about. I decided that the volume of invitations was too large to retain given the limited research value.

The third test Schellenberg developed focused on determining the importance of the people, events, and places included within the records.

Millar discusses a theory called functional appraisal. Functional appraisal does exactly what its name implies; it focuses on the key functions of an agency or person.

Rather than sifting through material to find the records that best mirror the functions of an agency the archivist should work with an agency to figure out what those functions are.66 The numerous Bill Files that Michael Machado kept depict his activities as a legislator, making this series extremely valuable for researchers.

When faced with a large amount of material, archivists consider weeding and culling duplicate records and drafts of correspondence or memoranda.67 As Millar

65 Hunter, 54. 66 Millar, 124. 67 Ibid.

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explains “weeding and culling is pretty straightforward,” but very time consuming.68

While processing the Michael Machado Papers I relied heavily of the weeding and culling. Because space is an issue for the California State Archives, archivists make sure to cull effectively. If the records being arranged have notes written on them, the archivist should consider keeping it even if it is a duplicate. Of course, what is written has to have some context. If a handwritten note on a memo says meeting at 10 A.M. and nothing else, it is probably not worth keeping. However, if the handwritten note indicated a meeting with the governor at 10 A.M. it may be worth keeping given the importance of the people involved in the meeting.

Sampling files is another method archivists use when they are processing large collections. Sampling can be systematic or random. For example, one can choose to retain every third file from a given month or year. Or an archivist can choose to retain files based on last names. It is important to remember that sampling does not always capture the entirety of a given demographic region.69

Additional considerations when appraising for selection include cost of ownership, physical condition, volume of materials, records media, accessibility, and research value. Cost of ownership is much more than just buying acid-free boxes and file folders. One has to consider indirect costs such as floor space, staff time, and building costs. The physical condition of a records group can add substantial cost to an acquisition. If records are badly damaged, they have to be properly cared for so they can be accessible. The volume of materials should also be considered; some acquisitions can

68 Millar, 124. 69 Ibid., 124-125.

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be too large for one archivist to process alone. Staff time, as well as space, needs to be considered when appraising large collections. The type of media records contained can be problematic and costly if, for example, the repository does not have the means to preserve or access digital media.70

Lastly, archivists must remember to keep their personal biases out of acquisition and appraisal. During appraisal, it is important that any decision made by the archivist must reflect the vision and mission statement of the institution. Respecting the institution’s collecting policy and working cooperatively with other institutions is the best way to insure personal bias does not influence any decision-making.71

Arrangement

Arrangement achieves the goal of physical and intellectual control of archives.

During this phase, the archivist will physically and intellectually arrange the records while at the same time creating a finding aid that can be used by patrons.72 During this step the archivist will gain an insight of the records that will make them the experts on the collection. The archivists will also make their final decisions on appraisal. This process is time consuming and requires patience. Once it is completed, the archivist can rest assured their hard work has provided greater access to the collection.73

Provenance and original order are the two principles that govern arrangement. As discussed earlier, provenance means that records from the same creator should not be intermixed with other collections. That means that I would not interfile bill files from the

70 Millar, 126-130. 71 Ibid., 130-131. 72 O’Toole and Cox, 122. 73 Metzer, 11.

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Michael Machado collection with those of other legislators, even if they worked on bills regarding the same topic. The principle of original order means that records from a common creator should retain the arrangement they were originally given by their creator.74 It is the responsibility of the archivist to decipher the original order and ensure the records reflect that order. I did not have trouble figuring out the provenance of the material because the accession sheet explained who the creator was. Original order was also easy to decipher for the same reason and because the records were sent to the

Archives in an organized manner.

Once it is time to put arrangement theory to practice, it is important to remember the five levels of arrangement.75 The first level of arrangement is the repository level. For the Michael Machado Papers the repository is the California State Archives. The second level is the record group, in this case the Michael Machado Papers are the record group.

The next level is the record series level. Series can be difficult to decipher and requires a lot of research and attention to detail. Series are usually identified by a common filing order, subject matter, or physical type.76 Series is a crucial level of archival arrangement, because archivists usually direct researchers to series they believe hold useful information. Description at the CSA focuses heavily on the series level.77 During the arrangement of the Michael Machado Papers, I appraised two record series as worthy of keeping: Bill Files and the California Sesquicentennial Commission and Foundation

Investigation Files. Bill Files contain legislation Machado authored or co-authored. The

74 Metzer, 12. 75 Hunter, 99. 76 Ibid., 100. 77 Ibid., 101.

33

California Sesquicentennial Investigation Files contain documentation detailing the mismanagement of funds by the California Sesquicentennial Commission and

Foundation. The next level of arrangement is called file unit. A file unit can be a folder, bound volume, or digital media. The final level of arrangement is called item level. An item refers to a letter, or other document within a file unit.

Most of the arrangement at the California State Archives is performed at the series level. It may seem like it would be easier to arrange to the item level, but given the volume of modern collections, this would be a daunting task. During the early years of archival science, much of the attention was given to the last two levels of arrangement.

However, the volume of paper and digital records generated today has done away with that practice. With the new onslaught of record creation, archivists quickly realized they would not be able to keep up with their ever-increasing backlog if they adhere to lowest levels of arrangement. Most modern archives have adopted a method known as More

Product, Less Process (MPLP), to combat increasing backlogs. MPLP is a practice that aims to make archives much more efficient and to maximize the accessibility to researchers.78 Archivists that practice MPLP spend little time on processing item level series and perform only minimal preservation. For example, processing staff will not remove every single staple that they come across. MPLP also encourages archivist to describe collections at the same level they were processed. For example, if a collection is only processed at the series level the description should only be to the series level. The

California State Archives actively practices MPLP allowing archivists to spend less time

78 Mark A. Greene and Dennis Meissner, “More Product Less Process: Revamping Traditional Archival Processing,” The American Archivist, 68 (Fall/Winter, 2005): 208-263.

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on the lower level arrangement, unless it is deemed necessary thus allowing the archivist to open up collections to researchers faster.79

Processing the Collection

Even after all the preliminary research and preparation, physically processing the collection is intensely time consuming. The archivists need to examine the records and take detailed notes in order to write the finding aid. The archivist will note dates, titles of series, and possible sub-series. During this step the processing archivists will also perform basic preservation techniques. For example, metal fasteners, like papers clips, will be removed along with rusty staples. Photocopying of acidic paper is also done during this step. Newsprint is particularly acidic and causes a lot of damage to any record with which it comes into contact. Older collections have thermo fax paper, which will also need to be photocopied in order to preserve its contents. Any material that contains adhesive will also be removed, including sticky notes and post it tabs. Rubber bands will be removed because they are also very destructive. They can stain records and in some cases tear the paper. The processing archivists will also put records in acid-free file folders and boxes. This section will highlight the arrangement and processing steps I performed for each series of the Michael Machado Papers.

Series 1. Bill Files, 1995-2008. 403 file folders, 1 computer disk (5.25 inch). LP469: 1-

403

This series contains legislative material authored and co-authored by Legislator

Machado. Bill files included bill analyses, amendments, resolutions, author statements,

79 Greene and Meissner, 208-263.

35

testimony, press releases, editorials and newspaper clippings, committee statements, support and opposition letters, reports and studies, correspondence, and background information.

Bill files contain records from both Machado’s time served in the Assembly and

Senate. Because the CSA receives a large number of bill files from various agencies, the processing approach for series is systematic and very efficient. Mr. Machado started his career in the Assembly so the first bill files to be processed were those that originated while he was an Assemblyman. The Senate bill files followed immediately after the

Assembly legislation. While arranging this series, I photocopied newspaper clippings and post it notes that had relevant information. I also removed duplicate documents, paperclips, and other metal fasteners. Some bill files also included bound reports and binders containing information regarding specific bills. In this case, I removed the binders and plastic binding; I then placed the material in acid-free file folders and boxes.80 Removing records from binders and other plastic encasement ensures the long- term preservation of the records and saves space. Also, for the bill files section I had to restrict some material that contained medical information. In order to restrict the material

I had to fill out a cover sheet indicating that the particular bill file contained restricted information. I then put the restricted documents in a separate file folder and stamped it

“RESTRICTED.” This way reference staff knows to remove the restricted file folder when a researcher requests the bill file. Every file folder is essentially arranged in the same manner, regardless of what legislative body they originated in. The file for each bill

80 Metzer, 21.

36

will vary in terms of volume; some bill folders can have a single piece of paper in them, while others can have hundreds. I arranged bill files chronologically by legislative session and within session numerically by bill number. I created a cover sheet for each bill, the cover sheet is blue in color, which makes it easier for reference staff to retrieve for use by researchers

Series 2 California Sesquicentennial Commission and Foundation Investigation

Files, 1997-1998. 10 file folders, 1 videodisc (DVD-ROM). LP469:404-413

Machado's interest in investigating the California Sesquicentennial Commission and Foundation started after towns in his district complained that the commission failed to support their celebrations. Additionally, an investigative report from the Joint

Legislative Staff Task Force on Government Oversight, prepared at the request of

Machado, found gross lack of management and accountability by both the Commission and the Foundation. While the investigation was being conducted by the Task Force,

Machado served as the Chair of the Assembly Water, Parks, and Wildlife Committee. As committee chair, Machado advocated for greater accountability from the Commission and the Foundation, as well as a revamped management plan for a celebration that

Machado deemed “too important to our state to fail.” The investigation files contain documentation from both the Joint Legislative Staff Task Force’s fact-finding efforts and hearing materials from the Assembly Water, Parks, and Wildlife Committee that focus on the California Sesquicentennial Commission and Foundation. The investigation files also include the Assembly Budget Subcommittee on State Administration’s final report, entitled Giving Up the Ships, which served as a follow-up to the Task Force’s original

37

report. I kept this series in the order in which it was received and removed metal fasteners and other types of bindings that I thought would be harmful to the collection. I also photocopied newspaper clippings and post it notes. This series held a substantial amount of duplicates. They included newspapers clippings, reports, pamphlets, and newsletters. I did not separate the material within this series by subject, because that would take too much time. I decided that a ten folder series was manageable enough for a researcher to look through if they wished.

During the arrangement phase the archivist will perform various preservation techniques as well make informed decisions regarding what should be deaccessioned and why. When this collection was accessioned, numerous invitations were included. After looking through the invitations I decided that there was not enough research value to warrant their retention. The invitations did not offer much insight, other than location, date and time of the event. The invitations did not indicate who was attending the event, or what role Legislator Machado played at the event. I considered the fact that this record series was only two cubic feet and would not take too much space. However, I felt the collection would be infrequently used, if at all. After discussing the matter with the processing coordinator, I decided the group of invitations was not going to be part of the

Michael Machado Papers, and I deaccessioned them.

Description

Archival collections will never be described in their totality. This is true for many reasons, the most obvious being time constraints. As Geoffrey Yeo notes “description is

38

both a process and a product.”81 At the California State Archives, that product is a finding aid. The finding aid serves as a map for researchers and staff. The CSA functions under the premise that description is a process and a product. Accordingly, the Processing

Manual at the State Archives states the following: “description within an archive is an ongoing process as staff work to analyze, refine and control information within records, as new records are added to existing groups and collections and as organizations change over time.”82 Based on information that was collected during accession and arrangement, the archivist will draft a finding aid, keeping the institution’s mission and users in mind.83

The goal of description is not to provide all the information gathered about a collection; the goal is to provide researchers with enough information so they can decide if they want to examine the records.

The description phase can only proceed once the arrangement of records is complete. There are standards that the CSA expects archivists to follow when they are describing archives. For data content, the State Archives uses “Describing Archives: A

Content Standard” (DACS). I used the standards specified in DACS and those outlined in the legislative records template. For the Michael Machado Papers, I created a finding aid that consists of a title page, administrative information, a biography of Machado, scope and content of the collection, and series description.84

The title page consisted of basic information about the collection. For example, the name of the collection and the legislative houses that Machado served in and his

81 Terry Eastwood, and Heather MacNeill, eds., Currents of Archival Thinking (Santa Barbara: Libraries Unlimited, 2010), 89. 82 Metzer, 23. 83 Roe, 71. 84 Metzer, 24-25.

39

terms of office. The title page also includes contact information for the California State

Archives, the name of the archivist who processed the collection, the name of the archivist who wrote the finding aid, and the date of the completion of the finding aid.

After the title page, I included a descriptive summary page, which includes title dates, collection number, creator, extent of collection, language of the material, and the name of the repository that holds the collection.85

The next step is to include a short biographical sketch of Michael Machado. I included information about Mr. Machado that was relevant to the collection. The information provided in the biographical sketch is intended to provide researchers with a general overview of the creator’s accomplishments and provide some useful context. I referenced the Assembly Final History, Senate Final History, Who’s Who in California

Legislature and Pocket Directory of the California Legislature. However, most of the information was acquired while arranging the collection.

The scope and content summary focuses on the types of “records, organization and arrangement, major subjects, record series, dates and volume, access provisions, relationships to similar collections within CSA or elsewhere”86 I also included major subjects found within the Machado Papers, and I also included the volume of the collection. I want potential researchers to read the scope and content to gain an understanding of what the entire collection holds.

Finally, I wrote the series descriptions. They provided the most detailed account of what was contained in the record series. The series description includes a title, the

85 Michael Machado finding aid. See appendix A. 86 Metzer, 25.

40

extent of the series, an ID number, reference notes to any digital media, a note regarding restrictions, and a brief summary of the contents. The series description varies depending on the content.

Once I finished drafting the finding aid, I submitted it to the Processing Program

Coordinator and made catalog cards for each series. The catalog cards contain the name of the creator and the series. They also contain dates regarding the material and a brief description of the contents. The cards also provide researchers and reference staff with locations for the records. Once finished with the catalog cards, I also submitted them to the Processing Program Coordinator for review.

After the catalogs cards were approved, I made box labels. The box labels contain brief descriptions of what the contents are. Labeling the boxes help staff quickly and easily identify the contents of each box. Rather than opening every box to see what is inside, reference staff can glance at the box label and determine if it contains what they are searching for. I also created folder labels for each file folder in the collection. The folder labels contain creator, dates, and ID number.

Once I received final approval from the Processing Program Coordinator, I began to move the collection from the processing lab and into the stacks. I moved the entire collection to the “D floor” stacks. This floor is mainly reserved for collections that have been processed. I also moved digital content into the cold storage media vault. After moving the collection to their new locations, the finding aid will be encoded using

Encoded Archival Description (EAD) for uploading to the Online Archive of California

(OAC). EAD is a standard used for encoding finding aids that will be uploaded to the

41

Internet. EAD is able to provide interrelated information that is found in archival finding aids. Another advantage is that EAD is able to keep the hierarchical levels of description.

The State Archives uses EAD in conjunction with (DACS). DACS is a set of rules for describing archives. DACS standardizes descriptive information for archives across the country and it also allows archival staff to describe a collection at various hierarchical levels.87

Once the collection was placed in its new location, I went into the research room and retrieved the accession sheets that I had marked “out for processing” when I first started the project. These were then submitted to the Processing Program Coordinator. I then sent out an email to the entire archives staff informing them of the collection’s new location.

Processing an archival collection requires an immense amount of work even when implementing methods like MPLP. There are many steps the archivist needs to follow all of which are important to the finished product. The State Archives developed guides and forms to help archivists process collections correctly and efficiently. The processing checklist is as important as any guide and was critical in the development of this work.

The checklist ensured that I followed proper processing procedures at all times.

87 Describing Archives: A Content Standard, 2nd ed. (Chicago: Society of American Archivists, 2013), xv- xvi.

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Chapter 5

FINDINGS AND CONCLUSION

The archival field has undergone an incredible amount of change through the years. Some practices have persisted, where others have been left behind. The days when an archivist would collect every piece of paper are long gone. Today such practices are frowned upon by most of the archival community. Instead of collecting everything, archivists and institutions are more cautious about what they accession. Mission statements and collecting policies have gained a greater importance in archival practice.

For many, processing collections remains at the heart of archival practice. This process however is time consuming even if one applies the latest methods designed to speed things up.

Working on the Michael Machado Papers allowed me the opportunity to apply these archival methodologies. Deciding what records should be kept helped me understand the importance of collecting policies and procedures. When I first started processing the Michael Machado Papers, it consisted of thirty-two cubic feet and 413 file folders. Once I finished processing the collection, it was twenty and a half cubic feet.

Most of the material in the collection is textual with the exception of a floppy disk and a

DVD.

The preservation issues I dealt with were almost exclusively for paper material. I had to make decisions about what material was worth keeping and, if it merited keeping,

I had to decide the best way to preserve it. For preservation measures, I was able to place

43

records in acid-free folders, remove binder clips and rusty staples, and make photocopies of records on acidic newsprints. When I first started processing the collection, I located a videodisk, a three and a half-inch floppy disk, and a five and a quarter-inch floppy disk. I was able to use a computer to read the 3.5-inch floppy, but the CSA does not have the ability to read the five-inch disk. The smaller floppy contained a copy of a paper record, which was already in the collection, so I deaccessioned the disk.

Writing the finding aid for this project was a difficult and rewarding task. Since my first internship at an archival institution about four years ago, I have been taught that access was the ultimate goal of everything an archivist does. Completing this project ensured that the Legislative Papers of Senator Machado have increased their accessibility to the public. Granted the California State Archives allows researchers to use records that have not been processed, there is little doubt that the collection is much more user friendly as a result of being processed. Now that the collection is processed, an EAD record of the finding aid can be submitted to the Online Archives of California (OAC).

The OAC is an online repository which holds thousands of digital finding aids that can be accessed at anytime from anywhere in the world. The Michael Machado Papers are now exposed to thousands of potential researchers all over the world.

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APPENDIX A

Guide to the Michael Machado Papers, 1995-2008

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Inventory of the Michael Machado Papers State Assembly Member, 1995-2000 State Senator, 2001-2008

California State Archives Office of the Secretary of State Sacramento, California

Contact Information: California State Archives 1020 O Street Sacramento, CA 95814 Phone: (916) 653-2246 FAX: (916) 653-7363

E-mail: [email protected] URL: http://www.sos.ca.gov/archives/

Records Processed by: Inventory Prepared by: Date Completed: Ignacio Sanchez-Alonso Ignacio Sanchez-Alonso October 28, 2015

© 2015 California State Archives, Office of the Secretary of State. All rights reserved.

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Descriptive Summary

Title

Michael Machado papers

Dates

1994-2008

Collection Number

LP469

Creator

Machado, Michael, 1948- , California legislator

Extent

20.5 cubic feet of textual records, 1 videodisk (DVD-ROM) and 1 computer disk (5.25 inch)

Language

English

Repository

California State Archives Office of the Secretary of State Sacramento, California

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Administrative Information

Publication Rights

For permission to reproduce or publish, please consult California State Archives staff. Permission for reproduction or publication is given on behalf of the California State Archives, Office of the Secretary of State, Sacramento, as the owner of the physical items. The researcher assumes all responsibility for possible infringement that may arise from reproduction or publication of materials from the California State Archives’ collections.

Preferred Citation

[Identification of item], Michael Machado papers, LP469:[folder number], California State Archives, Office of the Secretary of State, Sacramento, California.

Restrictions

While the majority of the records are open for research, any access restrictions are noted in the record series descriptions.

Immediate Source of Acquisition

California State Archives acquired the Mike Machado papers, in a series of eight record transfers, beginning in 1999 (Accession Numbers: 1999-08-02, 2000-12-39, 2001-05-09, 2002-176, 2002-207, 2004-155, 2006-167, and 2008-176).

Processing Information

The Michael Machado papers were processed by Ignacio Sanchez-Alonso, 2015.

Description Control

Finding aid written by Ignacio Sanchez-Alonso, October 2015.

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Biography

Michael Machado, Democrat, was a State Assembly Member, from 1995 to 2000. His 17th Assembly District included cities within San Joaquin County. He was also a State Senator, from 2001 to 2008. His 5th Senate District included cities within San Joaquin, and Sacramento counties. Following redistricting in 2007-2008, the 5th Senate District expanded to include cities within Sacramento, San Joaquin, Solano, and Yolo counties.

Machado was born on March 12, 1948 in Stockton, California. He served in the United States Navy during the Vietnam War. He attended Stanford University, receiving a Bachelor of Arts in Economics in 1970 and a master's degree in Agricultural Economics from the University of California, Davis, in 1974. He, and his wife Diana, have two surviving children: Erahm John, and Melissa Rose. Their eldest son, Christopher, died in a farm accident in 1998. Prior to his career as a state legislator, Machado worked for the Agency for International Development in Eastern Europe and Russia where he assisted farmers with the transition from a closed to an open market economy.

Machado started his political career in the State Assembly. He served Assembly District 17 from 1995 to 2000. In 2000, Machado was elected to the State Senate, where he represented Senate District 5 from 2001to 2008. The two districts are made up of both agricultural communities and large urban populations, which include the counties of San Joaquin, Yolo, and Solano, and the cities of Stockton, Davis, West Sacramento, Manteca, and Tracy. Machado's legislative interests included agriculture, the environment, fiscal accountability, water, and consumer protection. Some of his more notable accomplishments include co-authoring Proposition 13 (AB1584, 2000), the Safe Drinking Water, Watershed Protection, and Flood Bond Act of 2000.

After his time working in state government, Machado continued to aid San Joaquin County and the Sacramento-San Joaquin Delta community, by acting as Chief of the Delta Protection Commission (2010-2013), a commission Machado often referred to as "the voice of the Delta." He is also a member of the board of trustees for the San Joaquin County Historical Society, a non-profit organization which promotes San Joaquin County history and innovation

During his term in the California Legislature, Machado served on the following committees according to the California Legislature at Sacramento (Handbooks), Assembly Final History, Senate Final History, and Pocket Directory of the California Legislature.

California State Assembly, 1995-2000

Standing Committees Agriculture, 1997-1998

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• Vice Chair, 1995-1996 Appropriations, 1997-1998 Banking and Finance, 1995-1998 Budget, 1995-1996 Consumer Protection, Governmental Efficiency and Economic Development, 1995-2000 Environmental Safety and Toxic Materials, 1995-1996 Governmental Organization, 1999-2000 Insurance, 1999-2000 Judiciary, 1995-1996 Revenue and Taxation, 1997-1998 Natural Resources, 1995-1996, 1999-2000 Water Parks and Wildlife, 1997-2000 • Chair, 1997-2000

Select Committees Agricultural Exports and International Market Development, 1997-1998 • Vice Chair, 1997-1998 Agricultural Imports and Exports 1999-2000 California-Africa Affairs, 1995-1996 California-Mexico Affairs, 1997-2000 California Children, 1995-1996 Development of a 10th UC Campus, 1997-2000 House Reorganization Post Term Limits, 1995-1996 Indian Gaming, 1999-2000 Protection of Inland Waterways, 1999-2000 Rural Economic Development, 1999-2000 School Facilities Finance, 1999-2000 Tire Proposal, 1999-2000 Welfare Reform Implementation, 1997-1998

Special Committees Legislative Ethics, 1997-1998

Joint Committees Fisheries and Aquaculture, 1999-2000

California State Senate, 2001-2008

Standing Committees Agricultural and Water Resources, 2001-2004 Appropriations, 2003-2004 Banking, Commerce and International Trade, 2001-2002 • Chair, 2001-2002 Banking, Finance and Insurance, 2005-2008

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• Chair, 2007-2008 Budget and Fiscal Review, 2005-2008 Business and Professions, 2001-2004 Governmental Organization, 2001-2004 Local Government, 2001-2008 Natural Resources and Water, 2005-2008 Revenue and Taxation, 2005-2008 • Chair, 2005-2006 Transportation and Housing, 2005-2006

Subcommittees Asia Trade and Commerce (Banking, Commerce, and International Trade), 2001-2002 Delta Resources (Natural Resources and Water), 2005-2006 • Chair, 2005-2006 California-European Trade Development (Banking, Commerce, and International Trade), 2001-2002 • Chair, 2001-2002 The Americas (Banking, Commerce, and International Trade), 2001-2002

Select Committees Air Quality, 2005-2006 Air Quality in the Central Valley, 2003-2004 Asian Pacific Islander Affairs, 2007-2008 California Correctional System, 2005-2006 California's Wine Industry, 2003-2008 Capital Area Flood Protection, 2001-2004 Central Valley Economic Development, 2001-2005 Delta Resources and Development, 2001-2004 • Chair, 2001-2002 Defense and Aerospace Industry, 2003-2005 Fiscal Restructuring, 2003-2004 International Trade Policy and State Legislation, 2001-2002 Legal, Social and Ethical Consequences of Emerging Technologies, 2005-2006 National Guard Direction and Deployment, 2005-2006 • Chair, 2005-2006 Perchlorate Contamination, 2005-2006 Urban Economic Development, 2003-2005

Joint Committees Investigate Financial Institution Mergers and Acquisitions, 2001-2002

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Scope and Content

The Michael Machado papers consist of 20.5 cubic feet of textual records, one DVD- ROM videodisc, and one 5.25 inch computer disk, covering the years from 1995 to 2008. The records are organized into two record series: Bill Files (1995-2008) and California's Sesquicentennial Commission and Foundation Investigation Files (1997-1999).

The Bill Files series represents the bulk of the collection and a strong source of information about his legislative interests. The bills introduced by Machado include a wide range of subjects. These files demonstrate Machado's activism for local issues, as well as matters concerning the State of California as a whole. Within this series, recurring topics include: water, water quality, and water management (AB1250, 1997-1998; AB1812, 1997-1998; AB237, 1999-2000; AB564, 1999-2000; AB1584, 1999-2000; SB278, 2001-2002; SB672, 2001-2002; SB1473, 2001-2002; SB1155, 2001-2002; and SB1993, 2001-2002); Sacramento-San Joaquin Delta conservancy (AB909, 1999-2000; AB1521, 1999-2001; SB1854, 2001-2002; and SB200, 2005-2006); and gang violence, crime prevention (AB171, 1995-1996; AB1012, 1995-1996; AB1258, 1995-1996; and AB1404, 1995-1996).

The California's Sesquicentennial Commission and Foundation Investigation Files is a series of records pertaining to the investigation of the California Sesquicentennial Commission and Foundation by the Joint Legislative Staff Task Force on Government Oversight. The Commission and Foundation came under scrutiny of the Task Force due to questionable spending, fund raising and project management. The series contains letters to Machado from members of the task force, newspaper clippings, newsletters, reports, and meeting minutes.

Accruals

No further accruals are expected.

Additional Information Related Collections at the California State Archives

California Sesquicentennial Foundation records

Secretary of State records

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Series Description

1. Bill Files, 1995-2008. 403 file folders, 1 computer disk (5.25 inch). LP469:1-403 Bill files are arranged chronologically by legislative session, then numerically by bill number.

Access to audiovisual material requires the production of use copies.

Bill files created by Michael Machado may include bill analyses, amendments, resolutions, author statements, testimony, press releases, editorials and newspaper clippings, committee statements, support and opposition letters, reports and studies, correspondence, and background information.

Machado's legislative interests covered a wide range of issues, including credit card fraud, mental health, gang violence, air quality in the Central Valley, and water programs and projects. A large percentage of Machado’s legislation focuses on water issues, particularly those pertaining to the Sacramento-San Joaquin Delta. For example, SB1854 (2001-2002), SB1473 (2001-2002), AB237 (1999-2000), and AB1250 (1997-1998), all deal with water conservation and protection of the Delta. Machado also co-authored Proposition 13 (AB1584) known as the Safe Drinking Water, Clean Water, Watershed Protection and Flood Protection Bond Act of 2000. The approval of Proposition 13 allowed the state to raise over a billion dollars by selling general obligation bonds to improve the safety, quality and reliability of water supplies, as well as improve flood protection in thirteen different counties. Machado also authored several bills dealing with financial credit, consumer protection, and consumer privacy concerns. For example, AB2648 (1997-1998), AB2028 (1997-1998), SB1495 (2003-2004), and SB1512 (2005- 2006), all deal with consumer privacy and protection.

1995-1996 AB33-AB3273; ACA37; ACR12-ACR29; LP469:1-44 AJR75; HR10 (44ff)

1997-1998 AB17-AB2798; ACR1-ACR145; AJR7-AJR36 LP469:45-114 AB10X (71ff)

1999-2000 AB214-AB2425; SB2042 (66ff) LP469:115- 180

2001-2002 SB29-SB209; SJR11-SJR16; SCR32-SCR89 LP469:181- 236 SB21X (56ff)

2003-2004 SB21-SB1911; SCR43-SCR59; LP469:237- 298

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SCAX5_3; SCAX5_5 (62ff)

2005-2006 SB49-SB1809; SBX2_10-SBX2_12; LP469:299- 348 SCR12-SCR11; SJR16-SJR23 (50ff)

2007-2008 SB5-SB1737; SBX2_6; SCR43-SCR79 LP469:349- 403 SJR21 (55ff)

2. California Sesquicentennial Commission and Foundation Investigation Files, 1997-1998. 10 file folders, 1 videodisc (DVD-ROM). LP469:404-413

Investigation files are arranged in the order they were maintained by their creator

Access to audiovisual material requires the production of use copies.

The California Sesquicentennial Commission and Foundation Investigation files include correspondence, committee statements, hearing agendas and exhibits, testimony, background information, Foundation contract documentation, business plans, event programs and publications, newspaper clippings, and final reports.

In 1994, Governor Pete Wilson issued Executive Order W-74-94, which authorized the creation of a commission and foundation that would oversee and direct the state’s sesquicentennial celebration. The California Sesquicentennial Commission and Foundation had grand plans for celebrating 150 years of California history, which included a tall ship race along the California Coast. Machado's interest in investigating the California Sesquicentennial Commission and Foundation started after towns in his district complained that the commission failed to support their celebrations. Additionally, an investigative report from the Joint Legislative Staff Task Force on Government Oversight, prepared at the request of Machado, found gross lack of management and accountability by both the Commission and the Foundation. While the investigation was being conducted by the Task Force, Machado served as the Chair of the Assembly Water, Parks, and Wildlife Committee. As committee chair, Machado advocated for greater accountability from the Commission and the Foundation, as well as a revamped management plan, for the celebration Machado deemed “too important to our state to fail.”

The investigation files contain both documentation of the Joint Legislative Staff Task Force’s fact-finding efforts and hearing materials from the Assembly Water, Parks, and Wildlife Committee, which focus on the California Sesquicentennial Commission and Foundation’s mismanagement of funds and its poor planning and execution of the

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celebration. The investigation files also include the Assembly Budget Subcommittee on State Administration’s final report, entitled Giving Up the Ships, which served as a follow-up to the Task Force’s original report. The Assembly Budget Subcommittee’s report contains a history of the Sesquicentennial Commission and Foundation, its allocation of funding, and suggestions for making the event project a success.

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APPENDIX B

Sample Processing Checklist

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Processing Checklist Date Completed

1. [ ] Pull accessioning worksheets/transfer sheets from master set

2. [ ] Research history and functions of records creator

3. [ ] Pull records from stacks – notify all staff about project & location & stamp accession sheets in the research room binders

4. [ ] Conduct preliminary review of records and identify units of records (sub-groups, series)

5. [ ] Create a processing plan (Processing Plan worksheet is available on the shared file) and hold processing plan meeting with program coordinator

6. [ ] Arrange records into appropriate units

7. [ ] Complete draft separation sheets

8. [ ] Complete conservation work orders

9. [ ] Complete folder labels then box labels

10. [ ] Complete typed, final separation sheets

11. [ ] Complete draft of finding aid - discuss with program coordinator

12. [ ] Complete finding aid & email to program coordinator

13. [ ] Complete catalog cards and add to card catalog

14. [ ] Transfer records to D shelf locations (add the D shelf location to the LP list on D floor)

15. [ ] Email the processing coordinator the new D-floor locations

16. [ ] Notify all staff about new location

17. [ ] Return original accessioning sheets to program coordinator & remove stamped accession sheets from research room binders

18. [ ] Complete Sostomcat records

19. [ ] Encode inventory for OAC

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APPENDIX C

Sample Processing Plan Worksheet

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Processing Plan

Worksheet Record Group/Collection Name:

Predecessor

Names:

Accession

Numbers:

Total Volume: Dates:

Organization:

Types of

Materials:

Primary

Subjects:

Physical

Condition:

Restrictions:

Record Units:

Date Assigned: Date

Completed: Processing Archivist:

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APPENDIX D

Sample Separation Sheet

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California State Archives Separation Sheet

ID No. Dates of Records:

Agency/Source:

Record Title:

Old Location: New Location:

Record Description

Comments

Date Separated: Separated by:

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Accessioning Number 2001-05-09. Accessioning Worksheet, Accessioning Program Records. California State Archives. Office of the Secretary of State, 2001.

Accessioning Number 2002-176. Accessioning Worksheet, Accessioning Program Records. California State Archives. Office of the Secretary of State, 2002.

Accessioning Number 2002-207. Accessioning Worksheet, Accessioning Program Records. California State Archives. Office of the Secretary of State, 2002.

Accessioning Number 2004-155. Accessioning Worksheet, Accessioning Program Records. California State Archives. Office of the Secretary of State, 2004.

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