Collections management

Creating a collections management policy document

A collections management policy will help you make decisions about your community archive and means everyone involved is working towards the same goals. It will also act as a tool to help continue the work of the archive in the long term.

Create a collections management policy document with the following sections:

Mission statement
Collecting statement
Access statement
Preservation statement

Before starting, decide who will draw up the document, and work together with your group (if you have one) to agree what you'll include.

You're unlikely to cover everything on your first attempt. Date each version of the document as you update it so you know which is the latest.

The collections management policy document should be published on your website (if you have one) so users can read it.

Mission statement

A mission statement answers the question 'what do we do - what is our purpose?' It has the types of items collected and what is done with them.

Keep your mission statement short and to the point with one or two simple sentences.

For example, the Norfolk Record Office mission statement reads: 'We collect and preserve unique archives relating to the history of Norfolk and make them accessible across the world.'

Your mission statement could include a sentence which answers the question 'why do we do this?', but it's not always necessary.

Your mission statement can be added to the 'about us' section of your community archive website, if you have one.

Collecting statement

A collecting statement sets out what is collected by the archive. It allows you to focus your time and resources on the items that are most important and relevant. It also helps you say 'no' to items which fall outside of its scope.

A collecting statement includes:

The types of items you want to collect (eg original documents, photocopies, books, objects, digital copies of documents, digital photographs)
The geographical area you want to collect from (eg the local parish)
The themes or topics you want to include (eg agricultural practices)
Exclusions - what you do not wish to collect and why (eg material that doesn't relate to a particular village, or official records that should be held by a record office such as school log books)
Terms of acceptance - the conditions under which you will accept archives. Further guidance on adding items to your community archive.

Access statement

An access statement sets out where and how your archive items can be used and by who.

An access statement includes:

Details of where and when items can be viewed (eg in a space looked after by the community archive, or on your community archive website)
Restrictions (eg you may wish researchers to only view copies of certain archives because the originals are too fragile to handle)
A note that each item will have particular conditions of access listed in its catalogue description - for example if it can't be viewed because it contains sensitive information (this only applies if you agree to accept items with conditions attached)
Your community archive's contact details, so people can get in touch with questions or enquiries about viewing the archives

Preservation statement

A preservation statement sets out how you will look after the archive's collection items.

A preservation statement includes:

A description of where and how the items are being stored
The steps taken to keep them safe and secure
A list of keyholders with access to the storage area
A description of how you will maintain access to fragile or damaged items (eg through photocopies or digital photographs)
A list of 'best practice' guidelines to ensure the ongoing preservation of the items and/or types of material that are a priority for you to preserve

Read our full guide on how to preserve your archives.

What to consider before accepting items for your community archive

Surveying the collection

Before taking legal ownership of new material (accessioning), the first step is to survey it in a process known as an appraisal.

An appraisal is a survey of the collection to determine its research value. Think about the historic and social importance that an item or collection of items could have. Who created it, who used it, how was it used and for what purpose? Think how this affects the way you look after the items and how you make them available. Could they be digitized for online exhibition/research? Will you need to make copies of records if you think they will be a popular resource?

The research value may change over time and can be a matter of opinion which items have research value. If there is no clear agreement whether it should be kept, refer the issue to a professional archivist, which you can do by contacting the Norfolk Record Office at norfrec@norfolk.gov.uk.

It won't be possible for you to include everything that is offered to you in your archive. When you are offered items, consider the following questions before you decide to take them.

Do the documents fit your collecting statement?

In your policy document you will have included a collecting statement.

Do the items you are being offered fit with this statement?

If not, you have two options:

Decline to take them in
Consider rewriting your collecting statement so that these and similar items offered in the future fit your policy

Do you have the resources to look after them?

If you do not have the resources to take in and manage the items that are offered, you may need to turn them down.

This might be because:

You do not have the right equipment to make use of them (eg a modern computer will not be able to show the information on a 1990s floppy disc)
You do not have the physical or digital space to store them
They contain sensitive information and you are not able keep them secure and confidential
They require special storage environments and handling

Should they be offered to another collecting body?

It may be necessary to direct items towards another organisation, eg if:

The items form part of a larger collection held elsewhere
They are official records which should go to a specified repository, eg school records should go to a local authority archive

If you choose to decline items, you may be able to direct them towards another organisation. This might be your local record office, museum or another community archive. Alternatively, you could put a notice on the Norfolk Archive Network Forum.

Some donors may want to place specific access conditions onto the items they donate, eg that their records can only be accessed after their death. It is reasonable for your archive to decline items that have these conditions attached to them.

Relationship with the Donor

If you are able to, build up a relationship with the donor of a collection. It's a good idea to ask them some questions about the collection - what is in it, how much of it is there, do they have anything else, what is the background or history of the collection? This will allow you to make decisions on whether the collection is relevant to your collecting policy and whether the donor is happy to take some items back, or is happy for you to dispose of them or offer them to another group.

The donor can also flag up if they are aware of any records of a sensitive nature, or any potential data protection issues, so you can make a decision whether to close records for a period of time.

It is a good idea to encourage collections to be donated as gifts, where the donor agrees their ownership is to be transferred to the community archive. Loans, also known as deposits, are given to an archive without their legal ownership being transferred. This often presents practical problems, liabilities and potential costs which can be very difficult for small, voluntary-run organisations to manage. Sometimes digitizing a collection and returning it is the best possible option if the owner does not wish to part with the originals permanently.

Other options you may want to consider are:

A bequest or
A purchase where ownership is passed to the organisation
Transfer from within your organisation if you have different branches or areas of responsibility, so ownership is retained by your organisation
Temporary deposit, usually for the purpose of digitisation or exhibition

When accepting a new accession to the archive you need to

Ensure that the person giving you material is authorised to do so - for example power of attorney over a relative living with dementia who are the actual owners of the collection
Have a name for the donor or depositor. It could be an organization, an individual, family, estate of a deceased person, auctioneers etc
If receiving from an organisation, make sure to get the direct contact for an individual
Try and get as many forms of contact as possible - address, phone and email
Gather as much information about the collection as you can from the donor, either in person or via your email communications
This process is a negotiation with the depositor / donor as to what you can do with the items, discuss what's open to access, and copyright or licencing agreements
If records contain information relating to a living individual, could their release to the public cause, 'substantial damage and distress'. If so, apply restricted access for a defined time, and assume people live to 100.
Ownership of copyright is different to ownership of the records - the donor and depositor is not always the same as the copyright holder, so check what can be assigned
Copyright is complex and often misattributed - it's good to familiarise yourself with how it's applicable to archives, and to apply caution when taking in a collection. Ask questions and do some digging!
The accession form just allows the depositor to transfer copyright if they wish to - they don't have to
Ask permission from the donor to destroy unwanted records, or pass to pass them on to another collecting organisation

Accessioning: adding items to your community archive

Accession form

An accession form is used to record the acquisition of an individual item or a collection of items. It is a legal title agreeing to the transfer of a collection's ownership (in this case from the donor of the collection to the community archive). You will need to create a form for your community archive. Download a sample accession form. (Word doc) [20KB]

It's helpful to fill in the form in the presence of the donor or depositor to make sure the details are accurate. They should be given a copy of the completed form for their reference.

An accession form include:

The name, address and contact details of your community archive, you can include your website (if you have one)
A unique reference number for each entry - which could be the group's initials, followed by the current year, then a consecutive number
The name, address and contact details of the donor or depositor. It may also be useful to note the contact details of the donor's next of kin or executor
The date of receipt - when the documents are received (eg 04/10/2020; keep the format consistent)
The date the item was created, if it's just one thing, or if multiple items, the date span the collection covers(eg 1950s-1990s)
The title of the collection or item (eg Helen Smith Collection)
The quantity and storage formats of material (eg 2 boxes, 3 folders, 5 CDs)
A brief description of the contents (eg local history research, physical and digital photographs, digital film files, sketches, diaries and notebooks)

An accession form also includes information as to whether the item is a loan or a gift. In most cases, it is simpler if items are accessioned as a gift, as you have much more control over how they are managed. If you choose to accession items as loans you will need to establish:

The terms on which the loan is accepted
The loan period, for example if you are taking possession of a document for copying, this may be for a short time. We recommend short-term loans are no longer than 3 months, these can also be referred to as temporary deposits.
Liability - make sure that the lender understands that you cannot be liable for loss or damage to their items when they are in your custody

Accession register

An accession register is an official record of each group of materials in an accession. It can be used to collate the information from individual accession forms.

It provides number control - so you can see at a glance the reference numbers of each accession and track them.

It can be a simple table created on a spreadsheet or in a bound notebook or ledger. It is useful to have it in both formats. Download a sample accession register (Word doc) [15KB].

If you haven't already got a register, you can enter your current collections into your new register retrospectively, recording information to the best of your knowledge. Add each new item or collection of items as they are accessioned into your archive.

An accession register records much of the information collected in your accession form, starting with the unique reference number of the item or collection of items. The accession number is different to the catalogue reference which individual items will be assigned when you get to the cataloguing stage.

In addition to the information from your accession form, the register then also records

The name of the person receiving the records
The location where the collections or items have been stored, such as a shelf reference number
And lastly, if the accession is on loan, there should be space to record the date it was returned

When storing the collection, note where you store the new accession - you can use a spreadsheet to keep track of what is kept on each shelf or in each cupboard. If necessary, indicate the number of parts, for example part 1 of 5. This allows you to check if something has gone missing.

Record the location even if it is going to be temporary. It's good to have location control over your collections in case of an emergency, and so everyone knows where the accessions are stored, not just the person who received it.

Making a box list

If you do not already have one, set time aside to make a quick 'box list' (an inventory of the archive). Box lists describe not just boxes, but also any containers of archive material such as files, ring-binders, volumes, packets and bundles, or the loose contents of drawers and cabinets.

A box list will:

Provide an overview of what type of material is in the archive
Enable you to make a quick assessment of any issues with the condition of the material or any special storage that would be needed because of its format (eg photographs, textiles, audio-visual or digital material)
Enable you to identify material that might be particularly important for research
Enable you to spot any material that might need special access restrictions
Enable you to quickly see what you have and how much - like stock control in a shop
Check if anything is missing

How to make a quick box list

Have clean hands and a clean, dry area to work in. Set aside some time when you will not be disturbed.

Begin by giving each box, volume or file a number. You can label boxes with pencil or with slips of paper inserted into the boxes. Never use sticky notes or labels on archival records themselves as they cause damage. Use slips of paper to label bound volumes.

Make a table, divided into columns with the following headings:

Unit number

Give each unit of archive material (a box, file, volume or any other container) a number as you go, so you know how many you have and so you can check if anything goes missing. Give each unit a three-digit number such as 001, 002, 003 etc.

Title

This is the basic title that describes your box, file or volume. Avoid repeating information that you'll also put in the box contents field.

Extent

Try to avoid counting individual items and stick to how many boxes, files or volumes you have. Hint: if you find you have several boxes, files or volumes relating to the same thing, create one entry and simply change the 'extent' entry to the number of boxes, files or volumes you have.

Give a very brief overview (2-3 sentences) of what is being described. Include details of which kinds of records are included, such as correspondence, reports or photographs. Remember your users can look at the actual items to get more information.

Dates covered

Include the dates or date ranges that cover the items in your box, file or volume. If you the date is approximate, include a 'c.' (short for 'circa') next to the date. Below are some examples of how to write dates. The accuracy of the dates can depend on the information you have available.

25 April 2014-30 May 2014
Sep 2013-Oct 2014
2013-2014
c. 2013
21st Century

Avoid marking boxes, files or volumes as undated as you should always be able to identify at least the century in which the material is created. If you really have no idea 'n.d.' can be noted in this field.

Notes on problems/conditions

Use this field to note any initial comments on the condition of an item, or anything else noteworthy, for example whether it contains personal information that may affect its accessibility. Complete a line in the table for each box, volume or file in your archive.

Location

Enter the location where it the item(s) are stored.

Download a box list example (Word doc) [19KB].