Cataloguing

Once you have taken in an archive collection, the next step is to organise and describe it in a way that makes it easy for you to manage and make available for researchers. This process is known as arrangement.

Arrangement ensures you know and record:

• What the collection contains
• How much material there is
• How the items in the collection relate to each other
• Where the items are stored
• If there are any conditions relating to access

If archive collections are not arranged there is a risk of losing information:

• Physically eg losing or misplacing one of a collection of notebooks
• Intellectually eg not having any information about a folder of photographs

A loss of information means a risk of:

• Being unable to help a researcher with their enquiries
• The collection losing its research value

There are two key principles to consider when you begin arranging a collection. These are provenance and original order.

Provenance tells us where the collection came from, why it was created and how it was used.

Original order tells us how the collection's creators arranged it.

Provenance and original order protect the contents, structure and background of the collection. They also mean you can prove the collection is authentic and reliable documentary evidence - it is not 'fake'.

Provenance

An archive collection's provenance is the history of its ownership - how they were put together and for what purpose, and its journey over time until it has ended up in your custody. It's best to avoid putting items together in the catalogue which are from different provenances. Archival catalogues usually include a description of the provenance of the collection.

Provenance can be used to identify:

• Who created the records
• How they were used
• Where they were kept over time
• How they came to the community archive

These points give the collection context, or a back story, so that researchers are confident that it is an authentic record of a person, organisation or community. Provenance means you can be surer that a collection is 'the real thing'.

• When taking in a collection, try to note down who created, received or used the collection. Record the names of any mentioned organisations, individuals, dates and places. This information will be very useful when you come to create a catalogue for the collection.
• Keep collections of different provenances separate to preserve their context - do not mix collections together! For example, the collection of Wreningham Women's Institute items should not be mixed with the Wymondham Women's Institute catalogue, as they are separate organisations.
• If a part of a collection has no obvious provenance, you should also record that in the catalogue so that researchers are aware. This might affect how useful this part of the collection is to them. For example, a collection of photographs may not be very useful if you do not know who took them, when or why they were taken, or what people or places they show.

Where there is no provenance

If there is no provenance to a collection, it may be best to organise it by subject matter, eg photographs depicting local pubs. You can create 'artificial' collections of items without provenance. This is better than creating hundreds of small 'collections' of just one item.

Original order

Items often belong in groups that were put together by the person or organisation that created and used them. Groups of items should be kept in this 'original order'. This gives the cataloguer - and the researcher - an idea of how the creators used the items in their day-to-day life or work.

If you do not maintain a collection's original order, you may make it less useful. For example, if a folder of letters is rearranged by author or by subject matter, rather than by how the original user had ordered them, there is a risk of losing the links between each letter. This might make them less useful as a research resource.

Where possible it's best if you arrange items in the order they were originally kept, if this is clear.

You need to look at the records for clues about what the records are and how they were arranged - for example, original titles, reference numbers or dates.

Here's an example of an original order in a collection:

You take in the archive of a locally-run photography club. It is made up of:

• Annual Reports from 1948-1996
• Signed meeting minutes from 1947-1989
• Scrapbooks containing programmes and photographs of events from 1966-1980
• Lists of members from 1948-1975
• Newsletters from 1956-1978

Where there is no original order

Sometimes there is no obvious original order to a collection. This is especially true with collections of personal papers, which can be stored more haphazardly than the records of a business or organisation.

If there is no obvious original order, you may have to make a list of all the possible 'functions' that a collection had and sort the material according to these functions.

For example, if you hold a local historian's collection that has been given to you unsorted in bin bags and cardboard boxes, you may want to arrange it into sections relating to the different functions or aspects of their working life: correspondence; research notes; drafts of articles or books; recorded interviews; sketches; photographs and so on.

• Arranging a collection by function can be tricky. You may wish to seek advice from a professional archivist or the Norfolk Archives Network Forum before you start.
• If possible, speak to the donor to get a sense of how they used the material, or whether they know how it was used. This can help you work out what functions to assign to each part of the collection.

By the time you have finished working on an arrangement, you should have a list of the sections you have divided the collection into. This will be important when you come to catalogue it.

When you have decided on a collection's arrangement, the next step is to catalogue the collection. An archive catalogue is a 'finding aid' that helps researchers to locate records that may help them in their research. Other finding aids include indexes and box lists.

An archive catalogue is not just a list of what a collection contains. It thoroughly describes a collection and its items and shows how the items are related to each other. A catalogue is a map of the archive that helps a researcher move from a general overview of the collection to a specific item within it.

Levels of a catalogue

Most archive collections are catalogued using a top-down approach known as a hierarchy.

Picture a family tree style diagram separated into different levels. The top level of the tree describes the whole collection. Then, for each level going down, the description gets more and more precise until you reach the entries on the bottom level of the tree. These are the individual items in the collection.

Cataloguing therefore describes an archive collection several times over. This means researchers can focus on the parts of the collection they are most interested in, but can also keep track of how these parts relate to the collection as a whole.

The different levels of a collection are as follows.

Collection level

The top level of the pyramid is the collection level. A collection can be very large, so it is useful for researchers (and you!) to see a summary of its entire contents. We recommend that this summary includes information on:

• Who created or used the collection
• When it was created
• Where it was held
• How many items there are
• Topics covered

For example, the collection could contain 10 diaries, 6 scrapbooks, historical research, 20 oral history recordings and 115 photographs of a particular parish, collected by parishioners from the 1960s to the 2000s.

Series level

The next level down is the series level. This is where your arrangement work becomes important. The collection is divided into groupings of related records, using the principles of provenance and original order. Each grouping is known as a series. Each series is given a description, providing information for the researcher.

For example, you may have a collection of photographs and press cuttings of a parish taken by a particular photographer in the 1970s. One series could be the press cuttings, one series could be photographs of buildings taken by this photographer, and one could be their portraits of parishioners.

File level

This is the level which researchers usually ask to study. At file level you describe individual items within each series. For example, an envelope of photographs of a particular building, a folder of typed local history notes, or press cuttings about a particular event. Again, describe the key information for the catalogue entry.

Item level

You can also catalogue down to item level. This is the lowest possible level and describes aspects of an individual item. For example, a photograph from an envelope, or a single page of notes. Cataloguing to item level can take a lot of time and resources, so consider this as a project for volunteers.

You do not always need to catalogue to the full number of levels. For example, some collections may just comprise a few individual items, so file level catalogue entries would not be needed.

Different parts of a collection may require different levels of description: one series catalogued only to file level, and one to item level. This depends on the level of detail each type of item needs - a framed photograph needs fewer levels than a bundle of correspondence.

Why you should catalogue in a hierarchy

In the past, archive collections were often catalogued in great detail, which slowed down the process and limited what could be made available to researchers.

Cataloguing in a hierarchy means you can:

• Consider your current backlog of collections. If you catalogue these to collection level and make the catalogue entries publicly available, researchers can look at them in some detail as soon as possible. This will stop your storage area filling up with collections that are not being used.
• Catalogue the lower levels of each collection in more depth once you have the time and resources.
• Learn more about your collections. For example, you can catalogue a series that consists of files of newspaper cuttings. Then over time a volunteer could catalogue files down to each individual press cutting. This will give you a much broader knowledge of what subjects the collection covers.

Most professionally-managed archive collections are catalogued to the (General) International Standard of Archival Description, or ISAD(G). You don't need to know too much about ISAD(G), other than it allows archivists across the world to catalogue collections to a common standard, which means catalogues can easily be shared.

ISAD(G) lists sets of information known as 'fields'. Together, the fields make up a catalogue entry that describes a collection, series, file or item. 

When a field is completed for a particular level, that information applies to every level lower than that, unless otherwise stated. For example, you may fill in the 'creator' field at collection level, so that researchers know who created the collection, but you would not need to fill this in at any of the lower levels.

Compulsory fields

Although there are many different fields you can use, you only need 6 compulsory fields to make your records comply with ISAD(G).

Reference number

This is a number that reflects each level at which the record is catalogued. For example, 'HS/1/1/2' - 'HS' is the collection, then each number after that represents a series, a file and an item. For more about catalogue levels, read the cataloguing process page.

Title

This is the name of the record, taken either from the record itself or assigned by the cataloguer. Keep the title short but meaningful.

Level

This is the level of description being referred to. This could be 'collection', 'series', 'file' or 'item'. For more about catalogue levels, read the cataloguing process page.

Date

This is the date or estimated date when the record was created. Use the exact date if you know it (eg 23 April 1985), otherwise enter:

• The year (1985)
• An estimated date range of up to five years (c.1983-1987)
• A decade (1980s)
• A time period (early 20th century)

Extent

This field describes how much physical or digital material there is eg:

• 1 box
• 2 folders
• 1 photograph
• 4.3 mb file

Creator

The creator is the person or organisation that created the item. Use the first name and surname, eg 'Helen Smith'. You may only need this field for the collection level catalogue entry.

Other useful fields

Description

A good description helps the researcher decide whether the record is going to be useful for their research. It should be a short piece of text (2-3 sentences) that describes the content and significance of the record. Use neutral language, and avoid words like 'interesting' or 'important'.

For example: 'A hardback A5 notebook, containing handwritten notes on the history of notable buildings and landmarks in the village of Market Langthwaite. Entries are dated from 2nd March 1986 to 14th January 1987.'

Copyright holder

This is usually the name of the person who originally held copyright of the item (eg the original photographer). If you don't know it leave the copyright field blank or write 'unknown'. See the Copyright page.

Access

This indicates whether a collection or part of a collection is 'open' or 'closed' to researchers. If a collection is closed, record the date it was closed and how long it should be closed for.

You should mark any material containing personal information about living people as 'closed'. Donors may also ask for a collection to be temporarily closed.

File name

Use a file name for identifying digital records. Record the full file name plus the file format, eg Oral_history_recording_24.WAV.

Location

This refers to a shelf location in your storage area. This field is for your use only - researchers do not need to know locations. Give each shelf a unique code or reference.

Community archives may hold two types of personal data.

The first is personal data that is part of a collection, for example letters including correspondents' addresses, or photographs of living people.

The second is personal data that is collected in the course of running your group, such as donors' contact details on an accession form, oral history permission forms or email addresses on a newsletter mailing list.

Personal data may not necessarily be an issue with the material you collect, but it is nevertheless important that you are aware of it.

Personal data includes:

• Any information that could identify someone, such as a name, address, telephone number or email address.
• Any information that could be combined to identify a person, for example a job title or health history.

Laws around personal data only apply to people who are currently alive.

You do not need to destroy or return archives that contain personal data BUT, records containing personal data should have a closure period, which is marked in the catalogue record, unless you have explicit written permission from the person concerned (not always the donor!) to open them.

The National Archives advises a closure period that assumes a lifetime of 100 years, but this can be graduated down from the age or assumed age of the individual in the record. For example, you have a twenty-year old photograph of a named person who is about 70 years old, meaning if still alive they would be about 90 years old currently. This may therefore have to be closed to public access for a further ten years.

If you make sensitive material available this could cause distress or damage to the subject of the record. Take professional advice or post on the Norfolk Archives Network Forum (opens new window) if you're unsure:

Read Archives and data protection law in the UK on the National Archives website (opens new window) for more information.

Copyright ownership affects how collections can be used. If you can, transfer the copyright from the item donor to the community archive when you first take in an item or collection. This needs to be written, not just verbal.

This means you won't need to ask the donor for permission if researchers want to copy items or use them in publications - although checking with the donor out of courtesy is always a good idea.

Sometimes the donor will not hold the original copyright of a record as it may be a published item or created by someone else prior to the donor taking custody of it. In these situations, point researchers in the direction of the original creators or copyright holders for permission to copy or use the records.

You should also be aware of the concept of fair dealing. This allows a researcher to get an 'insubstantial amount' of a document or image copied for private research use without asking the copyright holder for permission - it does not apply for commercial use such as publishing the document or image. An insubstantial amount could comprise a few paragraphs of a document or a section of a map or photograph, for example, as opposed to a whole book, photo or map.

For example, a researcher is using your collections to write a history of your village. They are able to quote a few lines from a written memoir, but in order to use two full pages and an illustration from it in their final publication, they must seek the author's permission first.

Copyright is a complex subject and is worth reading about in more detail. Read the copyright information (opens new window) on the GOV.UK website.

Read the collections management section for more information about adding items to your archive.

This is a step-by-step guide to cataloguing a collection, with some examples.

Step 1 - Create a catalogue entry

Use the information in an accession form and box list to draw up a draft collection level catalogue entry. In this entry's description, list what the collection contains and give some information about the creator or creating organisation/person/family.

Give the entry a unique reference. Use the initials of the creator, for example 'HS' for the Helen Smith Collection or 'ML' for the Market Langthwaite Village Archive.

Step 2 - Look for obvious series of material

Go through the collection and make a list of obvious series of material. Series are parts of the collection that belong together or were clearly kept together by the creator.

Step 3 - Arrange by function

If the collection has no obvious existing series, arrange it by function. For example, photographs of village buildings, local history research or correspondence.

Step 4 - Make a list of series

Draft a list of series at 'series level' - the next level down from collection level - and give each series a number. Read more about collection levels.

For example, '1' could be 'Photographs of Market Langthwaite buildings', '2' could be 'Local History Research', and so on. This may be all you need to do initially, depending on the size and scope of the collection.

Step 5 - Add more detail

When your group has the time and resources, you may want to catalogue the collection, (or a part of it) in more detail - down to file or item level.

Here you can subdivide each series down into smaller parts, such as a folder of photographs of the local church, one of the village pubs and one of annual summer fairs. You can then give each file a number.

Step 6 - Map file relationships

Now map out each file's relationship to the whole collection.

For example, the church photos could have the reference: 'ML/1/1: Photographs of St. Andrew's Church, Market'.

This would mean that 'ML: Market Langthwaite Village Archive' would be at the top level, followed by 'ML/1: Photographs of Market Langthwaite buildings' at the next level down, then 'ML/1/1: Photographs of St. Andrew's Church, Market Langthwaite' would be at the bottom level.

Here's another example. The third volume of a series of local history research could be referenced as 'ML/2/3 Market Langthwaite History vol. 3, 1890-1945'.

So 'ML: Market Langthwaite Village Archive' would be the top level. 'ML/2: Local History Research' would be the next level down. The final level would be 'ML/2/3: Market Langthwaite History vol. 3, 1890-1945'.

Step 7 - Fill in the catalogue entries

Once you have a catalogue structure in place, it is time to start filling in the catalogue entries. Read more about catalogue descriptions.

For each entry, fill in the six compulsory fields. For example:

• Reference number: ML/1/1
• Title: Photographs of St Andrew's Church, Market Langthwaite
• Creator: Market Langthwaite Photographic Club (this should be in the collection level catalogue entry)
• Date(s): 1900s-1960s
• Extent: 45 photographs
• Level: File

Although it's not compulsory, It is also useful to have a description field. For example:

• Description: Black-and-white and colour photographs of the interior and exteriors of St. Andrew's Church, Market Langthwaite, taken between 1900 and 1960 by members of Market Langthwaite Photographic Club. Includes shots of the nave, altar and tower as well as individual and collective shots of gravestones in the churchyard.

Check whether the collection contains sensitive material or personal data. This information should be available from the accession form or the box list.

Make a note in the catalogue entry if access to the material is open or closed. If closed, record the date it was closed and how long it should stay closed for. Any material containing personal information about living people should be marked as closed. A donor may also ask for access to be closed.

Step 8 - Package your collection

Once you have created a catalogue, use a soft pencil (2B) to write the reference number on the top right-hand corner of each record where it can be easily read. Make sure each folder and box are marked with the reference numbers of the records they contain. If the records are closed, add this information and the date they can be opened.

Consider packaging the collection in archive-grade materials. Read more about archive preservation.

Step 9 - Store your collection

Choose where you will store the collection. Keep the items together as much as you can. Make a note of the shelf references and add them to your catalogue. Shelf references are for your use only - don't make these available to the public.

Here is an example catalogue to compare to your own cataloguing.

You have accessioned a new collection from Helen Smith, a local photographer, historian and artist who has been documenting the village of Market Langthwaite for over thirty years. She has donated a collection of her photographs, artwork and research.

Helen has provided you with information about the collection: she started photographing and sketching the village in the 1980s, which led her to take an interest in its history. She has compiled several handwritten notebooks and printed notes of historical research that she made while visiting local libraries and archives. More recently, she has also made video recordings of local events and interviews with parishioners.

You give the collection the reference code 'HS' to indicate this is the collection received from Helen Smith, and enter a collection level description, eg:

• Local history research, photographs, sketches and newspaper cuttings concerning Market Langthwaite, created and/or collected by Helen Smith, a local photographer, historian and artist. Includes records of Market Langthwaite Photographic club purchased by Helen Smith in 1984.

Then you arrange the collection into the following series of records and give a number to each one:

• HS/1: Local history research and notes
• HS/2: Sketches and paintings of buildings and areas of the village
• HS/3: Photographs of people, places and events related to the village
• HS/4: Digital film recordings

Next you look at each file level and repeat the process again. Within the local history research notes series, there are four notebooks dated 1992, 1993, 1994-5 and 1996, and a set of typed notes dating from 1997-2003. You give them the numbers 'HS/1/1', 'HS/1/2', 'HS/1/3', 'HS/1/4' and 'HS/1/5' respectively, to reflect this chronological order. Now each file has the same set of catalogue fields, so that a researcher can assess each one individually and see how they each fit in the collection.

For each file or item you catalogue, you pencil in the reference number (for example 'HS/1/3') onto the top corner of the item itself and the folder or box it is stored in. This will make parts of the collection easier to locate in future.

You repeat this process with the other series, box up the items, label the boxes and store them in your storage area, making a note of locations.

Example of catalogue hierarchy

Collection level:

• Helen Smith Archive (HS)

Series level:

• HS/1: Local history research and notes
• HS/2: Sketches and paintings of buildings and areas of the village
• HS/3: Photographs of people, places and events related to the village
• HS/4: Digital film recordings

File level:

• HS/1/1 Notebook 1982-1983
• HS/1/2 Notebook 1984-1986
• HS/1/3 Notebook 1987-1990
• HS/1/4 Folder of printed notes 1982-1992
• HS/2/1 Sketch of St Andrew's Church
• HS/2/2 Sketch of Red Bull Inn
• HS/3/1 Photographs of people from Market Langthwaite
• HS/3/2 Photographs of Market Langthwaite buildings
• HS/3/3 Photographs of May Day celebrations
• HS/3/4 Photographs of Christmas and New Year parties
• HS/4/1 Recording of walking route around the High Street
• HS/4/2 Recording of 2001 Morris Festival

It is useful to create a style guide for your archive catalogue. This will help to standardise how your group records its catalogue information and ensure that new volunteers quickly pick up how you want your catalogue entries to be structured.

Decide in your groups how you would like to set out each piece of information, including how you will construct your references, titles, dates, extents, and so on.

For example, you may wish to standardise how dates should and should not be recorded:

• Dates should be:
  • Exact dates: eg 23 May 1978
  • The year: eg 1959
  • A range of years: eg 1909-1934
  • Plus or minus five years around a date: use ‘c’ which is short for circa then the year, eg c 1953
  • A decade: eg 1990s
  • A century: eg 20th century
  • If no date is given on the document, but is estimated by cataloguer use ‘nd’ (‘no date’) with the date in square brackets, eg nd [mid 20th century]
• Dates should not be:
  • In shorthand format eg 30/07/2003

Draw up a document that sets out the required styles for each format. This can be kept for future reference.

An index lists various subjects that may be of interest to researchers, eg people, places, companies, societies, political groups etc. It allows a researcher to search across more than one collection to find useful information and creates another point of access alongside the catalogue.

Archive indexes are organised by the following criteria:

• Subject
• Genre
• Names (of a person, company, organisation etc)
• Places

These criteria can bring together information from many records into one place. Think of them like 'tags' on an internet forum or social media. For example, if you have the place 'Hickling Broad' in your database, you can use it to link together all the records in your collection that mention or have information about Hickling Broad. Likewise, the subject 'angling' will bring together all your records related to angling. These criteria are useful for researchers who want to investigate a particular topic, rather than what is in a single collection.

Subject and genre use consistent terms to help simplify searching. This is known as a controlled vocabulary, an organised arrangement of preferred words and phrases used to index records. Names and place are more variable, so you can use the places and names that are relevant to your collections.

So, what do these index criteria mean?

• Subject: what the item is about, eg agriculture, fishing, caravan sites, sport
• Genre: what the item is, eg local history notes, oral history, business records, personal correspondence
• Place: eg Martham, The Red Dragon Public House, Kings Lynn, Market Langthwaite Village Hall, Sea Palling, Queens Street, Thetford Forest
• Name: the name of a person, company or organisation. Write these in the following format: full name, dates, profession, place. eg John Smith, 1800-1860, solicitor, Martham. You can also list names of organisations, eg Colman's, Norwich Union, Woodforde's Brewery.

You can use as many words under each descriptor as you like in your catalogue record. For example: Subject 1: agriculture; Subject 2: fishing; Place 1: Kings Lynn; Place 2: Queens Street etc.

When you have the time, go through each catalogued record and add these criteria to the relevant fields. (This could be a good project for volunteers.) Once you have added your catalogue to a database, these criteria can help to index your records.

Download an example of a catalogue spreadsheet. (Excel doc) [137KB]

Our example includes all the fields you need to catalogue a collection at all levels. It also includes lists of the Norfolk Record Office's preferred controlled indexing vocabularies for subject (what the item is about) and genre (what the item is). Names and place are free to be added to by each community archive group.

Field headings marked with an asterisk are required fields. Remember that the creator field is only required for a collection-level entry, unless a lower level was created by a different creator.

The fields continue to Row X. The subject list tab and genre list tab contain lists of subjects and genres that the Norfolk Record Office uses. We've included them to standardise these authorities.

The form includes some examples to illustrate how collections and items can be recorded in a catalogue.

The way you record your catalogue will affect how it can be shared, accessed and used. Here are some general points to think about.

• Record your catalogue information in a spreadsheet, database or specialist cataloguing software. Our advice is to avoid word-processing software, as it will be much more difficult to move your catalogue elsewhere in future and may involve the copying and pasting of a lot of text! The simpler the file format the better. (We've created an example of a cataloguing form.)
• We recommend you save your spreadsheet as a .csv file. This format can be opened by most spreadsheet software and is easy to upload to an archives directory website such as The Community Archives Heritage Group (opens new window) or Archives Hub. Helpfully, The National Archives has developed an application called 'Manage Your Collections (opens new window)' within their 'Discovery' catalogue. This allows community archive groups to upload their own collection catalogues to Discovery. Groups can subsequently update and edit this information, and can add their contact details and information on how researchers can access their collections. You can find out more information about 'Manage Your Collections (opens new window)' on The National Archives' website.
• There are many types of cataloguing software. Some groups or organisations even design their own. Cataloguing software, like all computer software, may go out of date over the years. Make sure the software can export information so it can be used elsewhere in future. Check the Norfolk Archives Network Forum for examples of cataloguing software.
• If your group doesn't have anyone with a good knowledge of computers, think about getting help from a professional archivist. You could also contact other community archive groups through the Norfolk Archives Network Forum.
• Think about the long-term management of your catalogue. Talk to your local record office about whether they might take your catalogue if you decide to offer your collections to them.

• Assess a collection for easy ways to arrange it into sections, using the principles of provenance and original order
• If the collection has no obvious original order, arrange it by dividing the records into sections that reflect its original functions
• Use these sections as the starting point for the collection level and series level catalogue entries
• When you have time, you can catalogue the collect on further down to its file or item levels, to create more specific catalogue entries
• Label, box and store your newly-catalogued collections and make the catalogue available via your cataloguing software
• Add any research subjects you come across to your archive index, noting down which collection they came from. Later, go through your catalogue records and add in index terms.

You can view a training video on arranging and cataloguing community archive collections on the Norfolk Record Office's YouTube channel. This video will focus on the key points covered in the Cataloguing section of the Community Archives Toolkit.

Watch the training video (opens new window).