## Developing A Collections Information Policy

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.  

## Contents

1. Purpose of the Guidance 2. Why have a Collections Information Policy 3. Understanding Collections Information 4. Policy, Plan or Procedure 5. Developing a Policy 6. Policy Scope and Content 
7. Further Resources 

## 1. Purpose Of The Guidance

Archivists routinely gather and record information about their collections from the point of accessioning onwards, both to manage and provide access to collections effectively. As yet, archivists have not routinely evidenced their adopted approach towards recording information about collections nor evidenced the thinking and decisions which have influenced this approach - all important for advocacy, transparency and accountability. Developing a written information policy can be an opportunity to create this evidence for future use. 

The aim of this guidance therefore is to help archivists write a Collections Information Policy which reflects their own archive service's approach to collections information and which they can use practically by developing a policy which will: 

 Evidence why collections information activities are important and demonstrate 
the value of what the archive service does in this area 
 Help the archive service meet the Archive Service Accreditation Standard 
under requirement 2.3.1 Collections Information Policy 
 
The guidance is aimed at staff who work in any type of archive service and tasked with writing a Collections Information Policy.  It is not a template, but should allow archivists to develop a Collections Information Policy which reflects the purpose of their archive service and the environment in which they operate. 


## 2. **Why Have A Collections Information Policy?**

Writing an effective policy requires the investment of staff time and it can be useful to identify some benefits and value of a Collections Information Policy to justify this investment. 

A tool for advocacy: A written statement which explains the importance of collections information and describes professional activities associated with this is valuable for both internal and external stakeholders, such as senior managers or funders. It communicates the value of core but 'hidden' work undertaken by the archive service. Gaining approval for your collections information policy by parties within your reporting structure can be a useful method of gaining internal support for work in this area.  
Improves transparency and ensures accountability: A clear and written statement that is available for consultation and which both describes and explains an archive service's approach and the reasons for what an archive service has promised to deliver can improve understanding and manage expectations among depositors, researchers and other key stakeholders.  Documenting, explaining and justifying your approach can lead to improved confidence amongst these stakeholders.   
Improving Collections Management within the archive service: Documenting your approach to Collections Information can be an opportunity to review how well this integrates with other collections management activities such as accessioning, appraisal, collections care, and providing access to collections.  It  re-enforces the interrelationship between collections development, collections information and collections care.  A policy should provide a framework to guide any decision making within the archive service and thereby encourages consistent planning across collections management.  A policy also provides guidance to all staff and others involved in collections information activities. 

Guide Collections Information planning:  A written document outlining your approach to managing and developing collections information can provide a practical tool to guide planning in line with identified priorities and ensure a consistent approach through successive planning cycles.  
Succession Planning: Documenting the archive service's current approach to managing collections information can preserve knowledge of staff and help with succession planning within the archive service.    
Increasing acceptance of national and international standards: With the increasing acceptance of national and internal standards within the archives community, particularly in with regard to cataloguing, it can be useful for an archive service to communicate their approach to recording this information. This can help with sharing collections information more widely through networks. 


## 3. Understanding Collections Information 3.1 What Is Collections Information?

Collections information is the information used for the management of the collections held by an archive service.  It provides intellectual control over collections in order to enable access to collections. It is therefore any information collected from depositors or information generated during accessioning, appraisal of collections, cataloguing and the creation finding aids, and which records the location and movement of collections.   
PAS 197:2009 defines collections information as 'information an organisation collects, holds and maintains about its collections and/or collected items'. 'Points where archive services gathers information- deposit and accessioning, cataloguing, physical condition, preservation and conservation activities.' 
Those working in archive services are therefore very likely to be familiar with the concept of collections information if not the concept of a written collections information policy. 

## 3.2 Collections Information And Archive Service Accreditation

Archive Service Accreditation is the UK Standard for Archive Services and looks at how well an archive service performs in three areas: in organisational health, collections management, and providing access to collections for a range of stakeholders. The standard was designed to fit closely with other frameworks and standards already in use in the archive, museum and library sectors such as the PSQG Standard for Access to Archives PD 5454 and PAS 197:2009. In terms of collections management, Archive Service Accreditation adopted as primary reference the recommended structure for an integrated Collections Management Framework laid out in PAS 197:2009 i.e. a framework of policy, plans and procedures. 

The standard also borrows much of the terminology relating to the management of collections i.e. collections development, collections care, collections access and most importantly in this context collections information. 

## Requirement 2.3.1 Of The Archive Service Accreditation Standard States That:

'The archive service has a policy on collections information which specifies how collections information is recorded and enhanced and the standards and procedures which must apply' The Standard also requires that the archives service has collections information plan and collections information procedures to deliver the policy in practice. 

 

## 4. Policy, Plan Or Procedure?

Understanding the scope and content of a policy, plan or procedure and the relationship between these can also help clarify the scope and content of the policy itself. With reference to the Archive Service Accreditation Guidance : Policy: Describes the overall intentions and directions of an organisation. Provide a framework for organisational planning and action.  Can be written in the form of a statement, require the endorsement of the organisation's governing body. It should address the whys. Plan: Sets out the objectives of an organisation and identify the actions needed to achieve those objectives, in line with the organisation's policies and in order to deliver its mission statement. Planning documents should link with and be consistent with the policy to which it relates. Examples are strategies (3-5 years), business plans annual, departmental/individual action plans (often related to projects or reporting cycles) Procedures:  Describe a specified way to carry out an activity or a process in order to deliver a particular output or outcome.  Procedures may be documented in the form of operational guides, manuals, handbooks, instructions etc.  Procedures should be consistent with and policy to which they relate. 

For small archive services or for those archive services who are integrated within a wider collections organisation, the Collections Information Policy may be part of an overall Collections Management Policy for the archive or be integrated within the policies of the wider organisation. 

 

## 5. Developing A Policy

This section will take you through the key steps of writing and developing a policy. It is recognised that many organisations have their own in house procedures and guidelines for developing and writing policies. 

Remember that your policy should cover both analogue and born digital collections. 

|                                         | Step Activity                 | Notes                                         |
|-----------------------------------------|-------------------------------|-----------------------------------------------|
| 1                                       | Define the aim and scope of   | Be clear as to why you are writing the policy |
| your policy                             | and what you want to include. |                                               |
|                                         |                               |                                               |
| Questions to consider:                  |                               |                                               |
|                                        |                               |                                               |
| Why are you writing the policy, what do |                               |                                               |
| you want your policy to achieve?        |                               |                                               |
|                                        |                               |                                               |
| Who are your audiences? who you are     |                               |                                               |
| writing the policy for, for example     |                               |                                               |
| archive service staff, researchers,     |                               |                                               |
| depositors, funders? What do they       |                               |                                               |
| need to know?                           |                               |                                               |
|                                        |                               |                                               |
| How will your policy provide effective  |                               |                                               |
| guidance for collections information    |                               |                                               |
| management planning and link with       |                               |                                               |
| procedures?                             |                               |                                               |
|                                        |                               |                                               |
| How will it link with collections       |                               |                                               |
| development, collections care, and      |                               |                                               |
| access to collections?                  |                               |                                               |
|                                         |                               |                                               |
| 2                                       | Research the content and      | Questions to consider:                        |
| consult with other staff where          |                               |                                               |
|                                        |                               |                                               |
| What is the current approach of the     |                               |                                               |
| necessary                               |                               |                                               |
| archive service? How can this be        |                               |                                               |
| reflected in the policy?                |                               |                                               |
|                                        |                               |                                               |
| How does it relate to other policies    |                               |                                               |
| such as access policies, collections    |                               |                                               |
| care policies, collections development  |                               |                                               |
polices?  Do these policies successfully integrate with each other and support rather than work in 
conflict? 
3 
Develop the structure and 
Questions to consider: 
content of the policy 
 How will the archive service's 
 
approach be reflected in the policy? 
 How is this best communicated? What 
format or style is best suited to your content? 
4 
Write the policy 
Questions to consider: 
 Will you policy be easily understood by 
non archivists if these are part of the intended readership of the policy? 
 
5 
Policy sign off 
This will depend on the management structure within your organisation and how powers of approval are delegated within the management structure.  Obtaining approval for the policy by a more senior manager 
within the management structure can mean generating interest and creating visibility for what you are doing, achieving advocacy for your archive service. 
6 
Publicise and communicate 
Questions to consider: 
your new policy 
 Who needs to know about your new 
policy? Who needs to know the detail of your policy? Who needs to be aware of your new policy?  Consider this with reference to different audiences such 
as: archive service staff, senior management, depositors, funders, researchers  
 What is the best method to 
communicate this for each audience - via a website, intranet, newsletter, email, face to face or team meeting, a training session? 
 
7 
Policy Review 
Reviewing your policy on a regular basis ensures it remains current and reflects the aims and needs of your archive service. 

## 6) Policy Scope And Content

This section will help you decide what to include in your collections information policy, remembering that every archive service is different and not every suggestion may be relevant to your service and situation.  There is no model template or model structure for a Collections Information Policy, but some of the following are likely to be relevant. 

 **Providing context to your overall approach**  **Legislative context** 
 Systems used for recording collections information 
 Point of deposit and accessioning  Disposals and withdrawals  Location and movement control  Cataloguing  Staffing and funding  Protecting your collections information 
The policy should cover collections information concerning both analogue and born digital collections. 

## Content Notes

Stating why collections information is 

## Providing Context To Your Approach –

important will help to engage your 

## The Importance Of Collections

audience or readership and make it clear 

## Information

how collections information helps the The archive service 'recognises that archive service to achieve its aims.   
good documentation of its collections, 
 
through accessioning cataloguing and Linking collections information to the other activities, is fundamental to overall mission, purpose and aims of the collections management and to good archive service and how it relates to public access; [the] archives is other areas of collections management committed to improving the quality of and access to collections can strengthen collections information in terms of its this further and provides evidence of how structures and completeness.' 
well functions work together within the 
 
(Lancashire Archives) 
archive service.  
 
 
'…explains how we aim to maintain and This might be expressed through a statement reflecting the archive service's provide accurate documentation of our collections for the purpose of their overall commitment to collections improved control and access.  It supports information. 

our Mission Statement as set out and 
  
should be seen in conjunction with [the] 
 
forward plan.' (Flintshire Record Office) 
 
Stating why a collections information 

## Providing Context To Your Approach –

policy is important and how the archive 

## Importance Of Your Collections

service will use the policy during the 

## Information Policy

 
course of its work is also crucial.  
'It will assist in decision making and 
 
prioritising work in a range of Explaining how your policy influences circumstances; providing access to the your collections information planning can holdings which is balanced with their demonstrate the link between policy and long-term preservation and legislative plan: the difference the policy will make requirements; cataloguing work by staff in practice. 

and volunteers; submission of funding 
 
bids with a cataloguing and information Examples might include guiding the enhancement aspect.' University of archive service's approach to recording Huddersfield Archives and making accessible catalogue 
 
information; guiding cataloguing 
'The policy is supported by  a Collections planning; providing evidence of your Information Plan, which outlines the approach to stakeholders and potential objectives through which we will achieve funders. 

the aims of this policy' (Worcestershire 
 
Archive and Archaeology Service) 
 
 
Explaining the background to your 

## Providing Context To Your Approach –

current situation with regards to 

## Historical Background

collections information can provide 
 
'The approach to creating collections essential additional context for your information depends on the size of the approach.  You may wish to clarify any cataloguing background, legacy of legacy issues in terms of cataloguing cataloguing systems and professional backlogs, periods of missing depositor standards used in the past' University of details or gaps in accessions information, Huddersfield Archives as prioritising these. 

 
 
You may wish to describe the legislative 

## Legislative Context

framework in which your archive service 
 
operates and any other organisational policies or codes of practice that might influence access to collections and the level of information made available, internally and to the wider public. The policy should note where the archive 

## Systems For Recording Collections

services records or holds collections 

## Information

information or any software used for recording and making available collections information. Examples include accession registers, depositor records, filing systems, and any software used. 

 
The policy should include the archive 

## Point Of Deposit/Accessioning

'Accessioning is the process of capturing service's approach to recording information about acquisitions as they information about accessions, depositor are transferred into our care. For records, intellectual property rights, archives, this is the foundation on which access restrictions/ownership and legal all subsequent management processes status of collections, what information is rest.' (Derbyshire Record Office)   
recorded and any timescales for 
 
achieving this. 

'We will accurately record key 
 
 
information about the archives we Where some of all of your collections acquire, their nature and contents, the arrive through internal transfer, a policy identity of the person or body transferring on levels of information expected on the archives into our custody, and the transfer helps to set expectations from terms on which we are to hold the transferring bodies. 

records.' (Derbyshire Record Office) Publicising newly accessioned material 
 
'Recording the provenance of collections to your stakeholder groups both internal is crucial to ensuring the integrity of our or external groups is an element of the archive collections. (Institute of accessioning process and your approach Education Archives) 
to this should be included in the Collections Information Policy, for 
 
'Shropshire Archives participates in The example publishing information in an National Archives' annual Accessions to annual report, on the website or internal Repositories Survey to enable up-to-date intranet, via a newsletter or in the reading information to appear on the National rooms.  
Register of Archives. Summaries of 
 
significant new accessions also regularly If you participate in The National appear in the Salopian Recorder, the Archives' annual accessions to Newsletter of the Friends of Shropshire repositories survey then this could also Archives, and in the Transactions of the be included here as a way of making Shropshire Historical and Archaeological information available to a wider Society.' (Shropshire Archives) 
audience. 

 
 
Explaining your approach to recording 

## Disposals And Withdrawals

any decision about collection disposal or 
 
'All disposals are recorded in the Content withdrawals in your policy is important and Structure field of the Adlib database.' 
not only for staff awareness but also for 
(Royal College of Gynaecologist and stakeholder confidence in collections Obstetricians) 
management. 

 
 
Including a short statement about why 

Location and movement control 
the archive service services records 

'To help fulfil its obligations of care to the location and movement of collections archive material it holds and to the reinforces the link between collections depositors of such material, FRO always information, including collections aims to maintain up-to date information information procedures and collections on the locations of all items in its care.' 
care, including security of collections, at 
(Flintshire Record Office) 
policy level. 

 
Any finding aids which facilitate access to 

## Finding Aids

collections should be mentioned, 
 
including how these are improved and where published if relevant.  Any older finding aids, such as published guides, which are not updated as a matter of policy may also be mentioned to clarify the approach. Explaining the approach to cataloguing in 

## Cataloguing

the context of what your archive service 
 
'Cataloguing the material within Cumbria offers and in terms of providing access to Archive Service's custody is essential to collections is valuable in making the link enable staff to effectively manage the between collections management and information retained for permanent providing access to collections. Stating preservation within the Archive Centres, why cataloguing is important and linking and to enable public access as this to access to collections can endorse appropriate.' (Cumbria Archive Service) 
the commitment to these. This can be 
 
particularly helpful in securing resource 
'Cataloguing since 2009 has been for further description. 

undertaken using CALM software 
 
supported by an in-house General This section should reference both Manual for Cataloguing. FRO uses the analogue and born digital material as following standards: 
appropriate. 

The mandatory elements of International 
 
Council on Archives, Archive Service Accreditation uses the 
 
General International Standard of following categories to describe the cataloguing state, which may be helpful Archival Description [**ISAD(G)**], International Council on Archives, for reference: 
International Standard Archival 

 Fully catalogued (the expectation 

Authority for Corporate Bodies, Persons 

is that this will be in accordance 

and Families [**ISAAR(CPF)**], National 

with at the mandatory elements of 

Council on Archives, Rules for the 

ISAD (g)) 

Construction of Personal, Place and 

 Fully catalogued (but to a lower 

Corporate Names [**NCA Rules**]' 

standard then ISAD (g) 

(Flintshire Record Office) 

 Box-listed or roughly-listed 

 

material, or collections for which only collection-level descriptions exist 
 Completely unlisted collections  Full catalogue available online 

 Your policy can make reference to which cataloguing standards you use for analogue and digital collections.  If relevant you may also think about including your approach to retrospective conversion and your approach to prioritising cataloguing backlogs and revisiting collections. Any timescales or targets for cataloguing of collections could also be included, or may instead be included in planning. For services with particularly extensive backlog levels of collections without standards-based information, any policy on making accessible incomplete or lower-quality information to facilitate 

access may be explored and explained. 
 
Stating where your catalogues are 
available internally or externally for example on your website, through shared networks such as AIM25 or Archives Hub, or through TNA's Discovery, makes clearer the link between cataloguing and 
providing better access to collections. 
 
Staffing and Funding  
Describing how collections information activities are resourced, particularly for archive services with cataloguing backlogs, establishes a link between collections information activities, staffing, funding and forward planning. Resourcing might include seeking external grant funding eg Heritage Lottery Fund, National Cataloguing Grants Scheme; working in partnership with other organisations; allocating staff 
time to cataloguing work; using volunteers or dedicated project staff, and the basis on which professional/paraprofessional staff are needed for cataloguing. If your service works extensively with volunteers to improve collections information, issues such as intellectual property in volunteer-created information and how this can be reused (e.g. if 

indexes may be licensed commercially) can add transparency to your relationship with volunteer contributors. Here you might describe how the archive 

## Protecting Your Collections

service ensures the security of its 

## Information

collections information to avoid loss or compromise,  for example if any information held in online systems is regularly backed up, whether any paper files are held in a lockable filing cabinet. This underlines investment needed in protecting resource already expended on improving collection information and where relevant provides assurance to depositors and donors. 


## 7) Further Resources

Archive Service Accreditation Guidance  
Revisiting Archive Collections  

## Websites:

UK Archives Discovery Network (UKAD) 
The National Archives: 
 http://www.nationalarchives.gov.uk/archives-sector/documenting-collections.htm http://www.nationalarchives.gov.uk/archives-sector/loan-agreements-andaccessions-registers.htm Archives and Records Association *Guide to Archival Standards* 

## Standards

PAS 197:2009 *Code of Practice for Cultural Collections Management* BS 6879/ISO 3166-2: 1998, Codes for the representation of names of countries and their subdivisions, Part 2  
International Council on Archives, General International Standard Archival Description [ISAD (G)], 2nd edition, 1999  
International Council on Archives, International Standard Archival Authority Record for Corporate Bodies, Persons and Families  *(ISAAR (CPF*), 2004) http://www.ica.org/en/isaar-cpf-international-standard-archival-authority-recordcorporate-bodies-persons-and-families-2nd National Council on Archives, Rules for the Construction of Personal, Place and Corporate Names  

## Links To Collection Information Policies:

Cumbria Archive Service Collection Information Policy Richard Burton Archive, Swansea University Collection Information Policy 
 
Flintshire Record Office Collection Information Policy University of Huddersfield Special Collections draft Collections Information Policy:  
Shropshire Archives Collections Information Policy Kings College London Archives Collections Information Policy