Archives and heritage service policies

1. Mission statement

The Archives and Heritage Service exists to preserve the unique and irreplaceable heritage of the ancient county of Northamptonshire, to make this heritage accessible to everyone, and to encourage engagement with heritage in all its forms.

2. Policy statement on Collections Management: how we deliver on this mission statement 

The Service’s role specifically is:

• to fulfil the statutory obligations of the two unitary councils, North Northamptonshire and West Northamptonshire,
• to look after their own records and to make these accessible
• to look after the records acquired by gift, deposit, transfer, or purchase since the 1920s and to make these accessible

The Service undertakes these roles because it believes in the value of archives both to the authorities it serves and to the wider public.

Archives enable the understanding of the past, the comprehension of why Northamptonshire is shaped as it is today, and can inform the way it develops into the future.

Archives inform, educate, and engage. Staff will advocate for archives and their relevance to countywide planning, community cohesion, wellbeing, sense of place, lifelong learning, and educational outcomes.

Some work of the service is dictated by the legislation under which it operates, especially the Local Government Act, 1972, s.224 that requires that Councils ‘shall make proper arrangements with respect to any documents that belong to or are in the custody of the Council and its officers’.

It also acts as the local place of deposit under the Public Records Acts of 1958 and 1967 that provide for the deposit of any class of public records, at the Lord Chancellor's discretion, in places other than the Public Record Office, provided these places have been appointed as suitable, on the basis of their facilities for storage and safe-keeping and for public access as defined in the Act.

The Law of Property Act 1922 s.144A and the Tithe Act 1936 (a)s.36(2) determine how local authorities should care for manorial and tithe records and here too, local places of deposit are recognised following inspection.

Staff work to meet these relevant statutory obligations and professional standards, and any relevant corporate priorities.

The balance for the service is always between the need and desire to give access and the duty to look after the records, both intellectually and physically.

This is done through a co-ordinated approach between the staff, following the relevant policies.

The Collections Management Policy is to deliver all elements of the Collections Development, Collections Information, Collections Care and Collections Access Policies. It is the bringing together of all these different elements within the work of the service and ensuring they are aligned.

Overall, on Collections Management the Archives Service is so small there are no issues with ensuring a co-ordinated approach between collections care, development, information, and access, as the same staff are doing several or all elements of the work.

There are two archivists for the whole county, one conservator and four para-professionals. The Head of Service line manages most of the staff, as well as working on the frontline.

There are disadvantages in having a small team, but the advantage is that there are no hierarchies of communication required or any risk of silos developing between areas of work; everyone has to ‘pitch in’ with projects.

3. In respect of Collections Development the service seeks:

• to identify and collect those archives that best reflect the full range of the lives, work and activities of individuals, communities, and organisations within the ancient county of Northamptonshire, in whatever format they may have been created

4. In relation to Collections Information the service’s policy is:

• to record and maintain all necessary information during the accessioning process that will facilitate the secure understanding of the provenance and ownership of each collection
• to catalogue new accessions within six months of receipt, acknowledging that this will not always be possible where an accession is extensive or is an addition to a legacy collection
• to ensure all new accessions that cannot immediately be catalogued are fully recorded on the necessary spreadsheets
• to target elements of the backlog where resources allow, including using volunteers to list records or input old, typed catalogues into electronic format
• to make catalogues available online

5. To ensure the long-term Care and Preservation of the collections, the aims are:

• to monitor and manage the archive environment
• to ensure security procedures are followed
• to ensure good document handling
• to package items in appropriate containers made from archival materials
• to assess the condition of new acquisitions before adding them to the repository
• to assess damaged items and carry out conservation treatments and/or digitisation to reduce the risk of further damage
• to ensure 20th century and digital media are protected from obsolescence
• to have a written plan to follow in the event of an emergency.

6. The service’s Collections Access policy is:

• to provide free access to resources on site and to be open to all users
• to be responsive to the needs of its researchers and stakeholders and provide a welcoming and supportive environment for all visitors
• to provide alternative means of access to collections for those unable to visit in person
• to use technologies to deliver access to the collections where appropriate
• to review and improve services regularly, both onsite and online
• to raise awareness of the relevance and significance of the collections

It is the Head of Service’s responsibility to ensure that staff follow all these policies and associated procedures.

This will be done though induction of new staff, staff training, regular team and one-to-one meetings and ongoing support as necessary.

Statement agreed by Assistant Director, March 2024

1. Overview

Northamptonshire Archives Service’s mission is to preserve the ancient county of Northamptonshire’s unique and irreplaceable heritage, to make this heritage accessible to everyone, and to encourage engagement with heritage in all its forms.

This document sets out the collections development policy for the service and explains how it supports this mission by ensuring the appropriate coverage of all aspects of Northamptonshire’s history.

The Collections Development Policy of the Service is:

To identify and collect those archives that best reflect the full range of the lives, work and activities of individuals, communities and organisations within the ancient county of Northamptonshire, in whatever format they may have been created.

This policy supports the core values and beliefs of the service that determine why and how collecting is done.

2. Core values and beliefs

Archives are the unique and irreplaceable, communal memory of our county.

They are preserved so that everyone can have access to them and learn, explore and appreciate the past and present of Northamptonshire, its people, towns and villages.

The service wants to ensure that the archives selected for permanent preservation.

From all those created in the course of everyday activities whether these are personal and domestic, industrial and commercial, religious, social, political or educational, are records that will provide insight into the development of places within the county over time, and into the lives of individuals from all levels of society.

Using and engaging with archives encourages people to have a sense of place, family rootedness and community belonging; it builds skills and confidence, and supports mental health and wellbeing, among many other benefits.

The value of placing archives in the care of the Archives Service is that they will be stored in the correct environmental conditions for their long-term preservation, free from the threats of fire, flood and insect infestation, and secure against theft.

The repositories are specially designed for the long-term preservation of archives and the public rooms into which documents are brought for consultation are supervised at all times; there are rules and regulations governing what researchers are allowed to do when using original documents, all in the interests of the preservation of the archives.

3. Statutory position of Northamptonshire Archives Service

The Northamptonshire Archives and Heritage Service serves both West and North Northamptonshire Councils. These two councils were created on the abolition of Northamptonshire County Council in 2021. However, the service is hosted by West Northamptonshire Council.

The provisions of the Local Government (Structural Change) (Transfer of Functions, Property, Rights and Liabilities) Regulations 2008 are such that only one successor council can be vested with archive collections held by a predecessor council, so for the purposes of the county of Northamptonshire, West Northamptonshire Council is vested with the custody of archive collections previously held by Northamptonshire County Council.

The Archives Service acts to fulfil the statutory obligations placed on both local authorities. Specifically, The Local Government Act 1972, Section 224 places statutory obligations on the council to “make proper arrangements with respect to any documents that belong to or are in the custody of the council or any of its officers”. This includes: 

• records created by West Northamptonshire Council, North Northamptonshire Council, Northamptonshire County Council, Northampton Borough Council, and the numerous borough and district council predecessor authorities
• records held on behalf of central government and subject to the Public Records Acts 1958 and 1967
• records given to or purchased by the authority (including some nationally important collections received under Acceptance in Lieu) or deposited with the authority on long-term loan by authority of the Local Government (Records) Act 1962

Under the Local Government Acts 1962 and 1972, the Archives Service, acting for the two councils, is the appointed archive authority for all forms of local government within Northamptonshire, including responsibility for ensuring the proper storage and care of parish council records.

Under the Public Records Acts 1958 and 1967, the Northamptonshire Archives Service has been appointed by the Ministry of Justice to look after designated public records such as those of Quarter Sessions, Magistrates’ Courts, Coroners, County Courts, Probate, Health Authorities, Home Office as scheduled in the Public Records (Places of Deposit) Instrument 1991.

The Northamptonshire Archives Service is the sole place of deposit within the County of Northamptonshire approved by the Master of the Rolls for the deposit of manorial and tithe records (under the Manorial Documents Rules 1959 and Tithe Rules 1960).

Northamptonshire Archives Service is the official Diocesan Record Office for the Diocese of Peterborough. Under the Parochial Registers and Records Measure 1978, it looks after parish records of the Church of England throughout
Northamptonshire.

4. Scope of collections 

4.1 Core acquisition policy: Northamptonshire Archives Service collects and preserves archives that are unique and of long-term historical value

This means that it will not accept all material that is offered to it. Most obviously, it does not generally accept newspapers or printed material that is duplicated and readily available elsewhere. See section 6 below.

4.2 Geographical area served:

The Archives seeks to document every geographic part of the county, including towns, villages and the landscape. The ancient county included the Soke of Peterborough, so records relating to the Soke as an administrative area will be accepted.

Modern Peterborough records are assumed to be within the collections policy of Peterborough City Archives. There are also some parish and Nonconformist records relating to parishes on the border of the county where boundaries have changed; usually pragmatic decisions will be taken as to whether the service accepts or not, in liaison with neighbouring services.

The Archives Service does not seek to acquire records that relate to geographical areas clearly outside the county of Northamptonshire. However, where such records form an integral part of a collection primarily focused on Northamptonshire, the collection will usually be kept intact.

This might be in the case of a family estate collection for example, if the estate was administered from Northamptonshire but the estate owner also held lands in London or Yorkshire etc.

4.3 Organisations and themes:

The Archives Service accepts material from a wide range of bodies that impacted aspects of life in Northamptonshire, including those that represent both the formal and informal influences on people’s lives.

At the strategic level there are the records of local government and other statutory bodies in the county, the official recording of people’s lives, the strategies and plans that provide a framework to the county.

Thus, the key work of ensuring there is a core archive documenting the decision-making process and most significant activities of the partner Councils (West and North Northamptonshire) and those of their predecessors.

These official records also include court records, police and hospital records and other bodies impacting on what the county was like as a place to live and work.

At a local level the parish and civil parish records are key.  In addition to the Anglican parish records collected under the terms of the Parochial Records Measure, the service also seeks to collect the records of other Christian denominations, the Nonconformist churches, Catholic churches, and all other non-Christian faiths represented in the county. And this theme includes other ‘official’ types of record such as those of schools and other educational institutions.

Also at a local and individual level are the archives from businesses, clubs and societies, political parties, trade unions, pressure groups, local campaigns, families and individuals.

The service aims to collect records representing all interests and opinions. As an example, Northamptonshire has a strong boot and shoe industrial heritage, and the service actively seeks to add to the already extensive collections in this area.

There are also extensive family and estate collections to which it needs to add, where this is possible. The strength of the service historically is in the wealth of the records from the families who moved here in the 16th and 17th century as the ‘nouveau riches’ serving in the royal courts, who owned vast tracts of land in the county.

Some of these estates are still extant and so additions to the collections need to be made where possible.

Where smaller estates have replaced these larger ones, perhaps after First World War sales, records of these new families/estates need to be captured to continue the story of life in the county; the records can tell us both about the landed families themselves and those living and working on the estates.

The aim of the service is to represent and include records from all communities in the county by encouraging the deposit of material from groups which are currently under-represented in the collections.

Much progress has been made in securing deposits from Black and Minority ethnic groups but more needs to be done in attracting records relating to the Gay, Lesbian, Bisexual and Transgender community, and other BME and immigrant groups, for example, records of the significant Polish community.

5. Format and Media

Northamptonshire Archives Service accepts the deposit of archives irrespective of age, in most formats, including paper, parchment, digital media, audio cassette, within flash drives, microfilm/fiche, photographs, glass plate negatives, lantern slides, etc.

The service reserves the right to, where appropriate, migrate material into new formats for preservation and access purposes.

The options for digital preservation, to encourage the deposit of born-digital records worthy of permanent preservation, are being developed, as noted in the Digital Preservation Policy.

6. Limitations of the Collecting Policy

The Service does accept deposits of moving image formats, but the recommendation will always be that these are deposited with the Media Archive for Central England (MACE). MACE has the facilities and resources to better handle such items.

The service does not collect newspapers. It normally only collects other printed or published material if it forms an integral part of an archive or contains significant manuscript annotation.

An assessment will be made on those items of printed ephemera which while not unique, do provide an important ‘flavour’ of community life or an organisation’s activities, such as parish newsletters or theatre programmes.  Offers of published material are normally directed to the Northamptonshire Local Studies Library in the Central Library in Northampton.

Northamptonshire Archives Service does not collect artefacts, three dimensional objects or works of art. If there is a special relationship between the artefact and the associated archives, staff may consider keeping the material together.

Offers of artefacts will normally be directed to the appropriate museum or gallery. The decision to keep non-archival material rests solely with the professional archive staff.

The service has built up a comprehensive record of life in Northamptonshire, and proactively seeks to strengthen the coverage of its archival collections. It asserts its rights as the sole place of deposit for records protected by the legislation outlined above. However, the service respects the published collecting policies of other established repositories and museums, and will try to avoid competition, duplication and conflict.

The main organisation where liaison is relevant is with the Northampton Museum and Art Gallery and, as this body and the Archives Service are both managed within West Northamptonshire Council, it is easy to liaise and co-operate on accessions/acquisitions.

Other established organisations in Northamptonshire are aware of respective collecting policies and have at least occasional (if not regular) contact with each other via the Northamptonshire Heritage Forum.

The service will always engage in constructive discussions, and will seek mediation from an appropriate organisation, should any disagreements over the appropriate place of deposit arise.

7. The process of collection

Northamptonshire Archives Service collects archives through donation/gift or on long-term deposit, by purchase, or by internal transfer from Council departments.

7.1 Gifts:

• the Service encourages the donation of privately held archives
• people are told that is preferable if they can relinquish any personal rights they have over the records
• donation is the preferred way for the service to establish custody for public benefit

7.2 Deposits:

The Service accepts material on the equivalent of a long-term indefinite loan from any institution or corporate body. Thus, deposit is the accepted term on which records from parishes, parish councils, hospitals, courts, and police records are held.

This gives the body certainty that it retains legal ownership, but the service is undertaking the guardianship of the records – the commitments to catalogue and to make accessible under safe conditions. Often the institution is happy to pass decisions on publication to the service, so there is no need for any contact with the depositor every time anyone wants to use a deposited collection in a publication.

Where an individual insists on placing material with the service on long-term loan, this is on the understanding that there are no access restrictions placed upon items and a defined minimum loan period is agreed. A comprehensive list of standard terms and conditions for the deposit of archives is available. In limited and exceptional circumstances, some conditions are negotiable.

7.3 Purchases:

The Service will consider, on an individual basis, items offered for purchase, providing that they are relevant to the collecting policy, and offer value for money.

There is no specific budget to purchase documents, but a donations fund has been created for the purpose. If a large collection were to be offered for sale, funding from external sources would be necessary.

Where documents or other items are purchased, the records will be subject to the terms and conditions of the grant-giving body if any. In all other cases, title to the items purchased will pass to West Northamptonshire Council.

7.4 Internal process:

Semi-current records of the predecessor Councils that the old NCC Retention Schedules list as requiring permanent retention or ‘referral to the Archivist’ will be referred to the Archives Service when they reach the end of their retention period.

The service will then appraise the records for long-term historical and evidential value.

The service is in liaison with West Northants’ Data Protection Officer who oversees all these semi-current records.

The minutes of both West Northamptonshire and North Northamptonshire Councils are currently being created in digital format only.

A process for storing these safely in digital format and then migrating them to a digital repository is currently being investigated. See the Digital Preservation Policy.

Once a process is established for minutes, the intention will be that this process is utilised for other relevant records.

7.5 Accessioning Process:

A permanent register of accessions is kept, recording the terms of acquisition or deposit for all archives collections (see Collections Information Policy and staff manual). The following conditions also apply to the donation and deposit of records.

• no documents will be accepted without clear and valid title of ownership
• the service reserves the right to reject records which, in the judgement of the Collections Officer or other qualified archivist, are not of sufficient quality for permanent preservation. Where appropriate, staff will suggest alternative locations to potential donors or depositors
• the expectation is that records deposited will be made available to the public within a reasonable time period, subject to the requirements of any relevant legislation

8. Relationship with depositors

The terms of deposit require depositors to notify the service of relevant changes, for example, changes to title/ownership of records or change of address.

The service will additionally endeavour to maintain contact with depositors, for example as cataloguing is completed, or where requests have been made to publish images taken from their collections, where the depositor’s permission is required. However, the onus is ultimately on the depositor to let the service know of any changes or the death of the named depositor.

In some cases, with small deposits from individuals made over 80 years ago it will be assumed that the depositor has died and that the material can be treated as a gift, if any decisions were to be needed in terms of permissions to publish or similar.

The Archives Service aims to keep in regular touch with depositors of records governed by the Public Records Acts (for example HM Coroners, Magistrates Courts) to ensure the smooth transfer of additional records at appropriate times.

A major programme of work was undertaken in liaison with the Coroner’s office pre 2020 to ensure that very recent inquests remained in the jurisdiction of the Coroner’s staff and only material over 20 year’s old was passed to the service, and then only once it had been indexed.

The legacy means that Coroner’s staff need to review old files regularly, but Archives staff are no longer providing a modern records retrieval service for the Coroner.

9. Selection policy

When individuals bring in records for potential deposit, they are always told that the service may not want to preserve everything they have brought in and asked whether the service can dispose of any unwanted material or whether this material needs to be returned.

Professional staff will then appraise records in line with best practice and will advise depositors that this process has been undertaken. Any unwanted material will either be destroyed as confidential waste, or an arrangement made for the depositor to return to collect the records.

The service may also recommend the transfer of records to a more suitable repository and would inform the depositor accordingly if this were the case.

The service also reserves the right to conduct periodic reviews of the records held or reassess them as information about them is revealed. Thus, over the past five years, collections have been identified that do not relate primarily to Northamptonshire or where the rationale for their being on deposit in this service has been unclear.

Also, various collections that consist primarily of secondary material have been deaccessioned as these do not fit with the current acquisitions policy (as outlined in section 4).

As the cataloguing backlog is tackled, the service also assesses what has been accepted into the archive in the past in the light of research, use and the evolving context of the whole collection.

Where records have been assessed as not being of sufficient quality to merit continued permanent preservation, the depositor will be given the option to collect the relevant records, or the service will dispose of unwanted records in a confidential manner.

As nothing was appraised in the past, often this simply involves the disposal of ephemera, duplicates and printed material. 

The service reserves the right to dispose of such material without contacting a depositor where the amount is small and the deposit was over 20 years ago.

10. Access

Archives are accepted on the presumption that the depositor or donor is willing for them to be made available for public consultation within a reasonable period of time (within the context of relevant legislation).

Northamptonshire Archives Service will publicise, as soon as practical every new acquisition once it has been catalogued and advise on any restrictions to access. Catalogues will be made available online, where possible, and in paper form onsite. Further information can be found in the Collections Access Policy.

The Collections Development Policy will be reviewed every three years, or earlier if a response is needed because of any changes in legislation.

Policy approved May 2022 by Simon Bowers, Assistant Director, Assets and Environment

Policy owner: Sarah Bridges, Archives and Heritage Strategic Manager

Reviewed May 2024

1. Introduction

Northamptonshire Archives Service recognises that good documentation of collections through accessioning and cataloguing is fundamental to good collections management. Good collections management is fundamental to the service’s mission of caring for collections and making them accessible. This policy defines the current approach for the accessioning and cataloguing of archives. It also recognises that there is a huge legacy issue for the service, given that listing started in the 1920s when work was not done to current standards, but many of these early lists are still the only ‘way in’ to many collections.

The specific policies for collections information are: 

• to record and maintain all necessary information during the accessioning process that will facilitate the secure understanding of the provenance and ownership of each collection
• to catalogue new accessions within six months of receipt, acknowledging that this will not always be possible where an accession is extensive or is an addition to a legacy collection
• to ensure all new accessions that cannot immediately be catalogued are fully recorded on the necessary spreadsheets
• to target elements of the backlog where resources allow, including using volunteers to list records or input old, typed catalogues into electronic format
• to make catalogues available online

The polices are implemented using various forms, spreadsheets, and databases. In many cases these dictate the content that needs to be recorded. There are also supporting procedures and guidance notes for staff in the staff manual.

2. The Legacy

2.1 There is an amazing resource for researchers in the form of all the typescript catalogues, recording done on index cards, notes and jottings written on wartime scrap paper, detailing the content of many of the significant collections in the county, many of which are recognised by academics as collections of outstanding significance.

These form a bank of knowledge, that once understood, can provide the researcher with rich rewards in discovering original evidence.

Staff are very aware of the challenges this poses, especially to a new generation of researchers who have become used to finding ‘information’ at the touch of a button.

Staff and the public need to work hard to learn about and understand the collections; this work is rewarding but is not necessarily something with which everyone wants to engage.

The nature of the existing notes and how the detail about the collections was recorded does not easily transfer into electronic format, making it more difficult to make collections accessible to those expecting everything to be in an online format. The key barriers for a modern audience are described in the following paragraphs.

2.2 Lack of structure:

In the past, many of the large collections were simply listed as they came, with little attempt to sort and structure them first. So, there may be a listing of material with items numbered from 1 to 9,999 that may describe a title deed then a letter, an estate account, and back to another title deed, not in chronological or any other discernible order.

To locate related material, potentially it can be necessary to go through a whole catalogue.

In instances where there is some sort of grouping of types of documents, such as listing all the estate accounts together or all the family correspondence, this grouping is simply indicated with a subheading in a hard copy catalogue, it is not reflected in the referencing scheme, nor of course, with the necessary ISAD(G) compliant series level description.

2.3 Format of the catalogues:

As noted, large numbers of catalogues are solely available in typescript hard-copy format. There is no electronic version of these at all, as they were all done on typewriters.

There was also a period in the service’s history when the method employed was to write out an index card for every item ‘catalogued’ and therefore the so-called ‘catalogue’ is actually in the form of a box of index cards running in number order.

Again, to search these means going through each individual handwritten card (not an easy task given the handwriting of the main perpetrators of this method).

2.4 Creation of false collections:

Another issue is that at various points ‘false collections’ have been created, making it difficult to be certain of the original provenance of archives received. For example, outsize volumes were, based on format, removed from their archival context, and redesignated as ML (miscellaneous ledger), so that this artificial ‘series’ includes diocesan faculty books, parish records, estate account books etc.

The creation of this artificial series seems to date back to the 1950s so any attempt to ‘undo’ it and reclassify over 4,850 items appropriately would be too time-intensive to be worthwhile or justifiable at a time of straightened resources.

Similarly, maps were all given a reference Map/ followed by a number, regardless of whether they were part of a family estate archive or from a different source.

So now it can be hard to be certain whether a map of a particular parish was originally part of a landed family estate collection.

The same happened with photographs and prints. All this means that the service must admit that it is not always possible to trace the provenance of some of its holdings.

2.5 Quantity of collections collected pre 1950s:

The service has an outstandingly rich range of medieval and early-modern-period family and estate collections which contain evidence that is of both national and international significance.

Most of these were collected by Joan Wake, indefatigable rescuer of threatened archives following the First World War and listed by Patrick King, the first county archivist for Northamptonshire.

Sometimes the only way of approaching these collections is by means of the scrappy handwritten notes of Mr King, who presumably intended them as a temporary and makeshift finding aid.

The notes are written from a learned understanding of the material to which they relate, but they are not easy to the modern eye and do not readily invite engagement.

There are simply no resources to re-catalogue these large archives to provide a new means of access. The old lists cannot easily be converted into a modern format and structure. Even the typescript ones do not lend themselves easily to the requirements of the archives database.

3. Legislative background

The collections held include those held specifically under the terms of specific legislation. These legislative requirements (as summarised in the Collections Development Policy) will determine what information is included during the processing of a collection.

4. Accessioning

The overarching aim is to meet all relevant statutory obligations and professional standards in relation to the management of new accessions. The notes below describe the current process.

The key forms are held on the shared Teams workspace so staff can always be certain they are using the most up-to-date version. Similarly, the databases and spreadsheets have specific area of Teams on which they are held and shared so there are no issues of multiple versions of records.

Recording the provenance of material that is taken into the care of Northamptonshire Archive Service is a crucial part of preserving the integrity of archival heritage. The service will accession every gift, loan, purchase, and bequest of records in order to achieve this.

This accession record will give preliminary indications of the scope, content and creation dates of the collection or item, record its legal status, provide a summary description that enables identification of the collection/item and define any access restrictions.

The contact details of its source will also be recorded. Deposits received under the Parochial Registers and Records Measure 1978, Public Records Acts, and Manorial Documents Rules are included in this system.

All the accessioning will be done within six weeks, including making sure the donor or depositor has a reference for the collection and a copy of the appropriate form.

The current accessioning process is based on the use of simple spreadsheets, a file with copies of the signed copies of documentation, and the use of the archive’s electronic catalogue Adlib/Axiell as the core record (this is backed up regularly).

In the past, paper ledgers were kept in which the accessions information was recorded together with files of accompanying paperwork. There has been an ongoing process of transferring the old accessions registers information onto Adlib/Axiell.

A formal receipt for every donation, loan and bequest is issued, requiring the signature of the depositor, donor, or executor/administrator of the estate.

This form indicates whether the Service will impose any restrictions to accessing the collection, such as under the Data Protection Act 2018, and the receipt also identifies if any obvious repackaging/conservation work is needed.

The service retains a copy of the receipt.

A unique number is assigned to each accession, based on the year in which the document(s) arrived and then a running number. This will subsequently be linked to the catalogue record. The full detail of the accession, including depositor or donor’s contact details, will never be made available to the public.

Integral to the accessioning process, is the management of information relating to the source of the material. This is retained in the database of depositors as part of the behind-the-scenes elements of the electronic catalogue.

Depositors and donors of archives are encouraged to supply all relevant information regarding a collection’s ownership at the point of accession. This enables staff to process the records within an accurate context.

Information about new accessions is shared with customers in a number of ways, often using the local Family History Society network, Facebook, or Instagram. Once catalogued, details can be made available via the online catalogue and publicised via social media. Annual accession reports are supplied to the National Archives, and relevant material notified to the Manorial Documents register.

Historically, it can be noted that contact names and addresses of depositors were recorded in the accession registers. Some historic catalogues do also give depositor names and an indication of residence.

The ownership status of a number of long-held collections is unclear, as in some cases it simply was not recorded whether something was a gift or a deposit. In other cases, where we know the depositor has died and there is no known contact, and it is a small accession, the provenance is now regarded as by default in the ownership of the service.

For larger collections, tracing and establishing ownership is beyond current resources, so there remains some ambiguity.

5. Disposals and withdrawals

To tackle the issue of inadequate appraisal from the mid to late twentieth century, the service’s policy is, subject to staffing and time constraints, to appraise some collections, or parts of collections, for de-accessioning.

Any items that are de-accessioned are recorded and disposed of confidentially or transferred elsewhere in line with the Collections Policy. In some cases, the depositor needs to be contacted and asked if they do want to come to collect the items that have been selected for disposal; a deadline is usually set within which this must be done.

Sometimes owners of deposited archives choose to withdraw them after the records have been in the repositories for some time. In this instance, it is within the service’s powers to make a charge for time spent in boxing up, cataloguing, and looking after the records.

Temporary withdrawals are not encouraged, especially as this happened regularly in the past and not all those documents borrowed temporarily have ever been returned to the service. Temporary withdrawals most frequently are made by the Coroner’s Service of files they require to answer queries. Items can be loaned for short-term exhibitions, however, the service mostly offers digital images as an alternative.

A distinction is made between such temporary withdrawals and any temporary transfers the Service might make, for example, of modern media to specialist repositories for copying.

6. Locations

It is vital that the location of each accession is recorded on the locations spreadsheets. Currently there are separate sheets for recording the location of records that have been catalogued and records that are uncatalogued.

Most new accessions that are one box or less, in terms of quantity, will be catalogued and the location recorded straight onto the catalogued locations spreadsheet. This is in simple format, based on reference, record title, quantity, and shelf reference in the repository.

There is a set of cards that can be used to clarify locations of collections held at the time of the move (1991) and until 2014 when the electronic record was completed. It is not comprehensive, as some collections were located on the basis of staff knowledge only. However, the combination of post 2014 electronic-only record and the pre 2014 indexes, provides as comprehensive picture of where things are, as is possible.

Movement of documents or collections is controlled with the use of document request slips. Where an individual document is removed from a box, then a slip is left in the box and the counterpart of that slip is kept with the document.

Similarly, if a number of boxes are taken off a shelf, a request slip or slips will also be written out, with one part left on the empty shelf or shelves and the other kept with the boxes.

This mechanism is used for producing documents to members of the public and by members of staff, whether taking records to sort, catalogue or conserve. The slip records the name of person for whom it is being produced, date, reference, description, and location.

7. Cataloguing

Cataloguing collections is essential to enable staff to manage the evidence retained for permanent preservation, and to enable researcher access.

All new cataloguing conforms to the professional standards defined by the principles and mandatory elements of the General International Standard of Archival Description (ISAD(G)) and the requirements of the service’s catalogue database.

Work is currently done on the software system known as Adlib but during 2024, the service will move across to using Axiell Collections. It is hoped that this will be more reliable and give more flexibility than the current system.

The aspiration is that all new accessions to the Northamptonshire Archives Service are either catalogued or box listed within 6 months, so that they can be made available to researchers via the online catalogue. It is accepted that this will not be possible in the case of large accessions or complex additions to existing collections, nor if staffing falls below two Collections Officers.

New catalogues are either input directly onto the catalogue database, or keyed into Excel for later migrations into Adlib/Axiell.  The cataloguing database to a large extent dictates what needs to be recorded by providing ISAD(G) compliant fields.

The key is to ensure the service employs professional staff who understand the professional standards and who are provided with necessary training in the use of the specific database.  As well as all the immediate descriptions of the individual items, any restrictions on access and whether surrogate copies are available are recorded on the database.

8. Cataloguing and data conversion priorities

Older catalogues do not necessarily meet modern standards, as noted previously, and it is the service’s policy to update and improve these, as well as make them available electronically where possible.

Initially this legacy was tackled by working through the hard copy catalogues and determining which of these were going to be the easiest to transfer into electronic format.

The ones that had been typed and had some sort of referencing system, if not a structure, were dealt with via the A2A project and also a project undertaken by prison inmates using a template that was managed by consultants on the service’s behalf.

The remaining hard-copy lists are less readily transferable. Where possible, certain volunteers are helping with basic inputting of collection catalogues into Excel that staff transfer into Adlib.

Once the new Adlib/Axiell system has been fully explored and tested, the areas of work that can be done by support staff and volunteers with be re-examined and it is hoped that the programme of retrospective inputting can be recommenced with a more straightforward methodology.

The priorities for this have been agreed to be - Poor Law lists, Nonconformist lists and the remaining family estate collections that have typed lists.

In terms of the legacy backlog of collections waiting to be listed, this has recently been reviewed and assessed as to what can be done within the service’s resources. Simple listing that can be done by volunteers has been identified – especially Women’s Institute records and various collections including newsletters and programmes.

Support staff are working on various collections of former local historians that contain a mix of ephemera and genuine archive material.

The priorities for the Collections Officers are to catalogue the local government rate books (as part of wider aim to sort the local government collections), to list the archives of BME and other minority groups already held by the service and to catalogue the archives of St Andrew’s Hospital, the most important private mental health institution in the county.

9. Staffing and funding

At the time of review of this policy, the service has two Collections Officers to manage the processing of accessions, cataloguing, deaccessioning and any cataloguing work done by volunteers, overseen by the head of service.

This is an improvement on the first two years under the new authority where there was only one professional post holder to do the operational work.

The aspiration is to seek external funding to employ archivists, on a project basis, to catalogue larger collections.

The authority, however, is committed to ensuring that this core element of the service’s work is funded, now and into the future.

This policy can be read in conjunction with the staff manual where the various specific procedures for undertaking the tasks summarised herein are given.

Policy approved by Simon Bowers, Assistant Director, Assets and Environment.

Policy owner Sarah Bridges, Archives and Heritage Strategic Manager

Agreed March 2023

Revised May 2024

1. Scope

Northamptonshire Archives Service mission is to preserve the unique and irreplaceable heritage of the ancient county of Northamptonshire, to make this heritage accessible to everyone, and to encourage engagement with heritage in all its forms.

The service cares for unique and irreplaceable archives relating to the county from the 12th century to date; it is the primary source for historical information about Northamptonshire.

This policy explains how the service fulfils its commitments to making the heritage accessible and the ways in which it seeks to achieve this.

2. Principles

Northamptonshire Archives Service serves all those individuals and communities interested in the people and places of the ancient county of Northamptonshire, being broadly coterminous with the areas now covered by West and North Northamptonshire councils, but including the Soke of Peterborough.

Staff are committed to facilitating access to the county’s archival heritage in its care. The service will seek to provide access to resources both to those who are able to visit the archives building and use archives in person and for those who wish to use other methods of access.

The Collections Access policy is to 

• provide free access to resources on site and to be open to all users;
• be responsive to the needs of its researchers and stakeholders and provide a welcoming and supportive environment for all visitors;
• provide alternative means of access to collections for those unable to visit in person;
• use technologies to deliver access to the collections where appropriate; 
• review and improve services regularly, both onsite and online; and to
• raise awareness of the relevance and significance of the collections

3. Access for all: equalities and diversity

West and North Northamptonshire Councils are committed to the provision of equal opportunities in employment and in the provision of services. Therefore, Archives Service staff will not discriminate in the delivery of services based on someone’s race, disability, gender, religion, pregnancy, sexual orientation, or age.

Services are actively encouraged to think of ways in which adaptations might be made to enable access by anyone who might be defined by one of these descriptions. This is often seen in terms of the provision for disabled access but it is not exclusively about this, as it relates also to barriers of social exclusion.

The service’s annual user survey asks whether researchers feel that they have been treated fairly and sensitively and the results have always been positive. However, the service is aware that the profile of its users remains a ‘traditional’ one, that is, most researchers are white, not from disadvantaged backgrounds, and in the over 50 age bracket.

4. Methods of access: On site

On site access is through visiting the Archives Service at Wootton Hall Park, Northampton NN4 8BQ. 

At time of writing, the opening hours are:

• Tuesday, Wednesday, and Thursday 9am to 1pm, 2pm to 5pm
• first Saturday of the month 9am to 1pm

The process that the researcher will follow on site, including a copy of the service’s rules and regulations to which researchers are agreeing to adhere, are given on the service’s website. It is advisable to book a place in advance, as although there is rarely a lack of space, it is not easy to accommodate more than two people looking at maps at once, for example.

All researchers must sign in on arrival as this signifies acceptance of the rules and regulations.

The first time someone visits they will be issued with a researcher’s card that is valid for two years. These cards are only issued to those who can provide the service with proof of identity and address.

A valid researcher’s card enables access to original documents. Without this check being made, visitors will be able to consult catalogues and indexes and any secondary material, such as the reference library, but not to request any archives.

Staff on duty are responsible for ensuring that users know how to access the collections using the often-baffling range of indexes and lists that have been created over the 100 years of the service’s existence. It is important that the issues this creates are acknowledged with researchers, many of whom are not used to dealing with old fashioned index cards or even hard copy lists.

The gap between user expectation and the reality of the access tools within the service is a challenge, and the staff are committed to supporting people in what may seem an ‘alien environment’.

Document production is a key service offered to visitors in person – they have the excitement and privilege of handling original items. In practical terms researchers can request up to eight items in advance when they book, if the request is received by the Thursday preceding their visit.

Otherwise, original documents are retrieved by staff from repositories at five set times across the day, with a maximum of three items per person per production. In certain circumstances, some flexibility is possible where all the items a researcher wishes to consult are in the same box.

All documents must be handled correctly by researchers; each item is vulnerable and while the aim is to make the documents accessible for learning and enjoyment, this is only where there is little or no risk to the originals.

Staff will provide advice and guidance on how best items should be handled, depending on their format and material. For example, anyone consulting photographs or watercolours will be asked to wear cotton gloves.

Sometimes, researchers may be told that an item is too fragile or damaged to be handled. In such cases, alternative means of access will be explored as to what is possible as well as cost-effective.

Anyone mishandling or mistreating documents may have their future access to original collections denied.

Researchers are allowed to bring in their own cameras, including phone cameras, to take images of archives for personal study purposes only. A charge is made for such use, depending on whether it is for a part day or whole day. All current charges are on the service’s website.

It is possible to order digital copies of archives while in the building in person, or to commission research. As these more usually happen with online users, these are covered in section 7 below.

5. Methods of access: Online

Enquiries:

Researchers can contact the service remotely (via email) to ask questions about holdings, about topics of interest, about visiting and many other things. The target response time for answering email enquiries is 10 days, unless the enquiry needs more detailed investigation.

Usually enquiries are answered within three or four days. A member of staff will spend no more than 30 minutes trying to locate the details required through indexes and catalogues and any secondary sources.

This does not include any checking of original records, as that would be classed as research and a charge would be made.

Website and online catalogue:

The service has an electronic catalogue that is accessible remotely via the website. The catalogue is regularly updated to allow increased access to the collections and the service is committed to developing this tool for access. However, the legacy of 100 years of collecting and cataloguing in ways that do not meet modern standards means that only a proportion of the catalogues have been uploaded and the service is aware of the issues this creates.

Staff will always check both online and hard copy indexes to answer enquiries, and researchers are encouraged to contact the service if they cannot find something online, as many sources are not yet available in this way.

6. Methods of access: Surrogates

Frequently requested documents, such as Church of England parish registers, will be produced only in the form of surrogate copies in the form of microfilm or digital images, to minimise wear and tear on the originals.

Researchers are directed to the Ancestry website as the best source for the details from the Northamptonshire parish registers, with free access offered in the office.

Probate documents are similarly very popular, and the service is part-way through an in-house project to digitise all the early wills that have been enrolled or bound into volumes. Therefore, researchers wishing to consult wills from the 1500s and 1600s are likely to be offered access via digital images currently presented on data sticks and viewed on a PC in the public searchroom.

The service also has many microfilm copies of documents relating to Northamptonshire that are held elsewhere. Some of these documents are held in printed format and in microfilm, such a Hearth Tax returns or militia returns, so the researcher has several options in terms of using the material.

7. Methods of access: paid services

Research:

Researchers who are unable to visit in person can engage the service’s researcher to undertake work on their behalf for a fee. This is an excellent way for people to benefit from expert assistance with their family, local or house history.

Usually no more than two hour’s work is done at any one time, allowing the user to control the amount spent.

However, work can be commissioned on an ongoing basis and in many cases this can prove incredibly rewarding for overseas customers as details are gradually uncovered; copies can be included with research results that are usually sent electronically only.

Where no results are found, no refunds can be given. Current fees are always available on the service’s website.

The service reserves the right to turn down requests for paid research where it is considered that no specific relevant source has been identified, or that it is believed the chances of finding any relevant information are slight. Staff are unable to provide legal advice or get involved in legal cases.

Digital copying:

Digital copies of original archives held can be created for a fee, based on a set up cost and then a lower sum per page.

Current charges are always given on the service’s website. Customers are usually given a quote and then will be expected to pay the quoted amount before the image is sent out.

Digital images are sent as jpgs using an online ‘we-transfer’ system rather than as attachments, unless a researcher specifically asks otherwise. They are sent with a clear statement that the image is for private study purposes only.

Any publication of copies of documents must be agreed with the Head of Service. An additional fee to the cost of the copies will apply for all publication of images, the rate depending on whether the image is being used for commercial or non-commercial purposes.

8. Access restrictions

The service is committed to providing public access to documents. However, there are certain circumstances where such access may be restricted. These are noted in this section.

Sometimes archives are very fragile or have been badly damaged in the past and any handling would risk further damage. In these circumstances, they will be withdrawn from public access until they can be treated or until a digital surrogate can be made to facilitate consultation.

A judgment will have to be made as to the level of resources that can be invested on alternative means of access on a case-by-case basis.

Under the Data Protection Act of 2018, the personal information of living individuals is protected. Some records can therefore be closed for up to 100 years and researchers will not be able to gain access to these.

Where records contain personally identifiable information of potentially living individuals, but also include details of people who are known to have died (such as with some hospital records) then access can be given via the research service.

Anyone wanting to access records about themselves should apply to West Northants using the Subject Access process, once the service has confirmed the records are held.

Requests to access Coroner’s court records that are currently closed must be made directly to the Court. Closure periods range from 35 to 100 years.

Historically, a very few depositors have asked for access to their collections to be restricted for a set number of years. Access to these collections is only with the depositor’s permission. More frequently permission to publish must be sought from a depositor before the service can confirm this. The service no longer accepts for deposit collections that have such restrictions imposed by the depositor.

Uncatalogued collections:

The service does have many collections that are not catalogued to modern standards; some may have only a summary box list of the records, or even nothing beyond an accessions record to confirm the content.

Staff will endeavour to provide access to such collections where it is possible to narrow down to a small number of boxes those parts of a collection that might support a researcher’s topic of interest.

Where an investigation appears to involve a search across 20 boxes or more, then it will have to be refused until more resources can be identified to address the collection.

9. What researchers can expect from the service

• the Archives Service will offer a friendly and helpful service to all researchers
• all users will be treated with respect, courtesy, and sensitivity as appropriate
• requests and enquiries both in person and received remotely will be dealt with accurately and promptly within the resources of the service (10 working days for written enquiries)
• where the service cannot help, researchers will be told why
• feedback from researchers will be encouraged and an annual survey of users undertaken

10. What the service expects from its researchers

The service expects its users to abide by the rules and regulations and to listen to staff who may ask them to treat document in a particular way; to be considerate of others, especially when working in the archive search room where people need quiet in order to be able to study; to accept when there are access or other restrictions that limit access, as these will be in place for legal reasons; and to be aware of the limited resources under which the service operates and therefore allow staff time to address any issues that may arise.

11. Consulting users

The service will carry out targeted surveys to help with service development and continue with the annual survey of users in February that asks a set range of questions to enable some benchmarking to be done across time.

This survey is also reported onwards to the Joint Operating Board so that both authorities have an overview of customer feedback about the service.

The service manager will investigate thoroughly all suggestions, comments and complaints and make a response as appropriate.

News about new accessions or developments in the collections, forthcoming events, and any access issues, will be disseminated via Facebook and Instagram, as well as on the website.

12. Policy documents and review

This policy is supported by the guidance notes issued to staff as to the roles they are expected to undertake in the different public rooms. These detail the tasks and responsibilities of each team member.

The various forms required e.g. issuing heritage cards, issuing photo permits, copying requests etc., are held in the staff manual.

This Policy will be reviewed every 3 years, or to reflect any major legislative changes.

The next date for review is March 2026.

Policy approved by Simon Bowers, Assistant Director, Assets and Environment

Policy owner Sarah Bridges, Archives and Heritage Strategic Manager

Mission statement: The Archives and Heritage Service exists to preserve the unique and irreplaceable heritage of the ancient county of Northamptonshire, to make this heritage accessible to everyone, and to encourage engagement with heritage in all its forms.

1. The importance of volunteers to the Northamptonshire Archives and Heritage Service

Volunteers are invaluable to Northamptonshire Archives and Heritage Service as they enable the service to undertake work that would not otherwise be possible, and often bring specialist skills and knowledge to their roles.

Northamptonshire Archives and Heritage Service welcomes the contribution made by volunteers as it enables the service to make the county’s irreplaceable heritage more accessible. It aims to encourage more volunteering by people from all walks of life, where resources allow.

2. The relationship between the Northamptonshire Archives and Heritage Service and volunteers

The relationship between volunteers and the service is one founded on trust, mutual understanding and benefit; it is a ‘gift’ relationship, with time given freely and willingly, without expectation of financial reward by the volunteer. Neither the service, nor the volunteer, regard the relationship as a contract of employment.

No enforceable obligation, contractual or otherwise, can be imposed on the volunteer to attend, though there is an expectation that a volunteer will normally attend for a minimum of three hours a session. Likewise, the service cannot be expected to provide regular volunteer work or benefit for any activity undertaken.

The relationship is based on the principle that volunteers add value to the work of the service by undertaking a range of tasks, and by having a flexible approach to their work.

Volunteers offer their time freely and willingly, and without binding obligation. However, there is a presumption of mutual support and reliability.

3. Principles for volunteer management

This policy sets out the broad principles for volunteering with Northamptonshire Archives and Heritage Service and forms the foundation for volunteer management across the organisation.

Commitment to all volunteers

• the service will always aim to be fair and equal in its treatment of volunteers
• volunteers will be matched with suitable projects, as far as is possible, so that both parties benefit from the arrangement
• the service will provide the necessary induction, training, and ongoing development, so that volunteers can be effective in their role
• the service expects volunteers to provide their time on a regular basis to enable effective management of project
• the service may not always have a project suitable or ready for an individual person or persons; if this is the case it will always ensure this is communicated to the relevant volunteer and any obligations/timescales on either side are clarified  

Volunteer commitment to the Archives and Heritage Service

• to be a positive ambassador for the service when talking to others
• to handle original documents with care, seeking advice when necessary
• to treat the service’s customers, staff and other volunteers with courtesy and respect
• to give a minimum of three hours a session volunteering

This policy is relevant for all current and future volunteers, as well as staff.

A printed copy of this policy is available on request.

See also the Agreement with Volunteers, signed at the start of any arrangement with an individual volunteer to articulate these expectations.

4. Selection of volunteers

The service has a fair and consistent process for selecting volunteers that is relevant and appropriate to each role.

Anyone new who applies for a volunteer role will be invited for an informal interview with a member of staff. At this meeting, staff will explore the potential volunteer’s skills, experience, interests and suitability, as well as their motivation.

This will enable the service to match individual skills and experience to the projects available. When a candidate is not selected, they will be made aware of other volunteering opportunities within the council or other organisations.

The vast majority of volunteers have been working with the service for some time. Nonetheless, there is always an ongoing process of selecting new projects for each one and making sure that the appropriate projects are chosen, based on the volunteers’ skills, knowledge, experience, and individual enthusiasms.

The service will ensure that all potential volunteers have a clear understanding of their role. For individual volunteers, this will often be in the form of a role description, prepared by the Collections Officer.

5. Equal opportunities and diversity

The Northamptonshire Archives and Heritage Service recognises the importance of encouraging diversity and achieving equality among volunteers, as well as employees and customers. It actively encourages people to volunteer from all sections of society. 

The service values and respects the individual by providing equality of opportunity to all for active involvement, within the scope of the organisation’s needs and resources.

All staff, volunteers, contractors and partner organisations are expected to actively support West Northamptonshire Council’s commitment to diversity and equality.

Acceptance of volunteer assistance for a particular role will be made on merit, the sole selection criterion being an individual’s suitability to carry out the specified task(s). Reasonable adjustments will be considered for a volunteer with a disability in accordance with West Northamptonshire’s disability policy.

There is a minimum age of 18 for volunteers.  The service has no upper age limit for volunteers, recognising the contribution made by older volunteers in terms of knowledge and experience. However, it would be irresponsible to permit volunteers to continue beyond a point where volunteering is detrimental to their own or other people’s health and safety.

Any volunteer who uses inappropriate and/or offensive language, and/or whose behaviour is considered by the Service Manager to conflict with the Equalities Act, will be given a formal caution, then if similar instances occur, will no longer permitted to volunteer.

If a volunteer feels they have not been treated fairly, they should make their concerns known to the Service Manager as appropriate, who will investigate the matter.

6. Induction, training and development

New volunteers will be made to feel welcome and will be provided with an informal induction. As part of their induction, volunteers will receive a copy of the volunteer policy, together with material relevant to the specific task.

Document handling training will also be provided at an early stage, and refresher sessions provide for those who have been with the service for any length of time.

New volunteers will be given time to settle in. This will allow them to learn about the organisation, their project and their tasks. It will also provide staff with the opportunity to assess whether their skills match the tasks.

At the end of a mutually suitable settling-in period, an informal discussion will be held between the volunteer and a member of staff, usually a Collections Officer, to note positive experiences, as well as discuss any areas of concern.

Volunteers will be expected to have a basic grasp of IT skills as most task require some data inputting. The service does not provide IT training.

7. Support and supervision

Volunteers are free to request a one-to-one meeting with a member of staff to discuss their volunteering. Following the request, a mutually convenient time will then be agreed. In most instances, a quick catch up between a member of staff and the individual when they arrive at the start of their session, is all that is required to keep them motivated and for the service to keep updated on progress.

A longer meeting is set up when one project ends and another begins.

A group meeting with the Head of Service is held at least once a year to give volunteers the opportunity to share their experiences and hear any updates about the service. These meetings will usually have a social element.

A member of staff, usually the Collections Officer, checks and backs-up volunteers work, and provides feedback to individual volunteers where necessary.

Volunteers are free to end their involvement at any time. Wherever possible, an end date should be agreed between the volunteer and the Collections Officer.

8. Expenses

The Archives and Heritage Service is unable to provide any expenses for volunteering.

9. Health and safety

The service is committed to ensuring the health, safety and welfare of all volunteers.  Volunteers are made aware of and understand the health and safety risks associated with their role. They are provided with the appropriate information, instruction, supervision and training required to provide a safe environment while volunteering.

It is important that if any volunteer sees anything that causes concern regarding health and safety, that they report it to a member of staff immediately.

10. Insurance

All volunteers are indemnified under West Northamptonshire Council’s public liability insurance.

The insurance will not cover unauthorised actions or actions outside the volunteering agreement.

11. Confidentiality, copyright and data protection

The work produced by a volunteer, while working on a volunteer project, becomes the copyright of the Northamptonshire Archives Service.

Volunteers will not be given projects to work on that involve working with documents that would usually be treated as having restricted access, in order to project personal data.

Personal information recorded about volunteers will be stored and maintained with appropriate safeguards for confidentiality and will comply with the requirements of the General Data Protection Regulations.

12. Policy Review

This Policy will be reviewed every 3 years, or to reflect any major legislative changes.

The next date for review is March 2026.

Policy approved by Simon Bowers, Assistant Director, Assets and Environment 

Policy owner Sarah Bridges, Archives and Heritage Strategic Manager

1. Scope

Northamptonshire Archives Service mission is to preserve the unique and irreplaceable heritage of the ancient county of Northamptonshire, to make this heritage accessible to everyone, and to encourage engagement with heritage in all its forms.

2. Collections care principles and good practice

Documents can be damaged, resulting in lost information or diminished historical value, in the following ways:

• dissociation
• wear and tear
• damp and mould
• high temperatures accelerating chemical deterioration
• light damage
• theft or vandalism
• obsolescence
• insect or rodent pests
• chemically unstable materials
• fire or flood
• poor quality conservation treatments

The staff at Northamptonshire Archives, under the direction of the Archives and Heritage Services Manager, will minimise the risks to the collection by implementing good practices such as:

• monitor and manage the archive environment
• ensure security procedures are followed
• ensure good document handling
• package items in appropriate containers made from archival materials
• assess the condition of new acquisitions before adding them to the repository
• assess damaged items and carry out conservation treatments and/or digitisation to reduce the risk of further damage
• ensure 20th century and digital media are protected from obsolescence
• have a written plan to follow in the event of an emergency

These practices are based on national and European standards and advice from national and international professional bodies (see Appendix). It is the responsibility of the Archives Conservation Officer to ensure that they are implemented. The Head of Service is responsible for ensuring that all staff, researchers and other visitors to the site, comply. 

3. Storage Environment

Northamptonshire Archive is a purpose-built, archive repository designed to use the thermal inertia of the structure to maintain a stable environment without the need for air-conditioning. Temperature and humidity readings are taken every few minutes with data loggers in every repository. De-humidifiers are deployed when the RH rises above 55% to avoid the risk of mould.

Insect populations are monitored using blunder traps in several locations in each storage area. They are logged and analysed every 4 months. Freezer facilities are available through National Conservation Service membership, should an infestation occur. 

The archive will be kept tidy and orderly to avoid misplacing items, to discourage insect infestations and avoid transferring dirt onto the documents. The archive repositories will be thoroughly cleaned annually.

Light levels are minimised by boxing or wrapping the bulk of the collection. 

The environment at the storage facility at Upper Heyford is monitored by NCS and controlled by Restore to comply with BS4971.

4. Security

The archive has a daily lock-up routine and a 24-hour intruder alert system which is regularly maintained. Only archive staff, council approved contractors or escorted visitors are allowed access to the storage areas. 

Visitors to the archive are asked to provide photo ID, are not permitted to take bags, folders or pens into the archive search room and are only allowed to access up to two documents at a time. The searchroom is supervised at all times. 

2.6% of the collection is stored off-site at Restore/NCS Collaborative Storage Scheme at Upper Heyford. The site has restricted access, 24-hour on-site security and intruder alarm systems.

5. Access and Handling

The archive staff aim to make all documents that are requested for research available. However, items will be withdrawn from public access if handling is likely to cause damage. Such items will be assessed by a conservator who will look at options to make them accessible such as treatment, better packaging, digitisation, or a combination there of.

Good handling will be promoted by staff and volunteers who will be trained by a conservator on an annual basis. No food or drinks are allowed in public or staff areas where original documents are consulted or stored. Book supports, weights and gloves will always be provided when necessary. Photocopying is rarely used as a reproduction method and limited to flat, non-light sensitive items, smaller than A3.

6. Packaging

Good packaging is essential for protecting archival objects from physical damage when being handled and chemical damage when the items themselves are acidic. All packaging materials must be chemically inert or alkaline-buffered to absorb and acidic off-gassing over time. All packaging must fit the objects correctly.

Packaging must be clearly labelled to reduce unnecessary handling and dissociation. Boxing archival items is the most effective way of protecting them from general environmental fluctuations but also in extreme situations such as a fire or flood.

7. New Acquisitions

All collections will be labelled clearly as soon as they enter the archive, usually with an accession number. They will be checked for insect pests and mould and, if necessary, treated before they are moved into the repository.All items will be then boxed or wrapped where possible.

Archival quality packaging will be used to protect and identify items. Chemically unstable and obsolete media will be identified so that they can be assessed for digitisation. ‘Born digital’ material is covered in the Digital Preservation Policy.

8. Conservation Treatments and Surrogates

The conservator will assess damaged or fragile items and work with colleagues to devise treatment and copying programmes to make the items, or the information they contain, accessible.

Making content available through surrogate copies can be an efficient and cost-effective method of protecting fragile documents and in some cases might be the only way to make vulnerable items accessible. The archive has microfilm, microfiche and digital copies of documents in the collection which all need to be maintained. The copying process can also cause damage and the risks need to be assessed before digitisation.

Items will be prioritised for treatment and/or preservation copying, based on:

• health and safety risk 
• public demand 
• items with a high risk of loss due to chemical instability or obsolescence
• historical significance
• status of deposit (whether they are owned by the Archive)

Conservation treatments change the physical structure of the item and must be carried out to a high standard by (or supervised by) a trained conservator who follows a code of ethics (see Appendix). Treatments and materials used must be documented. The archive is committed to ensuring staff training is maintained to ensure the most up-to-date approach. 

9. Avoid obsolescence

Many 20th century media formats such as film, video cassettes, reel-to-reel audio and mini-disks are at risk of obsolescence because the machinery is no longer available for playback. Digital media can suffer from similar problems if data is stored on floppy disks or stored as unsupported file types. It is essential that these types of media are assessed, monitored and prioritised for copying. (See Digital Preservation Policy).

10. Emergency planning

The repositories are designed to minimise the risk of fire or flood. Staff safety procedures and maintenance schedules also designed to minimise the risks. There are smoke detectors and fire extinguishers located throughout the building and the archive is located next door to a fire station. Should an emergency occur, there is an Emergency Plan and Business Continuity Plan. Staff have an annual training/refresher session on emergency procedures. The archive is a priority user of Harwell Restoration who offer support services in the event of an emergency.

Appendix

BS 4971: 2017 – Conservation and Care of Archive and Library Collections

EN 16893: 2018 – Conservation of Cultural Heritage. New sites and buildings intended for the storage and use of collections

BS 1153:1992 – Recommendations for processing and storage of silver-gelatine type microfilm

Icon Ethical Guidance (2020)

Archives and Records Association – Code of Ethics (February 2020)

1. Introduction

The purpose of this document is to outline Northamptonshire Archives Service’s current approach to collecting and preserving digital records.

The archive has a statutory duty to keep records related to the governance of Northamptonshire and other documents that form a historic record of the environment and the people who lived here.

These items are increasingly being created in digital form only. Unlike paper and parchment records, active management is required to maintain the integrity, authenticity and accessibility of digital materials throughout their lifecycle.

The service is only at the very initial stages of developing the means to care for digital archives and to make them accessible. Improvements will be largely determined by progress made corporately to implement the technology and systems necessary to support the Archives service in its aims.

There are different types of digital records that the service needs to preserve:

• born-digital records – these are created digitally and are not available in a physical form e.g. some Council Minutes and associated committee minutes since 2004, databases, digital photos, graphics files, virtual reality (VR) footage
• digital copies of documents, moving image or audio, when the digital copy has become the authoritative record because the original is likely to deteriorate quickly or has been disposed of due to health and safety concerns or obsolescence, e.g. thermal papers, nitrate negatives, mini discs
• digital copies of documents, moving images or audio used for widening access, where the original is still preserved by the archive e.g. Church of England parish registers, Historic Environment Record (HER) photos, wills, cine-films, audio cassette tapes.

2. Local Authority Born-Digital Records

Northamptonshire Archives has a statutory responsibility to preserve and give access to the records of its governing authorities, West and North Northamptonshire Councils, to the various predecessor borough and district councils, and to the parish council records for the ancient county of Northamptonshire.

The Information Managers for North and West Northamptonshire Councils are responsible for collecting, organising and depositing records with the Archive Service. Digital council records will be managed during their administrative life cycle by these officers until a carefully selected set of records are ready to be transferred into the appropriate digital repository and into the service’s responsibility for permanent retention.

A retention schedule will be supplied by the Archive outlining the types of electronic files required e.g. council and committee meeting minutes and supporting reports, and the acceptable file formats, e.g. Microsoft Office, TIFF, pdf etc. 

3. Depositing non-council digital archive collections

Northamptonshire Archives has a rich collection of archives from other public and non-statutory bodies e.g. hospitals, businesses, schools, charitable organisations and prominent families and individuals, and provision must be made for receiving digital collections from these sources.

The criteria for accepting and appraising digital collections will be the same as those for paper collections (please see Collections Policy). Guidance on how to deposit digital collections will be provided by the Archive on a case-by-case basis. 

4. Digital preservation

Once the custody of the digital archive passes to the Archives Service, long-term preservation will become the responsibility of the Service Manager with support from WNC DTI department. The aim is to develop a digital repository for council records within the next two years but currently the archive does not hold any digital council records.

Collection material which has already been deposited on memory sticks, hard-drives, CD-R, DVD-R, floppy disks and mini-disks have been identified and added to a Digital Asset Register which will be used to manage their preservation.

Some items are born-digital records, some are copies of analogue records and they need to be identified, quantified and prioritised for long-term preservation. Items will be copied and stored in digital format on the Archive’s Network Attached Storage Device (NAS Box) and portable hard-drives. Born-digital records should also be stored on Sharepoint until a digital repository is available.

5. Access to digital records

Making digital records accessible is the responsibility of the Archives and Heritage Services Manager with support from WNC DTI department. Digital records will be made available in compliance with the Freedom of Information Act 2000 (FOI) and General Data Protection Regulation 2016 (GDPR) on a case-by-case basis.

An access platform will need to be developed as part of the digital repository provision. 

6. Quality of digital capture

Digital capture needs to be carried out to a quality suitable for its end use. The quality of digital capture is particularly important for those records where the digital copy becomes the authoritative record. High quality images are essential if the original is no longer available or is likely to deteriorate.

Some digital file formats can deteriorate over time due to space-saving compression. Lossless compression is essential for long-term storage. The archive uses TIFFs or RAW files for long-term preservation and Jpegs for access.

7. Contracts with external providers

It is important that the Archive funds external providers to maintain access and preserve digital assets in accordance with their contacts. The archive has agreements with the following companies:

• axiell to maintain access to the digital catalogue; the database is externally hosted
• exegesis (IDOX) maintain access to the Historic Environment Record (HER) database. The database is externally hosted
• Ancestry.com provide access to parish registers
• Find My Past provide access to indexes of school log books and World War I Tribunal papers

8. Emergency Planning

Digital records will be included in the Archives Emergency Plan.

9. Security and Digital Continuity/Information Assurance

Information assurance and authenticity are vitally important aspects of digital preservation. Security and digital continuity of the files are the responsibility of archive staff at the point of accession and should be guaranteed in the long-term by storage in a well-managed, digital repository.

10. Sustainability

The Archive staff will work with their colleagues in WNC to monitor the growth of the digital archive to inform sustainability planning in terms of technical infrastructure, staffing, financial resources and environmental challenges.

Date: Review in 3 years (max)