Record office policies and deposits

Context

The aim of this policy is to show how the North Yorkshire County Record Office will provide and promote public access to our archive collections for research purposes as well as engagement through outreach and learning activities.

This policy should be considered in line with our wider mission:

The North Yorkshire County Record Office collects historic and current records for North Yorkshire and provides recordkeeping services for North Yorkshire Council. We preserve records of significance for the study and understanding of North Yorkshire and its communities, holding them in trust for the use of present and future generations. We encourage people of all ages and backgrounds to engage with our collections, inspiring them to connect with their past and present, develop a sense of place, and improve health and wellbeing.

We operate within the strategic context of the North Yorkshire Cultural Strategy and its vision ‘to create a distinctive region where accessible and inclusive culture and heritage is at the heart of improving people’s lives’. The Culture and Archives service has global ambition, with a local focus.

We comply with the policies and procedures set out by North Yorkshire Council, including the Equality Act 2010.

We are committed to facilitating access for everyone and are an accredited archive service, demonstrating that we meet the nationally recognised Archive Service Accreditation standard, which examines the organisation’s ability to develop, care for, and provide access to its collections.

This policy should be read in conjunction with our suite of Collections Policies, and our Digital Preservation Policy. Our Forward plan sets out our intentions to develop collections access and engagement.

Scope

For the purposes of this policy, access is the right, opportunity or means of finding, using, or approaching collections and/or information about collections, including on-site and remote access, outreach and learning activities.

Engagement is defined as more than simple contact with the Record Office. It involves developing an understanding and a sense of personal value, ownership, and empowerment through access to collections and the wider service.

Outreach work may include talks, workshops, pop-up archive displays, exhibitions, tours, school visits, group sessions and attendance at external events.

Objectives

We will:

• make access a priority when defining future policies
• not discriminate against any user or potential user
• establish clear channels of communication to and from our communities and stakeholders
• identify and engage with stakeholder groups
• make use of technology to widen access to collections and services
• ensure that information about our collections and services is readily available
• serve communities effectively by offering a range of services appropriate to their needs
• develop strong partnerships with stakeholders and communities to create
• opportunities to increase engagement with collections
• use our collections creatively to support the strategic priorities as defined in the North Yorkshire cultural strategy
• develop the skills and competence of staff in collections access and engagement activities through targeted training

Audiences

Research from our Resilient Records project in 2020 shows that our demographic profile is narrow. Our audience (on-site and remote users as well as communities) is typically limited to those who have an established interest in history, heritage and/or genealogy, and predominantly, these groups are made up of people in more mature age groups (55+), of White British origin, with no additional needs.

Communities who traditionally engage with the Record Office for research on-site and remotely include:

• family historians
• local historians
• subject specific researchers (such as house history, garden/landscape history, legal research)
• academic researchers
• researchers for business purposes
• users for legal purposes (often solicitors using the north riding registry of deeds)
• community groups and projects with a research scope
• North Yorkshire council employees
• depositors accessing their own records

Most of these communities are UK based, many local to North Yorkshire but a small proportion of researchers (both on-site and remote users) are international, with ancestral tourism being a key interest.

Communities who engage with the Record Office through outreach include:

• local history societies
• family history societies
• civic societies
• community groups
• charities (often supporting people with health and wellbeing)
• general public with a local history interest
• North Yorkshire council employees

The communities that engage with outreach tend to be North Yorkshire based.

Stakeholders include:

• North Yorkshire Council staff and councillors
• North Yorkshire residents
• depositors
• current users
• future users
• the archives sector

Barriers to engagement

We are aware that there are a range of barriers to engagement such as:

• poor public understanding of archives
• limited knowledge of the service within North Yorkshire Council
• lack of awareness of how to engage with the Record Office, despite an interest in heritage
• lack of confidence to approach the Record Office
• challenges presented by use of written historic documents and the skill set to understand and interpret them
• use of formal language in the description of collections, exhibitions, and general communication
• perception that archives are not relevant to ordinary people
• scale and geography of North Yorkshire
• lack of access to technology

We are working to address, reduce and remove these barriers where possible following the steps set out in our Forward plan.

Collections access and engagement

The following policy sets out how we seek to fulfil the objectives in relation to collections access and engagement:

Principles of access

• make it clear who is responsible for the service and how they can be contacted
• ensure that all staff are guided by clear standards of service
• ensure that information on the practical arrangements for access to our service is made available to users and regularly updated
• ensure that researchers are accommodated appropriately when they visit the record office, and that our service and buildings are accessible for users with a range of needs
• ensure that clear, written advice is provided relating to the public use of facilities and that staff are available to give practical assistance in the use of the search room
• ensure that the opening hours of the service are appropriate to the effective and efficient achievement of our access aims

Collections access through the search room

We will:

• provide access, free of charge, to our collections (original and surrogate) in the public search room during our advertised opening hours
• ensure that the rules and regulations for the use of the search room are understood and researchers sign an undertaking to abide by them
• provide constant invigilation of the search room by staff during opening hours
• provide appropriate training for staff so they can deliver a knowledgeable and user friendly service and are confident to: 
  • Show researchers how to use the search room
  • Explain the various guides, catalogues, and indexes to our collections
  • Help to identify relevant sources
  • Assist with ordering and handling of original records
  • Assist with locating and use of surrogate records, such as microfilm
  • Explain how to obtain copies and any applicable charges
• encourage users to share responsibility for the preservation of collections by offering guidance and developing a partnership approach
• create and maintain finding aids to the collections in our care and make them readily available for public consultation

Remote collections access

We will:

• ensure that information about accessing remote services is available to users and kept updated
• make descriptions of our collections available online
• provide a range of enquiry services for users who wish to conduct research by email, telephone or letter
• provide a range of reprographics services to supply copies of records on demand
• make use of the opportunities created by digitisation of records and potential commercial partnerships
• use our blog and social media where appropriate to promote and share images of collections and collections information digitally

Access to records

Access to records is provided in surrogate or original format and we seek to make our collections as accessible as possible.

The statutory framework for access to records held by the Record Office is provided principally by the following:

• The Public Records Acts 1958, as amended 1967
• The Local Government (Records) Act 1962
• The Local Government Act 1972 (ss.224-229)
• The Local Government (Access to Information) Act 1985
• UK data protection law, made up of
  • General Data Protection Regulation (GDPR) 2018
  • The Data Protection Act (DPA) 2018
• The Freedom of Information Act (FOIA) 2000
• The Representation of the People Act 2002
• The Environmental Regulations 2004
• The Church of England Parochial Registers and Records Measure 1978, as amended 1992 and amended to date
• Tithe Document Rules 1960 and 1963
• Manorial Document Rules 1959 and 1967
• The Access to Health Records Act 1990
• Constitutional Reform and Governance Act 2010 (section 46)

The conservation status of collections and the requirements of the owners of documents are also relevant for determining access, see our Collections Care and Conservation Policy for more information.

Access to some records may be restricted. Further guidance is available in Guidelines for Access to Restricted Records.

The Freedom of Information Act 2000 (FOIA) permits access to certain pieces of closed information under relevant guidelines. Applications under FOIA for information from any restricted records should be submitted via the information governance team infogov@northyorks.gov.uk.

We seek to provide access to digital records within our collections, considering all legal, regulatory, and ethical considerations. Access will be provided at a minimum level using a PC in the public search room, see our Digital Preservation Policy for more information.

Collections access through exhibitions and events

To increase engagement with audiences beyond the search room, we hold small exhibitions and events throughout the year.

We will:

• provide access to collections through small on-site exhibitions featuring curated content with original and surrogate copies of records
• a digital version of the exhibition or a summary of the content may be made available through the blog
• host relevant external exhibitions at the Record Office, where the content meets the mission of the service
• ensure that all internally created exhibition materials meet the accessibility standards set out in the Exhibition Guidelines
• consider requests for items from our collections to be used in external exhibitions on a case-by-case basis with the security and conditions evaluated before approval
• hold on-site events such as talks, workshops, and educational sessions as appropriate
• support external events, organised by partner organisations and communities where relevant to the mission of the service and resources allow, making use of surrogate copies of collections

Use of collections

We support the use of our collections by individuals and organisations for private research, publishing, and other commercial use. This includes:

• personal photography of original records or digital copying from microfilm in the search room
• the supply of copies of records by our reprographics team
• requests for permission to publish copies of our records
• requests for media work or filming of collections on or off site

Fees may apply. These are detailed in our Fees and Charges, available on our website.

Communication

Maintaining good communication with our stakeholders and communities is essential to improving engagement with existing and new audiences.

We will:

• raise awareness of the service, our collections and the ways they can be explored on-site and remotely, across a wide range of audiences
• develop partnerships across the sector and beyond to enable the sharing of information about our collections and the work of the Record Office
• maintain user feedback mechanisms, complaints procedures and clear channels of communication to and from stakeholders and communities
• utilise social media and online platforms to reach a wide audience
• develop and maintain a marketing plan in conjunction with the wider Culture and
• archives service and the North Yorkshire Council Communications Team
• adopt a consultative approach to service development by proactively gathering user feedback and other relevant data
• contribute to regional and national archive networks

Statement of responsibility  

The Head of Culture and Archives, Senior Manager – Archives, the Conservation and Digitisation Manager and the Archivist Team are responsible for developing the Collections Access and Engagement Policy and ensuring that it is implemented, monitored, and reviewed.

Review

This policy document was issued in January 2025. It will be reviewed and updated as necessary, and at least every three years.

Context

This policy outlines the general principles of the collections development decisions made by the Record Office. It aims to ensure that our holdings represent, as fully as possible, all aspects of local life and the activities of all distinct communities within its collecting area. We seek to ensure that all major social, business, economic, cultural, and artistic activities are represented.

It is essential that our growing archive can be maintained in accordance with available resources. It is not possible to retain all records permanently. Appraisal plays a vital role in ensuring that only records that justify permanent preservation are added to our holdings. The unnecessary retention of records may jeopardize the future acquisition of important collections.

This policy should be considered in line with our wider mission:

The North Yorkshire County Record Office collects historic and current records for North Yorkshire and provides recordkeeping services for North Yorkshire Council. We preserve records of significance for the study and understanding of North Yorkshire and its communities, holding them in trust for the use of present and future generations. We encourage people of all ages and backgrounds to engage with our collections, inspiring them to connect with their past and present, develop a sense of place, and improve health and wellbeing.

This policy should be read in conjunction with our suite of Collections Policies and our Digital Preservation Policy.

These policies seek to establish a planned approach to collections development. This will guide internal collections management decisions and inform stakeholders and researchers of the principles guiding collections development within the service.

Scope

This policy applies to all collections, physical and digital, stored and maintained by the Record Office. It applies to newly deposited records and to the re-appraisal of existing collections either under our ownership or on long term loan.

For the purposes of this policy, collections development is defined as collecting new items, researching and reviewing our existing collections, and removing items in accordance with our procedures.

Appraisal is the process of assessing whether records justify permanent preservation. It applies to all records irrespective of medium.

Collection profile

The records we hold date from the 12th century to the present day and cover over five miles of shelving, relating to the history of North Yorkshire.

These collections include:

•    records from over 300 ecclesiastical parishes

• maps from the 16 to the 21 century
• quarter sessions records from the reign of 1ueen Elizabeth I
• tens of thousands of deeds from the 12th to the 21st century
• court records
• county, district, and parish council records
• estate records
• business records
• records of groups, societies and organisations
• North Riding register of Deeds

We will collect records relating to the following geographical areas:

records relevant to the county of North Yorkshire as created on 1 April 1974 and amended on 1 April 1996 and as may be affected by future boundary changes. This includes the former districts of Craven, Hambleton, Harrogate, Richmondshire, Ryedale, Scarborough, and Selby.

Records relevant to the whole, or substantial parts, of the pre 1974 historic county of the North Riding of Yorkshire.

Records relating to elsewhere that form an integral part of an archive relating primarily or most significantly to North Yorkshire.

Records of historical importance that fall outside the terms of the collection policy but would otherwise be destroyed or lost.

We will collect:

Records of the North Riding County Council (1889-1974), North Yorkshire County Council (1974-2023), and the North Yorkshire Council (NYC) created in 2023. 

Records of local authorities and superseded local authorities within North Yorkshire.

Public Records where the Record Office has been appointed as a place of deposit under the Public Records Act 1958.

Manorial and Tithe documents where the Record Office has been recognised as a repository.

Ecclesiastical records in line with agreements with church authorities.

Records of organisations, businesses, institutions, and individuals relevant to any aspect of the history and culture of North Yorkshire.

Surrogate copies of records held elsewhere that are relevant to the history of North Yorkshire.

The collections are primarily composed of manuscript material in the form of parchment and paper, but a range of other formats are also included, such as typescripts, photographs, newspaper material, sound recordings and digital media. In the case of sound recordings and digital material, we maintain a commitment to their long-term storage but cannot, at present, guarantee access to obsolete media. Our strategy for dealing with the challenges presented by digital records can be found in the Digital Preservation Policy.

Acquisition of collections

The Record Office accepts records by transfer, purchase, gift, long-term loan, or temporary deposit. Where relevant, intellectual property rights will be discussed with depositors and may be transferred or managed as appropriate. Any access restrictions or known sensitivities will be discussed at the time of deposit.

We seek to retain ongoing contact with depositors and actively work to retain contact with depositors of the most significant collections.

We aim to identify the most appropriate repository for collections and are mindful of the collecting policies of other local and national organisations. We will consult with these organisations where conflicts of interest may arise.

Records are accepted in accordance with the terms specified in our Conditions of Deposit.

Records from North Yorkshire Council are transferred in accordance with NYC’s Records Retention and Disposal Schedule with minutes and agenda papers regularly deposited.

Records offered for permanent preservation are appraised in accordance with our Appraisal Procedure.

Records accepted for permanent preservation are recorded and documented in accordance with our Collections Information Policy.

Strengths and limitations of the collections

The Record Office was established in 1974 as successor to the North Riding Record Office, which was founded in 1949. The core collections (Quarter Sessions records, the North Riding Register of Deeds, estate records, North Riding County Council records) therefore relate to the area of the former North Riding. Other areas of North Yorkshire are less well represented. Boundary changes and the nature of archives mean that many records for these areas will continue to be held elsewhere. We will be proactive in ensuring that areas formerly within the East and West Ridings (Selby, Harrogate and Craven areas) are as fully represented as possible in our collections.

The collections are strong in holdings of:

• estate and family records for the former North Riding
• pre 1970 title deeds
• pre 1974 county, district, and borough council records
• quarter sessions records
• coroners’ records
• ecclesiastical parish records
• Methodist records
• magistrates’ courts records
• parish and town council records
• solicitors’ records

Collections are weaker in the areas of:

• community history, including clubs, social and voluntary groups
• twentieth century estate and family records
• post 1974 district councils and local authorities
• political parties and politicians
• minority groups
• business records
• trade union records
• creative arts organisations
• records relating to the areas of North Yorkshire which, prior to 1974, formed parts of the West and East Ridings of Yorkshire

Principles of collections development

We will develop our collections by:

• working with communities, individuals, and businesses to promote the idea and benefits of depositing archives
• identifying and consulting with under-represented groups to make new contacts and to raise awareness of archives
• maintaining contact with our existing depositors and donors to ensure that our current collections continue to grow
• continuing formal arrangements for deposit of council archives (for both current and predecessor bodies) through the North Yorkshire Council records retention and disposal schedule
• working with council departments in the newly formed North Yorkshire Council to increase the deposit of post 1974 district council records
• strengthening links with place of deposit contacts to ensure timely transfers of public records
• monitoring auction and sale notifications
• analysing information about our current holdings and regularly reviewing our forward plan on collections development

Printed collections

We will continue to acquire printed reference material to support the work of researchers. Selection of such material will take account of material held by North Yorkshire Library Service.

We will work alongside the Libraries Communities Team, who oversee Local Studies to ensure a strong provision of printed reference material is available across the county.

Facsimile material

We may acquire surrogate copies of material held elsewhere but relevant to the history of North Yorkshire. Emphasis will be placed on material relating to the areas of North Yorkshire formerly in the East and West Ridings and to the holdings of community groups.

Limitations

We will not collect:

• works of art, artefacts, or objects
• published material, unless it forms an integral part of an archive, is of value as a research aid or contains significant manuscript annotations
• films and moving images, which will be sent to the Yorkshire film archive where specialist facilities are available
• records on which unreasonable restrictions on public access have been placed

Appraisal

We aim to ensure that appraisal practice selects records of the highest value in terms of their evidential, administrative, or historical importance and that our collections reflect, as fully as possible, all aspects of the life and work of the people of North Yorkshire, past and present.

Appraisal will be carried out with consideration of relevant legislation, including:

• Public Records and archive legislation
• Freedom of Information Act
• Financial regulations
• UK data protection laws

Items will be selected for retention under the following criteria:

• they fall within the remit of our collections development policy
• they are unique amongst the holdings of the Record Office
• they include information that is not available elsewhere
• They are likely to be of administrative importance to the creating body or its successors
• they give significant information about the creating organisation or individual
• they are deemed to be of possible interest to researchers
• they give significant information about major local events
• they give significant information about local political, social, cultural, or economic history
• they are of special intrinsic or historical value to the area and its diverse communities

All routine or duplicate material will be removed from the collections.

Principles of appraisal

Appraisal will be carried out by qualified archive professionals or by para-professionals under their supervision.

Where practical, an initial appraisal exercise will be carried out prior to collections being deposited. This initial appraisal will aim to identify series of records not worthy of long-term preservation and avoid the necessity of removing this material from the archive at a later stage.

Newly deposited material will generally be appraised as part of the cataloguing process. For smaller collections this will usually be on a file-by-file basis but for larger collections the decision to retain, destroy or sample records will be taken at series level.

Re-appraisal of existing collections will sometimes be necessary and will be carried out on the same basis as above. On rare occasions, it may be necessary to de-accession records following our principles of disposal and updating the collections information as required.

In the case of loaned material, any records appraised and not selected for permanent preservation, will be offered for return to the depositor before being disposed of.
Records of the North Yorkshire Council will be appraised in accordance with the Corporate Record Retention and Disposal Schedule, supplemented by the guidelines within this policy. The Retention Schedule includes provision for transfer to the Record Office of records identified as having long-term historical importance.

Appraisal decisions will be documented to leave an audit trail.

Further appraisal guidelines may be developed for particular classes of records in order to assist archive staff with this work. In the case of large classes of records, a defined sampling process may be an option.

Disposal

We may dispose of records in the following circumstances:

• the archivist considers that the records would be more appropriately stored in another repository
• the archivist considers that the records should not be permanently preserved in an archive repository
• the records are readily separable from other archives and records in the Record Office
• the owners of the records agree to the method of disposal

All unwanted material will be disposed of confidentially.

Statement of responsibility  

The Head of Culture and Archives, Senior Manager – Archives, and the Archivist Team are responsible for developing the Collections Development Policy and ensuring that it is implemented, monitored, and reviewed.

Review

This policy document was issued in January 2025. It will be reviewed and updated as necessary, and at least every three years.

1. Introduction

North Yorkshire County Record Office cares for millions of records of all shapes, sizes and ages which are housed in one purpose-adapted repository in Northallerton. It is committed to ensuring that its holdings represent as fully as possible all aspects of local life, all major social, business, economic, cultural and artistic activities. and the activities of all the diverse communities within its collecting area.

It is essential that this growing archive can be maintained in accordance with available resources. It is not possible to retain all records permanently. Appraisal plays a vital role in ensuring that only records which justify permanent preservation are added to North Yorkshire County Record Office’s holdings. The unnecessary retention of records may jeopardize the future acquisition of important collections.

Appraisal is the process of assessing whether records justify permanent preservation. It applies to all records irrespective of medium.

This Appraisal Policy should be read in conjunction with North Yorkshire County Record Office’s Collections Development Policy.

2. Aims

To ensure that appraisal practice selects records of the highest value in terms of their evidential, administrative or historical importance.

To ensure that appraisal practice supports North Yorkshire County Record Office’s commitment to reflect as fully as possible in its holdings all aspects of the life and work of the people of North Yorkshire, past and present, and the strategic objectives and collection themes of its Acquisition and Collections Development Policies.

To ensure that appraisal practice is in-line with current legislation relating to record keeping.

3. Scope

This policy applies to all collections stored and maintained by North Yorkshire County Record Office. It applies to collections owned by North Yorkshire County Record Office and those on long term loan.

This policy applies to newly deposited material and to the re-appraisal of existing collections.

4. General principles

Appraisal will be carried out with regard to:

• public records and archive legislation;
• Freedom of Information Act;
• financial regulations; and
• data protection.

Items will be selected for retention under the following criteria:

• they fall within the remit of North Yorkshire County Record Office’s Collections Development Policy.
• they are unique amongst the holdings of North Yorkshire County Record Office.
• they include information that is not available elsewhere.
• they are likely to be of administrative importance to the creating body or its successors.
• they give significant information about the creating organisation or individual.
• they are deemed to be of possible interest to researchers visiting North Yorkshire County Record Office.
• they give significant information about major local events.
• they give significant information about local political, social, cultural or economic history.
• they are of special intrinsic or historical value to the area and its diverse communities.

All routine or duplicate material will be removed from the collections.

5. Procedures for appraisal

Appraisal will be carried out by qualified archive professionals or by para-professionals under their supervision.

Where practicable, an initial appraisal exercise will be carried out prior to collections being deposited. This initial appraisal will aim to identify series of records not worthy of long term preservation and avoid the necessity of removing this material from the archive at a later stage.

Newly deposited material will generally be appraised as part of the cataloguing process. For smaller collections this will usually be on a file by file basis but for larger collections the decision to retain, destroy or sample records will be taken at series level.

Re-appraisal of existing collections will sometimes be necessary and will be carried out on the same basis as above.

Records of the North Yorkshire County Council will be appraised in accordance with the Corporate Records Retention and Disposal Schedule, supplemented by the guidelines within this policy. The Retention Schedule includes provision for transfer to North Yorkshire County Record Office of records identified as of long term historical importance.

Appraisal decisions will be documented to leave an audit trail.

Further appraisal guidelines will be developed for particular classes of records in order to assist archive staff with this work. In the case of large classes of records a defined sampling process is one option.

6. Disposal

In the case of loaned material, any records appraised and not selected for permanent preservation, will be offered for return to the depositor before being disposed of.

If appropriate, records may be offered for transfer to a relevant repository.

All unwanted material will be disposed of confidentially.

7. Review

This policy document is issued in April 2017. It will be reviewed and updated as necessary, and at least every three years.

Context

This policy provides a framework for collections care and conservation ensuring the holdings of the Record Office are cared for and managed in a consistent and safe way.

The archives are unique and irreplaceable being the original and only record in existence and their value lies in the retention in the original form. They are primary source material and often have legal evidential standing.

They are appraised, sorted, catalogued, and indexed so they can be easily accessed, given conservation treatment where necessary and stored in the best environment for their long-term preservation.

The Record Office aims to conform to The National Archives Standard for Record Repositories in the matter of security. This policy demonstrates how we ensure the security of the archives entrusted to our care in order that the information they contain can be made available to researchers both now and in the future.

This policy should be considered in line with our wider mission: 

The North Yorkshire County Record Office collects historic and current records for North Yorkshire and provides recordkeeping services for North Yorkshire Council. We preserve records of significance for the study and understanding of North Yorkshire and its communities, holding them in trust for the use of present and future generations. We encourage people of all ages and backgrounds to engage with our collections, inspiring them to connect with their past and present, develop a sense of place, and improve health and wellbeing.

This document should be read in conjunction with our suite of Collections Policies, our Digital Preservation Policy, Volunteer Policy, Forward plan and the Disaster Recovery Plan.

Scope

This policy applies to all collections stored and maintained by the Record Office. It applies to newly deposited records and existing collections either under our ownership or on long term loan.

For the purposes of this policy, Collections Care is defined as the range of activities intended to safeguard a collection. These activities can include organisational policies, security, storage, cleaning, maintenance, handling, scientific investigation, environmental monitoring and control, exhibitions and loans, conservation, provision of surrogates and emergency planning.

Conservation is defined as interventive techniques applied to a physical item to achieve chemical and physical stabilisation for the purpose of extending the useful life of item to ensure their continued availability.

Preservation is defined as actions that support the longevity of the archive material but do not involve techniques that are invasive to the material, for example managing the temperature and humidity of the repositories.

Overview and conservation principles

A National Preservation Office Preservation Assessment survey was conducted in 2003 providing a base line to measure and monitor the needs of the collections. Every two years, we undertake the Museums and Libraries Association (MLA) Benchmark for Collections Care self-assessment check list, which will, alongside the 2003 survey, help inform the preservation and conservation priorities detailed in the Forward plan for Conservation.

The conservation department consists of one full time conservator responsible for both conservation and digitisation. Volunteers assist with basic surface cleaning and repackaging of documents, under the supervision of the conservator.

The Record Office stores archival material, whatever its nature or format, in secure and suitable accommodation with appropriate environmental conditions, which are monitored daily.

We follow relevant national standards and best practice, and a professional code of ethics, in all aspects of collections care and conservation.

We adopt a risk management approach to collections care and conservation, with an on-going programme of condition surveys and assessment followed by appropriate remedial action.

We carry out remedial conservation work, using appropriate techniques to stabilise and slow down further deterioration with the minimum of intervention.

We provide access to archives, while ensuring their protection and minimising the risk from handling, see our Collections Access and Engagement Policy for more information.

We care for our born-digital collections in accordance with our Digital Preservation Policy.

Conservation

The Record Office will develop and maintain a methodology for reviewing the physical state of archives in its care, assessing all risks to a collection, and putting measures in place to control them.

Remedial conservation is essential for the long-term survival and accessibility of the archive collections. Remedial conservation is carried out by a trained and qualified archive conservator. It is undertaken in accordance with health and safety requirements, appropriate risk assessments and following nationally recognised ethical and technical standards BS 4971:2017 Conservation and care of archive and library collections. The Institute of Conservations Professional Standards.

The conservator carries out condition surveys to inform the direction of conservation work. By identifying archives likely to deteriorate because of chemical or mechanical damage we can determine future conservation priorities.

Conservation work is prioritised according to anticipated level of use, type and amount of damage and historical importance of an item/collection.

Conservation work relates specifically to the needs and future storage of the item and a minimal intervention policy will be adopted. Interventive conservation will seek to stabilise and halt further deterioration of or damage to an item, whilst ensuring that the maximum degree of evidential value is recovered.

A record of the materials and methods used is maintained including photographic documentation where appropriate and made available where required.

The conservator is expected to continually review their conservation practice in the light of on-going research and development in the field, and to review the conservation policy according to professional standards, current thinking and practice.

Packaging of collections

First stage packaging, in contact with the item, is acid free: four flap folders and paper envelopes. Second stage packaging, containing the items, is low acid: brass stapled archival boxes.

Large flat items are housed in metal plan chests, individually packaged according to format and material.

Maps and plans in suitable condition are encapsulated in archival polyester and housed in hanging storage.

Rolled items are housed in low acid map boxes. Where necessary supported with acid free tubing, wrapped with Tyvek and secured with archival cotton tape.

Seals are protected with polyester felt pouches.

Archival polyester is used to encapsulate suitable items, made to measure in house. 
Photographic collections are packaged by format: negatives and slides in archival polyester sleeves, housed in acid free clam shell ring binder. Glass plate negatives wrapped in pHoton archival paper for photographic storage, housed in acid free negative storage boxes.

Acid free custom enclosures are made for items requiring extra protection or going to straight to shelf.

A rolling program of updating unsuitable legacy packaging is being carried out by conservation, archive staff and volunteers. This includes replacing Alsco boxes and acidic envelopes.

Storage: security and environment

The Record Office recognises that of all the potential risks to the long-term preservation of physical records, inappropriate storage is the most significant.

We recognise the importance of a safe clean environment in the strongrooms and the value of good housekeeping in collections care. All strongrooms are cleaned regularly on a cyclical rota.

A pest management program is in place and monitoring via sticky insect traps occurs monthly. When a problem is discovered, the affected area is monitored to ensure the source of the problem is identified. Rodent control is managed by an external provider.

North Yorkshire Council Property Services deals with the maintenance of the building and any capital projects. Routine testing and servicing of the fire detection, alarm systems and air handling units is scheduled throughout the year and carried out by expert external providers.

Environmental control

The Record Office aims to provide environmentally controlled conditions designed to maintain humidity and temperature levels consistent with the long-term preservation of archival materials.

We aim for conditions to conform to PD 5454:2012 Recommendations for the storage and exhibition of archival documents with the recommended temperatures between 13°C and 20°C and the relative humidity between 35-60.

Environmental conditions in the strongrooms and throughout the building are monitored over 24 hours using data-loggers. This data is analysed monthly and remedial action taken as necessary.

The Record Office is committed to adhering to the recommendations made in: 

• BS 4971:2017 Conservation and care of archive and library collections
• BS EN 16893:2018 Conservation of Cultural Heritage: Specifications for location, construction and modification of buildings or rooms intended for the storage or use of heritage collections
• ISO 15489-1:2016 Information and Documentation – Records Management

Fire prevention and protection

Our collections are stored in secure, fire protected repositories.

A VESDA smoke detection system is installed in all strongrooms and smoke detectors are fitted throughout the building, with automatic fire alarms linked to a monitoring station and the Fire Service. The system is regularly serviced.

Strongrooms are protected by four-hour resistant fire doors. There are fire-break walls in the roof area between all strongrooms and between the strongrooms and the public area. Main electrical switches are situated outside the strongrooms.

Fire extinguishers are positioned throughout the building and are regularly serviced.

Fire and emergency exit signs are displayed, and staff are aware of evacuation procedures. Fire drills are held regularly.

All portable electrical equipment is tested on a regular basis.

Smoking is strictly forbidden inside the Record Office and on its premises.

The Fire Service have copies of plans of the building and keys to gain access in an emergency. They carry out familiarisation visits and have a digital walk-through of the building for training purposes.

Building intruder prevention and detection systems

The perimeter of the building and all parts of the repository are secure against unauthorised entry.

The perimeter of the building is protected by ten CCTV cameras with night vision. The cameras are linked to a 24-hour monitoring station.

The Record Office premises are protected by an intruder alarm system, updated in 2008, which automatically links to a monitoring station. If unauthorised access is detected the police and the nominated security firm will attend the premises.

Access to keys is controlled by Record Office staff. Access from the public areas to the archive storage areas is protected by an electronic pass. Entry is restricted to Record Office staff and those under its direct control or supervision.

Access and handling of collections

The Record Office aims to provide access directly or indirectly, both physical and intellectual access on-site and remotely in accordance with the Collections Access and Engagement Policy.

Documents are consulted by researchers under controlled conditions in accordance with nationally recognised and agreed standards and our search room rules.

Written rules and regulation for the use of the search room are in place and all users of the Record Office are required to sign an undertaking to abide by them.

The search room is constantly invigilated during opening hours and is CCTV monitored.

Staff are available in the search room to give practical assistance and guidance when handling historic documents, awkward or outsize items. Appropriate aids such as book cradles, protective polyester sheets and weights, are provided and correct use of these demonstrated. Users may be required to wear gloves when handling certain items such as photographs or negatives.

Staff receive appropriate training in handling archival material and manual handling as part of their induction program. Refresher sessions are offered to existing staff. Passive Conservation Guidelines are available for consultation.

Volunteers are recruited following the process set out in the Volunteer Policy and undergo an induction including training in handling archival material before commencing voluntary tasks. All volunteers are supervised by staff.

Access to original records that are uncatalogued, severely damaged or at risk from further handling may require special provision.

We hold a large collection of microfilm. Researchers are encouraged to use surrogate copies of records to minimise handling and reduce the risk of further damage to the originals.

Wherever possible detailed finding aids are made available to researchers for the records they wish to view, to reduce the need for handling of the original records.
We recognise the value of using digital technology to increase access to the archives and safeguard the collections. Personal photography of most records from collections in good condition by users is permitted under supervision in the search room. A scanning and reprographic service is in place for items in good condition and will be carried out by specialist archive staff.

Transportation of documents

Depositors are encouraged to transport their collections in person to the Record Office. If the depositor is unable to deliver the records, staff may collect smaller collections and return to the Record Office by a direct route.

North Yorkshire Council’s semi-current records are deposited and retrieved in person by council staff or transferred using NYC superintendents or library vans.

Exhibition

We hold small exhibitions in the foyer of the Record Office. Archive staff assisted by the conservator to select archival material suitable for display; those chosen are prepared and mounted appropriately.

No documents are placed on permanent display. Original photographic material is not displayed but replaced by surrogate copies.

The main display case is secure and glazed with anti-bandit glazing in accordance with BS EN 356:2000 Glass in building. Security glazing. Testing and classification of resistance against manual attack.

Environmental conditions in exhibition cases are monitored regularly, and remedial action taken as necessary.

Exhibited items are recorded detailing specific exposure calculated in Lux hours.
Individuals and institutions borrowing original material are required to comply with the terms and conditions specified in our Conditions for Loan.

Disaster recovery planning

The Record Office maintains a Disaster Recovery Plan, which is regularly updated. This ensures the protection of the buildings, archive collections and the staff as well as the most appropriate response to recover the archive holdings and make provision for business continuity in the event of an emergency. This plan has provision for staff training and testing.

The Record Office has appointed specialist contractors, Harwell Drying Restoration - Priority User Service, who in the event of an emergency will provide recovery and salvage services.

The Record Office houses disaster and recovery equipment in several locations throughout the building; items are listed in the Disaster Recovery Plan. We are a member of the Rapid Response Network, set up in Yorkshire to ensure availability of equipment and cooperative help for small/medium events. We store one of the six available disaster recovery kits in one central location. All equipment is audited, and PAT tested regularly.

Finances

A budget is allocated for the purchasing of conservation and preservation materials and equipment. The Conservation and Digitisation manager is responsible for ensuring that the funding is directed to areas of greatest need and is spent appropriately.
Particularly large or badly damaged collections are treated as individually managed projects with procurement of additional resources as appropriate.

Legislation and standards

The collections held by the Record Office are managed in accordance with its approved polices as part of the North Yorkshire Council’s Community Development Directorate.

Management of the collections is underpinned by the following standards:

• British Standards Institution: PD5454:2012. Recommendations for the storage and exhibition of archival documents
• BS 4971:2017 Conservation and care of archive and library collections
• BS EN 16893:2018 Conservation of Cultural Heritage. Specifications for location, construction and modification of buildings or rooms intended for the storage or use of heritage collections
• Institute of Conservation (ICON): Professional Guidelines (2002) 
• PAS 198:2012 Specification for managing environmental conditions for cultural collections
• Collections Trust, Benchmarks in Collections Care
• British Library Preservation Advisory Centre Preservation Assessment Survey

Statement of responsibility  

The Head of Culture and Archives, Senior Manager – Archives, and the Conservation and Digitisation Manager are responsible for developing the Collections Care and Conservation Policy and ensuring that it is implemented, monitored, and reviewed.

Review

This policy document was issued in January 2025. It will be reviewed and updated as necessary, and at least every three years.

Context

The team at the North Yorkshire County Record Office recognise that recording and maintaining accurate documentation relating to our holdings is fundamental to collections management. This policy aims to provide a framework to ensure that information is gathered and recorded in a structured way following professional best practice and is transmitted to our stakeholders by a variety of methods, including through online finding aids.

This policy defines the information that we will record and provide about the collections in our care. It outlines the history of collections information and cataloguing within the service and explains the cataloguing and professional standards used. It recognises that there is a backlog of uncatalogued and partially catalogued collections, which are a significant barrier to access, and that reducing this backlog will be a service priority. Specific steps to be taken to reduce the backlog are set out in the Forward plan for Collections Information.

This policy should be considered in the context of our wider mission:

The North Yorkshire County Record Office collects historic and current records for North Yorkshire and provides recordkeeping services for North Yorkshire Council. We preserve records of significance for the study and understanding of North Yorkshire and its communities, holding them in trust for the use of present and future generations. We encourage people of all ages and backgrounds to engage with our collections, inspiring them to connect with their past and present, develop a sense of place, and improve health and wellbeing.

Scope

For the purposes of this policy, collections information is defined as the information that the Record Office collects, creates, holds, and maintains about its collections. 
This policy applies to all records, analogue and digital, held by the Record Office. It covers all information written or gathered about collections during the accessioning and cataloguing processes or subsequently.

Records are defined as manuscripts, typescripts, maps, plans, drawings, photographs, electronic records, sound and video tapes, printed works and any other formats that form an archive, or an integral part of an archive, of an organisation or individual.

Collections information

Information is captured at various stages during the processing of a collection from deposit through to cataloguing and subsequent use. This policy covers information gathered at every stage including:

• point of deposit
• appraisal and disposal
• accessioning
• cataloguing
• location and movement control
• demand and usage
• preservation and conservation activities

The information is maintained in a variety of places and formats including:

• deposit receipts
• paper and electronic accession register
• Axiell CALM collections management software
• manual finding aids
• manual document request slips and electronic document request register
• depositors’ correspondence files
• manual withdrawal slips and electronic withdrawal register
• electronic register of disposal decisions

Accessioning

An accession register exists from the time of the appointment of the first County Archivist in 1949. The first manuscript register was maintained until 1978. It was followed by a typescript register and subsequently a computerised register.

In 2005 entries from all the previous accession registers were recorded in the CALM collections management system. New material was accessioned using CALM alongside a typed deposit register, (which is printed periodically) and this remains the current system.

Accession information recorded includes:

• date of deposit
• name and contact details of depositor and/or owner
• accession number
• summary description
• approximate creation dates
• accession category
• any known copyright or access restrictions
• any known administrative and custodial history

From 2016, the extent of the deposit is consistently recorded. In the case of deposits of digital material, additional information relating to size, format, access, storage, and preservation is captured and entered on to a digital inventory.

The accession register is not made available for public searching, either in person or online.

Formal conditions for long-term loan were adopted in 1988. A formal receipt, requiring the counter signature of the depositor or his/her representative, is issued for every donation, loan, or transfer. Depositors are supplied with a copy of the Record Office’s

Conditions of deposit

We seek to retain ongoing contact with depositors and actively work to retain contact with depositors of the most significant collections. 

We participate in The National Archives’ annual Accessions to Repositories survey to enable up to date information to appear nationally. New accessions are publicised online and via social media and a full list of recent acquisitions is available on request.

Cataloguing and accruals

All new catalogues conform to the principles and mandatory elements of the General International Standard of Archival Description [ISAD(G)] and is incorporated into the CALM database as soon as possible, guided by our in-house cataloguing manual and digital cataloguing guidelines. 

Older catalogues were based on an in-house standard template that broadly conforms to ISAD(G). Work to revise and upgrade these catalogues will be undertaken as resources permit.

We acknowledge that inadequate descriptions in legacy catalogues can form a barrier to access, and that older descriptions may contain terms that are now considered offensive. We will work with stakeholders to review and improve existing collections information, as resources permit. Our approach to improving existing collections information is outlined in our Forward plan for Collections Information.

Smaller deposits are often catalogued following accession but, in common with many local authority archive services, we have a growing accumulation of larger deposits, which we have not had the resources to catalogue. We will continue to explore opportunities for external funding to reduce key areas of the backlog and will prioritise collections in accordance with anticipated use, physical condition, size, complexity, potential to attract funding, and consideration of the findings of The Great Escape audit report (2005). Volunteer input will be sought, where appropriate, to help with listing of collections, under the guidance of professional staff. The steps taken to identify and prioritise collections for cataloguing are set out in our Forward plan for Collections Information.

New catalogues are made available in hard copy and in our online catalogue.

Collection level descriptions of the majority of our holdings have been available in our online catalogue since 2006 and work is ongoing to add item level descriptions through the retro-conversion of existing paper catalogues. Specific steps to achieve this are set out in our Forward plan for Collections Information.

Accruals are separately accessioned, catalogued and integrated into the existing catalogue structure, both in manual lists and in CALM.

We recognise the significant contribution volunteers make to our cataloguing programme and continue to manage volunteer projects designed to increase access to uncatalogued collections.

Conservation

A record of all interventive conservation treatments is maintained. The condition before treatment is recorded along with details of treatments undertaken.

Restrictions and closure periods

Records held by the Record Office may be subject to certain access restrictions or closure periods. These may be determined by data protection legislation, guidance from The National Archives and the Information Commissioner’s Office or imposed by the depositor. The Council’s Information Governance Team also offers advice. Further guidance can be found in our Guidelines for Access to Restricted Records.

Users are made aware of restrictions through the online and hard copy catalogues. Staff follow set procedures when advising users of the steps necessary to gain access to particular classes of restricted records.

We encourage depositors not to impose undue restrictions on access to collections.

Location, movement control and loans

We aim to maintain up-to-date information on the location of collections in our care. A tripartite request slip records details of documents removed from their usual storage location. Once documents are returned to store, slips are matched up and details recorded electronically.

A locations spreadsheet was completed in 2022, following a shelf-by-shelf survey of the collections. It provides a searchable guide to the locations of records using collection and item level references and is kept updated if items are moved or added. 
Manual forms are used to record items that have been temporarily withdrawn. Forms are countersigned by the person making the withdrawal or their authorised agent. The forms are filed and later marked to indicate the return of the item. From 2016, this information has also been recorded on a withdrawals’ spreadsheet. A tally slip is inserted in the box in place of the withdrawn document.

Information about mislaid items and long-term withdrawals is noted in the hard copy catalogues and online.

Disposals and withdrawals

We reserve the right to review the archives in our custody and to recommend their transfer or disposal in accordance with our Collections Development Policy and our Collections Management Policy.

Permission to destroy any material appraised as not being worthy of permanent preservation is captured at the point of deposit. This permission is reconfirmed prior to disposal. A register of disposal decisions is maintained.

Owners of records can withdraw material in accordance with our Conditions of Deposit.

Statement of responsibility  

The Head of Culture and Archives, Senior Manager – Archives, Archivist Team and the Conservation and Digitisation Manager are responsible for developing the Collections Information Policy and ensuring that it is implemented, monitored, and reviewed.

Review

This policy document was issued in January 2025. It will be reviewed and updated as necessary, and at least every three years.

Context

The aim of this policy is to show how the Record Office collects, preserves, manages, promotes, and makes accessible the records in our care. It identifies the overall legal and statutory framework that the service operates within and shows how the policies we have adopted interrelate to form a co-ordinated approach to collections management.

This policy should be considered within the context of our wider mission.

The North Yorkshire County Record Office collects historic and current records for North Yorkshire and provides recordkeeping services for North Yorkshire Council. We preserve records of significance for the study and understanding of North Yorkshire and its communities, holding them in trust for the use of present and future generations. We encourage people of all ages and backgrounds to engage with our collections, inspiring them to connect with their past and present, develop a sense of place, and improve health and wellbeing.

This policy should be read in conjunction with our suite of Collections Policies, Digital Preservation Policy, Volunteer Policy and the North Yorkshire Council Recruitment and Selection Policy, Health and Safety Policy and Training, learning and development Policy.

Service history

To understand the make-up of the collections held by the Record Office in relation to our current collecting area, it is useful to know how the service has developed alongside the changes to our managing authority and the impact of the historic boundary changes. 

The Record Office traces its roots back to 1949 with the appointment of a County Archivist for the North Riding of Yorkshire. Based in County Hall, Northallerton, the early days of the Record Office were focussed on listing, cataloguing, and providing public access to the records of the North Riding Quarter Sessions that had accumulated since the early sixteenth century. 

Time was also spent seeking out and rescuing private archives from across the North Riding which, at that time, included Middlesbrough and Teesside. In many cases, these collections were saved from destruction as country houses were sold or broken up or as solicitors or land agents sought to dispose of non-current deeds and papers. 
Over the following decades, the North Riding Record Office (NRRO) began to collect records from a wide range of local organisations and families; churches, solicitors’ offices, schools, businesses and from across the County Council itself. 

In 1974, the North Riding was abolished, divided up into the new counties of North Yorkshire, Cleveland, and Durham. The boundary of the newly created North Yorkshire included areas formerly part of the West Riding (Craven, Ripon, Harrogate, and Selby) and some parts of the former East Riding. On the 1 April 1974, the North Riding Record Office officially became the North Yorkshire County Record Office, with the largest collecting area of any Local Authority archive in the UK. The creation of Cleveland County Archives necessitated the transfer of collections that covered the areas of Middlesbrough and Langbaurgh (now Redcar and Cleveland).

New premises were acquired for the service in 1990, in a former factory on Malpas Road in Northallerton. The building has continued to house the growing archive collections over the last 30 years, although finding a more suitable, fit-for-purpose home for the county’s archive collections remains a priority for the future.
In April 2023 North Yorkshire County Council and the District Councils of Craven, Hambleton, Harrogate, Richmondshire, Ryedale, Scarborough, and Selby came together to form North Yorkshire Council. 

Legal and statutory status

The Record Office is not a statutory service but is the authorised archive service for the custody of the official records of North Yorkshire Council and its predecessor authorities. It exercises its powers under:

The Local Government (Records) Act 1962, as amended 1985. This empowers a local authority to ‘do all such things as appear to it necessary or expedient for enabling adequate use to be made of records under its control’. It allows for inspection and copying of records, preparation of indexes and guides, publication, and exhibition. It permits the authority to acquire records of local significance in addition to their own administrative records.

The Local Government Act 1972. This Act requires local authorities to ‘make proper arrangements with respect to any documents that belong to or are in the custody of the council of any of their officers’. The guidance includes sections on the management of a local authority’s administrative records, whether kept on paper or in electronic form, and proper arrangements for those records that have enduring historical value, and which should be kept by an established archive service.

The Record Office has been appointed by the Lord Chancellor as a place of deposit for local public records under the Public Records Act 1958, amended 1967.

The Record Office has been designated by the Master of the Rolls as a repository approved for the custody of manorial records under the Law of Property Act (1922) and the Law of Property (amendment) Act (1924), and for the deposit of tithe documents under the Tithes (Copies of Instruments of Apportionment) Rules (1960, 1963).

The Record Office has been designated as a diocesan record office for the Diocese of Leeds and for the Diocese of York in accordance with the Parochial Registers and Records Measure, 1978, amended by the Church of England (Miscellaneous Provisions) Measure 1992.

Management of the collections

North Yorkshire’s archive collections are managed in accordance with its approved polices as part of North Yorkshire Council’s Community Development Directorate.

Management of the collections is underpinned by the following standards: 

• BS 4971:2017 Conservation and care of archive and library collections
• BS EN 16893:2018 Conservation of Cultural Heritage. Specifications for location, construction and modification of buildings or rooms intended for the storage or use of heritage collections
• PAS 197:2009 Code of Practice for Cultural Collections Management
• The General International Standard Archival Description (ISAD(G))
• Archive Service Accreditation
• The National Council on Archives PSQG Standard for Access to Archives 2008
• International Council on Archives Code of Ethics

We collect and acquire archive material of historical significance for the study of North Yorkshire and its people in accordance with our Collections Development Policy. Our Forward plan for Collections Development aims to ensure that areas of weakness in our holdings are addressed and that our collections continue to reflect the activities of the community we serve.

We preserve and care for the records in our collections in accordance with our Collections Care and Conservation Policy. Storage is in environmentally monitored, secure strongrooms and use of the collections is fully supervised. Conservation work is carried out by a professionally qualified conservator under whose direction all staff share a responsibility for the preservation of the collections.

We record, list, catalogue and provide information about our collections in accordance with our Collections Information Policy. Cataloguing is undertaken by qualified, professional staff under the direction of the Senior Manager - Archives and in accordance with international standards.

We provide and promote public access to our collections in accordance with our Collections Access and Engagement Policy and with regard to UK data protection laws (made up of the General Data Protection Regulation (2018) and the Data Protection Act (2018)), the Freedom of Information Act (2000), the Environmental Information Regulations (2004) and relevant copyright legislation. We aim to meet the Standard for Access to Archives (2008) and the standard for Archive Service Accreditation.

Staff, volunteers and training

We provide an adequate level of appropriately skilled and trained staff to ensure the correct management and preservation of our collections. Staff are recruited in accordance with the North Yorkshire Council’s Recruitment and Selection Policy and managed in accordance with the North Yorkshire Council’s suite of management policies.

We manage the health and safety of all staff and volunteers working with our collections in accordance with the North Yorkshire Council’s Health and Safety Policy and aim to provide a safe environment for all users of the Record Office building.
We provide development and training opportunities for all staff in accordance with the North Yorkshire Council’s Training, Learning and Development Policy and procedure. Professional staff are encouraged to continue to develop their professional knowledge and skills and are expected to subscribe to the Archives and Records Association or Institute of Conservation code of conduct as appropriate.

We recruit and manage volunteers in accordance with our Volunteer Policy and procedures. All volunteers receive an appropriate induction, training and ongoing supervision and understand the value and significance of the collections that they are engaging with.

Statement of responsibility  

The Head of Culture and Archives, Senior Manager – Archives, Archivist Team and the Conservation and Digitisation Manager are responsible for developing the Collections Management Policy and ensuring that it is implemented, monitored, and reviewed.

Review

This policy document was issued in January 2025. It will be reviewed and updated as necessary, and at least every three years.

Context

We are keen to encourage and develop volunteer involvement in our work where appropriate. We recognise that volunteers can make an important contribution to achieving our mission, complementing the work of paid members of staff.

Volunteering has also been shown to benefit the volunteers themselves by developing their skills and confidence.

This policy should be considered in the context of our wider mission: 

The North Yorkshire County Record Office collects historic and current records for North Yorkshire and provides recordkeeping services for North Yorkshire Council. We preserve records of significance for the study and understanding of North Yorkshire and its communities, holding them in trust for the use of present and future generations. We encourage people of all ages and backgrounds to engage with our collections, inspiring them to connect with their past and present, develop a sense of place, and improve health and wellbeing.

This policy should be read in conjunction with the North Yorkshire Council Recruitment and working with volunteers policy.

Scope

This policy relates to all volunteers operating at the Record Office or under the supervision of our staff. 

For the purposes of this policy, a volunteer is defined as an individual who provides a service of their own free will, under the supervision of paid staff and without monetary remuneration, to assist in the achievement of our organisational objectives.

Aims

• to clarify the role of volunteers, their rights and responsibilities, and to establish clear principles for their involvement with the Record Office
• to confirm our commitment to involving volunteers with our work
• to address the relationship between volunteers and paid members of staff
• to establish a framework for the recruitment and support of volunteers
• to acknowledge the contribution made by volunteers to the work of the Record Office

Principles of good practice

• volunteer opportunities will complement, not replace, the work of paid members of staff
• volunteer tasks will be of sufficient scope and duration to justify the use of paid staff time and resources in training and supervision
• tasks to be undertaken by volunteers will be clearly defined so that volunteers and paid staff have a clear understanding of their respective roles and responsibilities

Recruitment

• information about volunteer opportunities will be made widely available, including information about volunteer projects, necessary skills and time commitments required
• efforts will be made to match a volunteer’s knowledge and skills to the projects available
• potential volunteers will be required to complete an application form and to attend a preliminary interview before being accepted into a volunteer role
• the Record Office reserves the right not to accept a volunteer or to terminate an arrangement if it is considered necessary
• the North Yorkshire Council Recruitment and working with volunteers policy will be adhered to when recruiting and selecting volunteers

Support for volunteers

• an induction to the Record Office and appropriate training will be provided for each volunteer
• all volunteers will have access to a named member of Record Office staff who will provide appropriate support and supervision
• regular review sessions will be held with each volunteer to resolve any problems and to assess progress

Rights and responsibilities

We recognise the rights of volunteers to:

• have a clear understanding of what is expected of them and to receive any necessary training
• have specified lines of supervision and support
• gain enjoyment and satisfaction from the tasks they do
• be given clear information about the record office, including its health and safety procedures
• have safe working conditions
• raise any problems or grievances and have them properly considered
• ask for a reference
• withdraw from their volunteer role

We expect that volunteers will:

• comply with existing policies and procedures and operate within agreed guidelines and remits
• carry out voluntary tasks to the best of their ability
• behave in a safe, responsible, and professional manner whilst engaged as a volunteer
• agree days and times to complete their tasks with the record office and give notice of any variations
• respect the confidentiality of sensitive information about our business or within the records held by the record office
• attend training and support sessions as agreed
• give the record office reasonable notice if withdrawing from their voluntary role.

Relationship with paid staff

• a good working relationship will be encouraged between paid staff and volunteers and steps will be taken to ensure that both are clear about their respective roles and contributions
• the roles of volunteers and paid staff will be complementary and mutually supportive
• volunteers should be aware that paid staff have many duties and might not always be able to give volunteers immediate attention
• in the event of industrial action, volunteers may continue with their regular tasks provided supervision is available, but they will not be asked to carry out the work of paid staff

Statement of responsibility  

The Head of Culture and Archives, Senior Manager – Archives, and the Conservation and Digitisation Manager are responsible for developing the Volunteer Policy and ensuring that it is implemented, monitored, and reviewed.

Review

This policy document was issued in January 2025. It will be reviewed and updated as necessary, and at least every three years.

Context

This policy sets out our approach to digital preservation at the North Yorkshire County Record Office and provides a commitment to preserving digital records within the current collections and future deposits.

Digital Preservation can be described as the series of managed activities necessary to ensure continued access to digital records for as long as necessary, in many cases in perpetuity. Risk management plays a fundamental role in digital preservation activities, as each action is a response to a potential risk to digital records.

This policy should be considered in the context of our wider mission: 

The North Yorkshire County Record Office collects historic and current records for North Yorkshire and provides recordkeeping services for North Yorkshire Council. We preserve records of significance for the study and understanding of North Yorkshire and its communities, holding them in trust for the use of present and future generations. We encourage people of all ages and backgrounds to engage with our collections, inspiring them to connect with their past and present, develop a sense of place, and improve health and wellbeing.

This policy should be read in conjunction with our suite of collections policies.

Scope

This policy applies to digital records deposited, acquired, or created and accessioned by the Record Office in line with the Collections Development Policy. 

This policy also applies to digitised collections, as the surrogate records created from physical/analogue records for preservation and access purposes. 

Importance of digital preservation

Digital information plays a central role in many aspects our lives, making the ability for the Record Office to collect, preserve and provide access to digital records an essential function. Compared to the management of physical/analogue records, digital records require more urgent and proactive steps to reduce risks such as hardware and software obsolescence; failure of storage media; and loss of contextual knowledge relating to the records, their creation, purpose, and function. 

We seek to collect, preserve, and make accessible physical/analogue and digital records relating to North Yorkshire, as set out in the Collections Development Policy. Records in digital formats make up a very small proportion of the total collections held, despite a sharp increase in the creation of digital records by North Yorkshire Council, other depositing bodies, and individuals in recent years.

Risks

The potential loss of unique digital records poses a significant economic, reputational, and cultural risk for individuals, communities, and the council, which can only be diminished through proactive, timely digital preservation activities. 

The risk to digitised collections without adequate digital preservation, should also not be underestimated as they have been created using substantial resources over many years and are a central part of the Record Office offer, for use with exhibitions, community engagement, social media, and the online shop. 

Digital preservation principles

Ensure organisational viability - We are committed to ensuring the preservation of digital records as far as can be sustainably achieved with the available resources. 

Maintain appropriate policy and strategy - This policy will be supported by implementation strategies and procedures, informed by appropriate standards to ensure good practice. They will be regularly reviewed and updated.

Operate from a legal and ethical basis - All relevant legal, regulatory, and ethical requirements in relation to digital preservation activities at the Record Office will be considered. The rights and responsibilities relating to acquiring, ingesting, preserving, storing, and providing access to digital records are clearly defined and managed. 

Develop IT capacity - As technology is constantly evolving and the systems used by the council are updated, we will continue to develop our IT capacity specifically in relation to digital preservation actions and appropriate storage for digital records, working in conjunction with colleagues in the North Yorkshire Council Technology and Change team. 

Continuously improve - We will monitor progress to assess our digital preservation capabilities using maturity modelling at regular intervals. Training will be completed where required to expand our staff skillset.

Engage with the digital preservation community - We will maintain an awareness of developments both in the field of digital preservation and with technology and will ensure good practice by engaging with other professionals and organisations. We will share our experiences with others in the sector. 

Endeavour to maintain authenticity and security of digital records - By carrying out regular integrity checking, recording appropriate metadata within a Verifiable File Manifest and maintaining a Digital Asset Register, we seek to maintain the authenticity and security of digital records within our collections.

Maintain the capability to preserve and make accessible digital records - By regular checking that we can maintain and access all file formats and media in our possession, monitoring for obsolescence, maintaining preservation metadata, and keeping disaster management procedures in place.

Work to documented procedures - We will ensure all processes, such as acquisition, transfer, ingest, appraisal, bitstream preservation, migration, emulation, capture of metadata and cataloguing of digital records are well documented, in line with other policies and follow good practice. 

Communicate effectively with depositors and customers - By providing guidance to digital depositors, and appropriate support and metadata information to users accessing digital records. 

Provide access to digital collections - We seek to provide access as appropriate to digital records within our collections, taking into account all legal, regulatory and ethical considerations. Access will be provided at a minimum level using a PC in the public search room.

Roles and responsibilities

Responsibility for the preservation of digital records lies with the Record Office staff, who develop and manage the collections, have responsibility for adhering to service policies and are the primary point of contact for the creators and users of digital materials.

Stakeholders

The implementation of this digital preservation policy will require co-operative working between the Record Office staff and teams within the council and, on occasion, external partners. The following can therefore be considered stakeholders in this policy:

• record office staff
• management of the appropriate Directorates of North Yorkshire Council
• staff from North Yorkshire Council as creators of digital records, depositors, and researchers
• North Yorkshire Council Technology and Change Team who facilitate the IT systems
• North Yorkshire Council Records Management Team
• depositors of digital records (public or private organisations and private individuals)
• the National Archives who regulate statutory duties under the Public Records Act
• researchers and academics
• community groups
• funders of heritage projects

Sustainability

Effective digital preservation requires ongoing resources and support to ensure the development of the technical aspects as well as staff development. With growth of digital record collections, increased resources will be required to develop capacity to ensure their long-term preservation.  

Standards and codes of practice

• BS ISO 11799:2015 – Document storage requirements for archive and library materials
• ISO/TR 19814:2017 – Collections management for archives and libraries
• BS 4971:2017 – Conservation and care of archive and library collections
• BSI PAS 198:2012 – Specification for managing environmental conditions for cultural collections
• BS ISO 14721:2012 – Space data and information transfer systems. Open archival information system (OAIS). Reference model
• BS EN 16893:2018 – Conservation of Cultural Heritage – Specifications for location, construction and modification of buildings or rooms intended for the storage or use of heritage collections
• ISO 15836:2003 – The Dublin Core Metadata Element Set
• ISO 15489-1:2016 – Records management. Concepts and principles
• Digital Preservation Handbook – produced by the Digital Preservation Coalition (DPC)
• DPC Rapid Assessment Model – a digital preservation maturity-modelling tool
• National Digital Stewardship Alliance (NSDA) Levels of Digital Preservation

Statement of responsibility  

The Head of Culture and Archives, Senior Manager - Archives, and the Digital Preservation Working Group are responsible for developing the Digital Preservation Policy and ensuring that it is implemented, monitored, and reviewed.

Review

This policy document was issued in January 2025. It will be reviewed and updated as necessary, and at least every three years.

Glossary

Access - Continued, ongoing usability of a digital record, retaining all qualities of authenticity, accuracy and functionality deemed to be essential for the purposes the digital record was created and/or acquired for.

Accession - Material that comes into an archive as a single acquisition is described as an accession. A number of accessions may form one single collection with shared provenance, e.g. the records of a business may be transferred to an archive over time.

Appraisal - The process of identifying and selecting content that has continuing value and requires long term preservation and separating material that can be disposed of.

Authenticity - The digital material is what it purports to be. In the case of electronic records, it refers to the trustworthiness of the electronic record as a record. In the case of "born digital" and digitised materials, it refers to the fact that whatever is being cited is the same as it was when it was first created unless the accompanying metadata indicates any changes. Confidence in the authenticity of digital materials over time is particularly crucial owing to the ease with which alterations can be made.

Bitstream Preservation - At a fundamental level, all digital content is stored as a series of 0s and 1s, called “binary digits” or “bits” and it is these streams of bits or “bitstream” that form digital records and for preservation to be successful, must not be damaged or lost.

Born Digital - Digital records that are not intended to have an analogue equivalent, either as the originating source or as a result of conversion to analogue form. This term can be used to differentiate born digital records from

• digital materials that have been created as a result of converting analogue originals (digitisation)
• digital materials that may have originated from a digital source but have been printed to paper, e.g. some electronic records

Catalogue - A description of the material within an archival collection, providing essential information about the collection. Often also called an archival description or a finding aid.

Digital Asset Register - A high-level register of the digital collections held by the organisation. This may include metadata such as: collection name, provenance, number of files, size, storage location, value, and key risks.

Digital Preservation - The formal activity of ensuring access to digital information for as long as necessary. It requires polices, planning, resource allocation (funds, time, people) and appropriate technologies and actions to ensure accessibility, accurate rendering and authenticity of digital objects.

Digitisation - The process of creating digital files by scanning or otherwise converting analogue materials. The resulting digital copy (or digital surrogate) would then be classed as digital content and subject to the same broad challenges involved in preserving access to it, as “born digital” materials.

Electronic Records - Records created digitally in the day-to-day business of the organisation and assigned formal status by the organisation. They may include for example, word processing documents, emails, databases, or intranet web pages.

Emulation - The use of software (an emulator) to recreate an obsolete software and hardware environment, allowing access to original digital content and providing an authentic user experience.

Ingest - The steps required to process deposited digital content so that it is ready for preservation.

Integrity Checking - The process of using checksums to ensure that digital content has not been altered, lost, or damaged over time.

Maturity Model - A tool that allows benchmarking of digital preservation capabilities against levels of good practice. Using a maturity model helps monitor progress and plan for future developments.

Metadata - The set of information required to enable content to be discovered, managed and used by both humans and automated systems.

• preservation metadata is information which supports and records digital preservation processes, including provenance metadata, rights metadata, technical metadata, and structural metadata
• descriptive metadata is created for discovery and identification and may be used within a catalogue

Migration - A means of overcoming technical obsolescence by preserving digital content in a succession of current formats or in the original format that is transformed into the current format for presentation. The purpose of format migration is to preserve the digital objects and to retain the ability for clients to retrieve, display, and otherwise use them in the face of constantly changing technology.

Storage Media - Devices that store the original digital content e.g. CDs, DVDs, floppy disks and hard drives.

Verifiable File Manifest - A list of the files within a folder/collection, including basic technical metadata and checksums (often captured using characterization tools) held in a processable format such as .csv (comma-separated values file). This allows the file manifest to be verified over time using tools such as CSV Validator.

We will accept for deposit in the record office documents which it considers worthy of permanent preservation and which conform to its acquisition policy.

1. Definitions

In these terms of agreement the word "council" shall mean North Yorkshire Council or any successor authority authorised to keep and preserve records. "Record office" shall mean the professional archive service for the county of North Yorkshire. "Depositor" shall mean the person who places records on deposit or his or her lawful successor in title.

2. Statutory powers

The record office operates under the terms of the following legislation:

• The Local Government (Records) Act 1962
• The Local Government Act 1972
• The Public Records Act 1958
• The Law of Property Act 1922
• The Tithe Act 1936
• The Parochial Registers and Records Measure 1978, as amended 1992
• The Data Protection Act 1998
• The Freedom of Information Act 2000

Nothing in these conditions of deposit shall override the detailed stipulations of these acts.

3. Forms of transfer

Records may be acquired by transfer, purchase, gift, long-term loan or temporary deposit.

4. Gifts and purchases

Records purchased or received as the result of a gift or bequest shall become the property of the council to be preserved by the record office.

5. Deposits

Records deposited on indefinite loan shall be subject to the following terms:

• ownership of the records concerned is not affected.
• records may be withdrawn by the depositor in accordance with the terms specified in (12) below.
• any changes in the name or address of the owner or depositor of the records shall be notified to the record office. The record office will not accept responsibility for any consequences which may arise from the failure to notify such changes.
• the record office reserves the right to return to the depositor any records which do not conform to its acquisition policy or which it does not consider worth preserving permanently. Such records may also be transferred to a more appropriate place of deposit or destroyed. In the case of transfer or destruction the record office will make reasonable enquiries to obtain the consent of the depositor before such action is taken.

6. Preservation and storage

• records deposited by individuals or organisations will be kept in appropriate archival conditions which comply as far as possible with PD 5454 (2012): guide for the storage and exhibition of archival materials.
• all reasonable precautions will be taken to preserve the records from damage, loss and theft but the record office can accept no liability for any loss, damage or theft, howsoever arising, suffered by documents while in its custody.

7. Conservation

The record office shall have the right, at its discretion, to take any of the following measures in respect of the deposited records:

• to microfilm, photograph or otherwise copy them. Ownership of and copyright in such copies to vest in North Yorkshire County Council.
• to number or mark them in a non-permanent manner with a catalogue reference for their identification and security.
• to undertake such conservation work as is deemed desirable or necessary.

8. Access

Access to records is provided in surrogate or original format. Records will be made available to the public in the supervised search room during the advertised opening hours of the record office in accordance with the record office access policy, search room rules and the principles and conditions of the Data Protection Act 1998 and the requirements of the Freedom of Information Act 2000.

Original records which are uncatalogued, severely damaged or at risk from further handling may require special provision to provide access. Information from them is made available in accordance with the principles of the Freedom of Information Act.

9. Listing

Records will be listed in accordance with the record office's current practice. A copy of the list will be provided free of charge to the depositor. Copyright in all such lists and finding aids shall vest in the council.

10. Reproduction and copyright

With regard to the provisions of the copyright acts currently in force, copies of records may be supplied to members of the public, upon payment of the appropriate fee, for use in private study.

The record office may, at its discretion and with regard to the copyright acts, allow the publication of deposited records in whole or in part, including exposure through the media, on condition that appropriate acknowledgement is made by the publisher to the record office. If it is apparent that such publication would affect the interests of the depositor, the depositor will be consulted before publication is allowed.

11. Exhibition

The record office shall have the discretion to exhibit any records upon being satisfied that proper provision will be made for their security.

12. Withdrawals

A depositor may temporarily withdraw all or part of his or her records upon giving reasonable notice and permanently withdraw them upon giving not less than six months notice. Any person withdrawing deposited records must prove their entitlement to receive the records to the satisfaction of the record office.

During the period of notice the record office will be entitled to copy the records by any appropriate method. The copy will remain the property of the record office after removal of the records and the record office will continue to make the copy available for study, subject to the conditions in (8) and (10) above. Publication of such material will only be allowed with the consent of the former depositor.

Where collections are permanently withdrawn the record office reserves the right to make a charge to cover the costs of any cataloguing or conservation work carried out on the documents.

13. Review of the conditions of deposit

This policy was issued in September 2005 and reviewed and updated in January 2015. It will be reviewed and updated as necessary.