Introduction
National Records of Scotland’s (NRS) purpose is to collect, preserve and produce information about Scotland's people and history and make it available to inform current and future generations. Holding records spanning the 12th to the 21st centuries, NRS is the repository for the public and legal records of Scotland as well as many local and private archives. We hold and make available one of the most varied collections of records in Britain and maintaining accurate documentation of our collections is central to our purpose.
This policy has been approved by the Keeper of the Records of Scotland (the Keeper). It sets out NRS’s commitment to maintain accurate and comprehensive documentation of its archival collections to support effective control, preservation, and public access; supporting NRS’s mission of: “Improving the lives of Scotland’s current and future generations by preserving the past, recording the present, and informing the future.”
Scope
The policy outlines how NRS seeks to provide and maintain intellectual access to archive holdings for staff and users for the purposes of research and management. Comprehensive documentation of our collections is fundamental to the effective management and security of records in our care and to provide meaningful public access. Through cataloguing, conservation and maintaining accurate information about the management and movement of collections, NRS ensures that records are clearly described, traceable, and accessible.
This policy covers all records, regardless of format, under the authority of the Deputy Keeper of the Records of Scotland and the Head of Collections (the Deputy Keeper). It encompasses the work of NRS staff as well as any volunteers under their direction. It does not extend to records created or maintained by NRS for statutory or operational purposes where those records have not been formally accessioned into the national archive collection under the authority of the Deputy Keeper.
Historical Background
Custodianship and Early Acquisition
The Keeper of the Records of Scotland is responsible for the custody of archival records dating from the twelfth century. From the mid-1780s, NRS and its predecessor bodies began actively acquiring records from other government entities, transferring them to General Register House. Over time, a range of listing and indexing practices were employed to facilitate public access, reflecting the evolving standards and technologies of each era.
Development of Catalogue Standards
In 1986, NRS introduced its first comprehensive catalogue standard, establishing a consistent framework for archival description. This was complemented by the development of computer-based listing systems:
- STAIRS (1985): used for government records.
- STATUS (1991): extended to include both government and private records.
Standardisation through CALM
The implementation of the CALM collections management system in 2002 represented a significant step toward standardisation. Based on the international standard ISAD(G), CALM provided a unified approach to cataloguing all analogue records. A retro-conversion project, completed in 2003, digitised the majority of legacy manuscript and typed catalogues. The resulting digital catalogue was made publicly accessible via the Online Public Access Catalogue (OPAC), both in search rooms and online.
Legacy Catalogues and Ongoing Work
A small number of older catalogues, which did not conform to ISAD(G), proved unsuitable for direct conversion. These remain in paper format, and their re-cataloguing and digital integration is ongoing. This work is essential to ensure full accessibility and consistency across the archival holdings.
In pursuit of a comprehensive online catalogue, some imperfections from the original paper finding aids were accepted during initial digitisation. NRS continues to identify and correct defects and mistakes over time as part of our commitment to the continual improvement and development of the archival catalogue.
Equality, diversity, inclusion and offensive language
NRS’s archive catalogue has been built up over two centuries and inevitably reflects the existing values and prejudices of Scottish society at each stage in its creation. Whilst generally derived from the documents themselves, some of the older catalogue descriptions contain what are now recognised as outdated and offensive terms.
In particular, given Scotland’s role in the expansion of the British Empire, there are catalogue entries that record descriptions of indigenous peoples that are now recognised to be racist. These are being identified and either removed or, where they represent the observations and opinions of the original writers, amended to show that they are taken directly from the historical record.
Collections Management Information
Intellectual and Physical Management
The intellectual management of NRS collections is primarily supported by the CALM collections management system, which holds information on accessions, conservation, appraisal, and cataloguing. Physical management is handled through the Records Location System, which tracks the location and movement of collections across the estate and integrates with the Electronic Ordering system. To support its duty of care to both the archival material it holds and the depositors of that material, NRS strives to maintain accurate and up-to-date information on the location of all items in its custody. Access Control Procedures managing access to NRS stores are in place to further maintain document security.
Collection-Specific Management Files
NRS maintains collection-specific management files. These contain formal agreements with depositors or donors, details of closures and access restrictions, explanatory notes on record content or function, cataloguing progress, and other relevant information. Staff are responsible for ensuring these files are kept accurate and up to date.
The following systems are used to create, hold or manage collections information:
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Description
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Information held
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Archive Collection Management System
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Accessions data, catalogue data (including draft catalogue entries), and conservation data. Data held is for both analogue and digital collections.
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Digital preservation system
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Descriptive and technical metadata for digital collections
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Internal and External systems for open digital collections
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Access copies of open digital records
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Online Catalogue and website
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Publicly available fields from catalogue data
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Paper Catalogues
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Legacy manuscript and typed catalogues
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Corporate Content Management System
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Information about intakes captured before they are accessioned, including location of records, box lists/transfer lists; Control and Disposal information such as appraisal and cataloguing decisions, access conditions, collection care condition assessments, deposit agreements/deeds, loan agreements, metadata for digital collections.
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Physical Management system
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Records Location System, Electronic Ordering System, Retransmissions Database.
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Protection of Collections Information
NRS is dedicated to ensuring the security and integrity of its collections information, thereby fulfilling its duty of care to depositors and donors. The CALM system is subject to daily backups, and electronic files containing depositor information are stored within the Scottish Government’s (SG) electronic Records and Document Management (eRDM) system. Consequently, these records are governed by the SG’s overarching protocols for data management, backup, security, and disaster recovery. Physical depositor files are housed in a secure, locked strongroom, with particularly sensitive documents stored in lockable cabinets within that environment.
Accession Information
Accessioning is the process of formally recording information about new acquisitions at the point they are transferred into archival custody. It lays the groundwork for all future archival activities, ensuring that records are documented, managed, and preserved from the moment they enter our care.
Recording Accession in CALM
All accessions, analogue and digital, are documented in the CALM Accessions module following NRS Accessioning Guidelines within one week of receipt. At a minimum, this should include an accession number, acquisition date, branch, title, date or covering dates of the material, title, original metres or original Gbytes, and depositor details. Any associated correspondence or supplementary information concerning ownership or access conditions is to be retained in the appropriate collections management file within the eRDM corporate content management system.
Conservation Assessment for Analogue Accessions
Analogue accessions are assessed for conservation issues on receipt or shortly after, or in some cases before the collection is deposited with NRS. The Conservation team carry out a condition assessment, package as appropriate, and mark on CALM where a record is at risk or unfit for production. Photographs and objects are extracted from the accession and stored with other extracted collections. The Conservation team may write a report highlighting areas of concern and information that would be useful. Reports are saved in eRDM in the appropriate collection file. Collection care programmes are in place to ensure continual monitoring of the condition of NRS holdings.
Ingest and Preservation of Digital Accessions
Similarly, when born digital records are transferred to NRS and ingested into the NRS Digital Repository, records are analysed and collections information is recorded and stored in eRDM and separate secure shared drive. This collections information is used to ensure the integrity of the digital records over time, to identify preservation risks and to plan for preservation actions.
Accession Storage
A transfer can go into storage recorded under its accession number and remain there until cataloguing resource is available or it reaches the top of the priority list for cataloguing.
Catalogue Information
The purpose of cataloguing is to ensure accurate, consistent, and inclusive descriptions that support researchers in locating relevant information. It also provides intellectual control and enhances the security of the records, often recording the presence of particularly noteworthy documents. Generally, uncatalogued records are not available for public consultation in NRS search rooms for document security reasons, however, researchers can apply for close supervision access to uncatalogued collections, and this can be arranged by appointment.
Catalogue Management and Standards
Cataloguing at NRS is managed by the Archive Depositor Liaison (ADL) Branch using the electronic catalogue application on CALM. NRS adheres to in-house cataloguing standards which follow ISAD(G) (General International Standard of Archival Description).
Inclusive Language and Terminology
Cataloguers must use respectful and unbiased language, avoiding prejudice related to race, gender, religion, or disability. Staff are encouraged to consult current guidance on inclusive terminology, such as Carissa Chew’s “Inclusive Terminology Guide & Glossary”.
Catalogue Entry Creation and Quality Control
Catalogue entries are created by ADL staff, with supervised project staff or volunteers contributing where appropriate. All entries follow the CALM cataloguing manual and cataloguing standards. The CALM database undergoes quarterly quality checks to identify and correct errors.
Levels of Description
NRS aims to catalogue collections to file or item level. Entries may describe a volume, file, single sheet, or digital object. The catalogue helps researchers find relevant material and avoid irrelevant areas, supporting efficient and secure access to records.
Cataloguing Priorities and Upgrades
Cataloguing Information Plan
NRS maintains a Cataloguing Information Plan, reviewed annually by ADL and the Deputy Keeper. This plan outlines cataloguing priorities for the coming year, shaped by incoming business needs, and sets medium and long-term goals, including backlog reduction and upgrades to older catalogues.
Backlogs and cataloguing priorities
Cataloguing priorities are determined by ADL team leads and the Head of Archive Depositor Liaison, in consultation with the Deputy Keeper. Decisions are based on the significance of the material, public demand, and staff availability. The LOGJAM project output supports this process by identifying and quantifying cataloguing backlogs using the Logjam Methodology (an archival collections assessment tool). This enables staff to make more informed judgements when it comes to prioritising collections for cataloguing.
While NRS aims to catalogue new accessions within two years of transfer, this is not always achievable due to workload pressures. As a result, some collections remain partially or entirely uncatalogued, including long-standing legacy holdings.
Catalogue upgrades and enhancements
Due to demands on staff to manage day-to-day business and ongoing record transfers from stakeholders, catalogue upgrades are carried out only when necessary and prioritised in the following cases:
When the existing catalogue description is inaccurate or misleading.
- Upon the discovery of significant material that was not properly identified during initial cataloguing.
- Where the current description lacks sufficient detail to enable accurate interpretation.
- When revising the catalogue would support exhibitions or other NRS promotional activities.
- Where revision of the catalogue would facilitate digitisation and improve public access via the Scotland’s People website
Access to Collections Information
Electronic Catalogues
NRS provides two types of Online Public Access Catalogue (OPAC):
- In-house OPAC: Available for consultation in the Historical and Legal Search Rooms. The in-house versions of the NRS and the National Register of Archives (NRAS) catalogues include some sensitive personal data about living individuals and may be viewed only after registered researchers have signed an undertaking recognising their obligations under data protection legislation. The in-house version of the NRAS catalogue includes lists of papers that private owners do not wish to be made available online.
- Online OPAC: Accessible via the NRS website and does not contain sensitive personal data about living individuals.
Catalogue data for both in-house and online OPACs is sourced from the CALM application and updates to the catalogues are conducted on a monthly basis, or following significant changes to the catalogue, to ensure accuracy.
Paper Catalogues
The majority of NRS catalogues are maintained in electronic format and are accessible via the OPACs. However, a small number of catalogues remain paper based.
Cataloguing teams have a record of legacy manuscript and typed paper catalogues that could not readily be converted into electronic form and made available to readers via OPAC. Readers able to visit the Historical Search Room can access these unconverted manuscripts and catalogues onsite, and order out specific documents they describe. It is our aim that all our finding aids should eventually be made available online. This is in line with NRS strategic priority to deliver services digitally by default.
Catalogues of Records Held Elsewhere
While most catalogue entries relate to records held by NRS, a significant portion describe records held elsewhere. This includes privately held collections surveyed by NRAS, as well as private records held by local authority or other archives. These are clearly identified, with separate NRAS in-house and online catalogues available.
When records are transferred from NRS to other archives - either under Charge and Superintendence or at the request of the owner - original catalogue entries may remain public, updated to reflect the new location and custodial status.
Research Guides
Research guides on specific subjects have been developed to facilitate access to collections and can be accessed on the Scotland’s People website and the NRS website. NRS is committed to making its websites accessible in accordance with the Public Sector Bodies (Websites and Mobile Applications) (No. 2) Accessibility Regulations 2018. It has been recognised that the guides hosted on the NRS website require review to ensure that they are accessible to a wider audience.
Preservation and Conservation
NRS is committed to preserving both analogue and digital archival materials to ensure long-term access and integrity.
Analogue Records
Conservation issues are identified through cataloguing, surveys, and audits. Records identified as being at risk or deemed physically unfit for public inspection are marked by Conservation as either ‘Record at Risk’ or ‘Unfit for Production’ (UFP) on the catalogue, with a note explaining the restriction.
Although catalogues are regularly updated, some records may be found unfit or at risk at the point of production. In such cases, access may be restricted or temporarily withdrawn. Staff will liaise with researchers to explore alternatives, such as supervised access or the Conservation team supporting the Digital Imaging teams to produce a digital surrogate, but preservation remains the priority. Due to limited conservation resources, or cases where a record cannot be conserved or improved, access may sometimes be refused.
To support preservation and access, NRS digitises frequently used records and those of high cultural or financial value. Where surrogates exist, access to original materials is granted only in exceptional circumstances. Access to originals is only agreed when the ‘access to originals’ form has been completed, and assessed by conservation and the ADL branch responsible for the collection. Catalogue entries should indicate when surrogate use is required.
Digital Records
Before transfer, depositors must provide content metadata in a manifest file to support preservation and access. Each digital accession undergoes standardised processing using this manifest and archiving tools such as DROID to assess security, format classification, and completeness. Details of these processes are available in the Depositor Guidance for the Transfer of Archival Born Digital Records.
Content and technical metadata derived from processing is stored in two logs:
NRS Accessions Management Checklist- a digital accessioning process log
Digital Repository Box List – a detailed object-by-object inventory of what is included in each digital accession. This includes file format description (with at risk formats flagged), closure status and MD5 checksum (used for integrity checking).
This metadata is saved on our corporate eRDM and separate secure shared drive. As most digital records are not yet catalogued at file level, these metadata logs support content discovery and help identify preservation risks.
NRS continues to develop its digital preservation practices through the Digital Archiving Initiative, aiming for effective, scalable and sustainable digital archiving capability for the future.
Web Archiving
The NRS Web Archive provides significant support to digital collections information. The web archive provides open access to time-specific records of the evolution of modern Scotland. It serves as a contextual resource, informing future collections management and serving as a finding aid for users. Information relating to websites submitted by depositors as part of the permissions process will, in time, be catalogued to enable greater insight into this collection.
Collections Audit NRS archive staff conduct a collections audit twice a year - typically one week in February and one week in September - to assess collections services or selected collections for integrity, preservation status, or condition. A report is produced for each audit and filed with other collection management records. Significant findings are reported to the NRS Audit and Risk Committee, where appropriate.
Legislative Context
Information Rights Legislation
NRS complies with all relevant information rights legislation to ensure the lawful handling, protection, and accessibility of records. Legislation includes:
- UK General Data Protection Regulation (UK GDPR)
- Data Protection Act 2018
- Freedom of Information (Scotland) Act 2002 (FOISA)
- Freedom of Information Act 2000 (FOIA)
- Environmental Information (Scotland) Regulations 2004 (EIRs)
All records transferred to NRS, including privately owned collections, are subject to data protection legislation where they contain personal information about living individuals. Freedom of information legislation applies only to records transferred to NRS by public authorities and to records owned by the Keeper, including records gifted by or purchased from private owners. FOI does not apply to records that remain in private ownership. Privately owned records may have specific access conditions agreed with the owner.
In most cases, the depositing body remains the data controller for personal data in transferred records. Where the depositor is defunct or unidentifiable, the Keeper may assume this role.
Archived public records at NRS are opened to public access as soon as possible, subject to any closures or exemptions applied by the depositing bodies. Where records contain sensitive personal data, UK GDPR restrictions override FOISA access rights.
NRS staff complete mandatory Scottish Government data protection training. This informs cataloguing practices and helps ensure sensitive personal data is not unlawfully disclosed, either in the catalogue itself or by a failure to identify records containing such information during the listing process. Anticipated sensitivity in new accessions is considered during catalogue planning.
Where a public record is closed, this is clearly noted in the catalogue, along with the reason for closure, applicable exemptions, and the date it will be opened. Closure reasons are worded to avoid disclosing sensitive information. The public may request access to closed records, and such requests are handled under the relevant information rights legislation.
Intellectual Property Rights (IPR)
NRS adheres to copyright legislation. Where appropriate, online catalogues identify intellectual property rights associated with a collection and indicate the rights holder.
Disposals and Withdrawals
De-Accessioning
De-accessioning forms part of NRS’s collection management practice. While records received from depositors are generally retained, exceptions may apply. Depositors are expected to remove records not required for permanent preservation prior to transfer, in line with their retention schedules. However, where permission is granted, NRS may weed out any duplicate items or items of no archival value, that could not be separated before receipt. In cases involving substantial effort, NRS may seek funding from the depositor to cover associated costs.
De-accessioning may occur where a review of the administrative or historical value of all or part of a record series indicates that there is no longer a case for retaining or collecting it, or where retention no longer aligns with the NRS Collection Development Policy. Such reviews will involve the depositor and, where appropriate, subject specialists and users in the field covered by the records.
De-accessioning supports the transfer of records of local interest that were originally accessioned by NRS when no suitable local archive was available. Records may also be de-accessioned at the request of private owners, for return or for transfer to another institution. In such cases, catalogue entries may remain in the NRS system, updated to reflect the change in status and location.
In rare cases, de-accessioning may be appropriate due to the physical condition of a record, where preservation of a surrogate is more viable than retaining the original.
Charge and Superintendence
Where appropriate NRS may arrange for records of primarily local interest to be transferred to a local authority or other archive, under the Charge and Superintendence of the Keeper. This process is governed by the Policy on the Transfer of Records of Local Interest to Local Custody and requires formal agreement between the Keeper, the record owner, and the receiving archive. The Keeper retains ultimate responsibility for the records. Catalogue entries remain visible in the NRS catalogue, with updates to reflect the new status and location.
When a collection is permanently withdrawn by the depositor, transferred to another archive, or disposed of, the action is recorded in the Accessions area of CALM Collections Management system. Any related documentation or agreements concerning the removal are stored in the corporate eRDM.
Temporary Deposits
NRAS facilitates the temporary deposit of privately owned historical papers for researcher access in the Historical Search Room, General Register House. This service enables access to private collections for a wide range of researchers, where secure access at the owner's premises is not feasible.
All temporary deposits are recorded in the NRAS Administration database, capturing reference details, descriptions, quantities, depositor information, and dates of receipt and return. A paper-based log is also maintained for administrative tracking. Deposits are typically short-term, not exceeding three months. Longer deposit periods may be arranged in exceptional cases through agreement between NRS, the researcher, and the owner.
An annual audit of temporary deposit records is conducted during scheduled collection audit periods.
Temporary Retransmission of records to Depositors
NRS offers a service that allows depositing bodies to temporarily retrieve records at file or item level when there is a legitimate administrative or operational need to inspect them in-house or over an extended period. For public records, this service is provided under Section 5(3) of the Public Records (Scotland) Act 1937.
The Retransmissions Administrator, part of the ADL team, manages the process: recording requests in the Retransmissions database, overseeing dispatch, issuing return reminders, and confirming receipt of returned items.
Retransmissions are typically short-term, with a maximum duration of six months. Longer periods may be agreed in exceptional cases between NRS and the depositing authority. The Retransmissions Administrator conducts an annual audit of retransmission activity to ensure accountability and compliance
