GUIDANCE ON USING THE NATIONAL ARCHIVES (PRO)
MS EXCEL REVIEW AND CATALOGUING TEMPLATE
Contents
Exl. 1 Introduction
Exl. 2 The names of the 22 fields
Exl. 3 Using the 22 fields
Exl. 4 – 6 Review
• Exl. 4 Completing the review worksheet
• Exl. 5 Example of the excel review worksheet
• Exl. 6 Transferring ‘keeps’ to the catalogue worksheet
Exl. 7 – 10 Cataloguing
• Exl. 7 Sorting by former reference or start date in catalogue worksheet
• Exl. 8 Entering department lettercode, series (class) number and piece
numbers in the catalogue worksheet using shortcuts
• Exl. 9 Completing the catalogue worksheet
• Exl. 10 Example of the excel catalogue worksheet
Exl.11 Destroy
Exl.11 Transferring destroys to destroy worksheet
Exl. 1 INTRODUCTION
The National Archives (PRO) Excel Review and Cataloguing template, formerly the Excel
Review/List template is designed to enable government departments to review and
catalogue records. It is effectively an Excel workbook made up of three worksheets entitled
Review, Catalogue and Destroy.
The following guidance concentrates on technical issues in using the template. The National
Archives (PRO) Records Management Executive team can give further assistance and
advice.
Before you begin to catalogue ensure you have read the Editorial guidance on
cataloguing in full.
When you use the workbook, save it under an appropriate name (for the particular series
(class) and range of pieces you are working on for example, Home Office Explosives Branch
files XB 1-57 review).
The Excel Review and Cataloguing template does not require high level of knowledge of
Excel. Several technical tips are included in this guidance, mainly aimed at saving
cataloguers time and effort.
Exl. 2 THE NAMES OF THE 22 FIELDS
1
The template has 22 distinct fields, arranged in columns from left to right. Usually entries will
only be required in about 9 or 10 of the fields.
As explained below, columns A - E and L - R should be ignored (but not deleted or closed up
completely) during the review. Columns S - V should be deleted at the cataloguing
(catalogue) stage.
The column / field names are:
A)
B)
C)
D)
E)
F)
G)
H)
I)
J)
K)
L)
M)
N)
O)
P)
Q)
R)
S)
T)
U)
V)
Department [D] – formerly Lettercode [L]
Series number [S] – formerly Class number [C]
Subseries number [SS] – formerly Header number [H]
Subsubseries number [SSS] – formerly Subheader number [S]
Piece number [P]
Item number [I]
First date
Last date
Scope/Content
File reference/Former reference
Closure
Note
Description visibility [D]
LCI series
LCI number
Previous LCI series [LS]
Previous LCI number [LN]
Extracts indicator [Ext]
Keep or Destroy [K/D]
Reviewers comments
Client Manager confirmation [CM confirmation]
Client Manager comment [CM comment]
Recently the names for certain levels of description changed (‘lettercode’ became
‘department’ etc), but this has no effect on the working of the template. Templates with their
first four columns headed L, C, H and S continue to work. All that is required to bring them up
to date is to change L to D, C to S, H to SS and S to SSS.
Exl. 3 USING THE 22 FIELDS
For editorial guidance on the content of each field please refer to the numbered sections of
the Editorial guidance on cataloguing or follow the numbered links in the sections below.
The technical rules for the use of each field are as follows. The examples in Ed 105 will help
to clarify the instructions.
Exl. 3.1
Column A: Lettercode [L] - formerly Department [D]
Enter the department code (lettercode) here on every row used in the template (e.g. HO,
MEPO, FCO). See also Ed. 9 – 13: The seven levels of PROCAT and their relevance to
cataloguers
2
Exl. 3. 2
Column B: Series number [S] – formerly Class number [C]
Enter the series (class) number here on every row used in the template.
Exl. 3. 3
Column C: Subseries number [SS] – formerly Header number [H]
Subseries (headers) should be used with caution and comparatively rarely. See Ed. 83-91:
Supplementary descriptive levels: subseries (header) level.
When there is no subseries necessary, there is no entry on the template - unlike DRUID
there is no requirement to enter 'Untitled'.
When a subseries is used, it must have its own particular subseries number, as stated in the
Editorial guidance on cataloguing (Ed. 89). This number is the means of associating the
subseries with the subsubseries, pieces and items which belong to it.
The subseries itself is written in the scope/content and its number is inserted in the subseries
number field on the same row. The number is then repeated in the subseries number field on
all rows containing details of subsubseries, pieces and items which belong to the subseries.
The subseries numbers within a new series should start at 1. When cataloguing an accrual to
an existing series, refer to the catalogue of existing subseries (headers) and subsubseries
(subheaders) and their numbers which can be provided by the Records Management
Executive team, to discover (a) whether a subseries has already been used and therefore
already has a number or (b) the next available number to give a new subseries.
The row containing the subseries itself and its number is called the 'subseries row'. The
same subseries row should not appear on an Excel template more than once, as this will
cause problems when the catalogue is loaded into PROCAT. There may be occasions when
there are a number of pieces belonging to a subseries, followed by other pieces unrelated to
that subseries, and then a second group of pieces belonging to the subseries. In these cases
only insert the subseries row once (before the first group of pieces which belong to the
subseries) but then insert the subseries number on every row containing a piece which
belongs to the subseries, wherever these rows occur. This will be sufficient to connect all the
relevant pieces to the subseries.
Exl. 3. 4
Column D: Subsubseries number [SSS]– formerly Subheader number [S]
It is very rarely necessary to use subsubseries (subheaders). See Ed. 92-94: Supplementary
descriptive levels: subsubseries (subheader) level.
When there is no subsubseries necessary, there is no entry on the template - unlike DRUID
there is no requirement to enter 'Untitled'.
When a subsubseries is used, it must have its own particular subsubseries number within its
subseries, as stated in the Editorial guidance on cataloguing (Ed. 93). This number is the
means of associating the subsubseries with the pieces and items which belong to it.
The subsubseries itself is written in the scope/content and its number is inserted in the
subsubseries number field on the same row. The number is then repeated in the
3
subsubseries number field on all rows containing details of pieces and items which belong to
the subsubseries.
The subsubseries numbers within a new subseries should start at 1. When cataloguing an
accrual to an existing subseries, refer to the catalogue of existing subseries (headers) and
subsubseries (subheaders) and their numbers which can be provided by the Records
Management Executive team, to discover (a) whether the subsubseries has already been
used and therefore already has a number or (b) the next available number to give a new
subsubseries.
Insert a subsubseries (subheader) number in this field when using a subsubseries in the
number or (b) the next available number to give a new subsubseries.
The row containing the subsubseries itself and its number is called the 'subsubseries row'.
The same subsubseries row should not appear on an Excel template more than once, as this
will cause problems when the catalogue is loaded into PROCAT. There may be occasions
when there are a number of pieces belonging to a subsubseries, followed by other pieces
unrelated to that subsubseries, and then a second group of pieces belonging to the
subsubseries. In these cases only insert the subsubseries row once (before the first group of
pieces which belong to the subseries) but then insert the subsubseries number on every row
containing a piece which belongs to the subsubseries, wherever these rows occur. This will
be sufficient to connect all the relevant pieces to the subsubseries.
Exl. 3. 5
Column E: Piece number [P]
Enter the piece number here. The piece number should be repeated on any rows containing
items belonging to the piece.
Check with the Records Management Executive team before entering the next piece number
for the series (class) unless it has previously been agreed that this is unnecessary. You will
usually be cataloguing in former reference order unless you have agreed a more appropriate
order for a particular series with your RME.
See also Ed. 14 - 21: Piece level description: order of pieces.
Exl. 3. 6
Column F: Item number [I]
Enter the item number here, when applicable.
There are three occasions when items are used:
• when a file is exceptionally thick and unwieldy and it is necessary to split it for
conservation reasons;
• when it is particularly useful to describe individual reports or sub-files within a single
piece, thus adding extra descriptive detail;
• when an extract subject to extended closure or retention has been removed from a
parent piece.
Always consult with the Records Management Executive team before adopting the second of
these uses, as such a detailed level of description is not usually necessary.
See also Ed. 95 - 103: Supplementary descriptive levels: item level.
4
Exl. 3. 7
Column G: First date
Enter the date of the earliest papers in the record here (e.g. 01/01/1971).
Be aware that the earliest date may not necessarily occur on the first page of a file. Usually it
is sufficient to date records to the year (e.g. 01/01/1971) rather than the specific month or
day (14/02/1971). The first date should always be written in dd/mm/yyyy format. In rare
instances where it cannot be estimated, ‘Undated’ should be put. Pieces marked as
‘Undated’ will be assumed to be open.
Items used for split files have the same date as the parent piece; otherwise items have their
own particular dates.
See also Ed. 22 - 27: Piece level description: dates.
Exl. 3. 8
Column H: Last date
Put the date of the latest papers in the record here (e.g. 31/12/1980).
Be aware that the latest date may not necessarily occur on the last page of a file. Usually it is
sufficient to date records to the year (e.g. 31/12/1980) rather than the specific month or day
(27/09/1980). The last date should always be written in dd/mm/yyyy format. In rare instances
where it cannot be estimated, ‘Undated’ should be put. Pieces marked as ‘Undated’ will be
assumed to be open.
See also Ed. 22 - 27: Piece level description: dates.
Exl. 3. 9
Column I: Scope/content
Put subseries, subsubseries, and scope/content of pieces and items here.
See also Ed. 28 - 33: scope/content of policy files
Ed. 34 - 37: scope/content of other records
Ed. 38 - 49: general style
Ed. 50 - 52: acronyms and abbreviations
Ed. 53 - 54: place names
Ed. 66 - 69: data protection compliance and offensive language
Ed. 83 - 91: subseries
Ed. 92 - 94: subsubseries
Ed. 95 – 103: items.
Note it is essential to maintain the very strictest consistency in the wording of series and
subsubseries each time they are used, or else problems will occur in loading the catalogue
into PROCAT.
5
Exl. 3.10
Column J: File reference / Former reference
File Reference in the Review worksheet becomes Former Reference in the Catalogue
worksheet.
Enter the former reference for the piece or item here.
See also Ed. 70 - 73: Piece level description: former references.
Exl. 3.11
Column K: Closure
Put the closure status for the piece here, unless it is subject to the standard 30 year closure
in which case the field should be left blank.
There are four options for this field –
• A number between 1 and 100 indicating the number of years for which the piece is
closed.
• S - to indicate the piece is retained by department under Section 3(4) of the Public
Records Act 1958.
• T - to indicate the piece is temporarily retained by department.
• I - to indicate the piece is open on transfer (open immediately).
Undated pieces should also be marked ‘I’.
See also Ed. 78- 82: Piece level description: public access conditions
Items used for cataloguing a split file or reports or sub files within a piece should have the
same closure status as their parent piece.
See also Ed. 96 - 97: Items created when splitting a thick file.
Ed. 102 - 103: Items created to allow more detailed description.
Items created to represent extended closure and retained extracts should have their own
particular closure status.
See also
Ed. 98 - 99: Items created to allow management of extracts subject to extended closure.
Ed. 100 - 101: Items created to allow management of extracts subject retention.
Exl. 3.12
Column L: Note
Put additional textual information not covered by the scope/content here.
Information to be put in this field may include information on the inclusion of maps or
photographs or foreign language material, details of attachments, notice that a piece is
missing at transfer, details of separated or related records and details of major physical
damage to records.
6
See also Ed. 74 - 77: Piece level description: notes.
Exl. 3.13
Column M: Description visibility [V}
Leave this blank. Under new arrangements, any piece with a scope/content too sensitive for
release to the public should be indicated on the transfer form and the scope/content will be
removed at the National Archives (PRO). It is emphasised that scope/content should be
closed only if it is intrinsically sensitive (for example, the name of a rape victim), not just
because the piece itself is subject to extended closure or retention.
Exl. 3.14
Column N: LCI series [LS]
Enter the type of Lord Chancellor’s Instrument (LCI) applying to the whole piece, when
applicable.
Enter ‘C’ if the LCI series is the extended closure and accelerated opening series. Enter ‘R’ if
it is the retention series.
Exl. 3.15
Column O: LCI number [LN]
Enter the LCI number, when applicable.
Exl. 3.16
Column P: Previous LCI series [PLS]
Enter the type of LCI previously but no longer applying to a piece, when applicable.
Enter ‘C’ if the LCI series is the extended closure and accelerated opening series. Enter ‘R’ if
it is the retention series.
Exl. 3.17
Column Q: Previous LCI number [PLN]
Enter the previous LCI number when applicable.
Exl. 3.18
Column R: Extracts indicator [Ext]
Enter ‘1’ here for any pieces from which an extract has been taken and for items which
comprise extracts.
Exl. 3.19
Column S: Keep or Destroy [K/D]
Enter the review decision here: K for Keep or D for Destroy.
7
Exl. 3. 20
Column T: Reviewers comments
Put the reason for the review decision here.
Exl. 3. 21
Column U: Client Manager confirmation [CM confirmation]
Leave for the Client Manager to complete.
At the Client Manager’s discretion, he/she may either confirm agreement with the K/D
column individually, row by row, or alternatively may state in the first row that the K/D column
has been accepted in its entirety or is accepted subject to any amendments noted.
Exl. 3. 22
Column V: Client Manager comment [CM comment]
Leave for the Client Manager to enter comments here on the review decisions.
Exl.4 COMPLETING THE REVIEW WORKSHEET
Columns A - E and L - R should be ignored by the reviewer, as they are not relevant at this
stage. However, they must not be deleted or closed up entirely because this would upset the
column sequence in the Catalogue worksheet when the ‘Keeps’ are later copied into it.
The reviewer should enter data into the following fields: Item numbers (if applicable), First
date, Last date, Scope/content, File reference, Note, K/D, and Reviewers comments (if
applicable).
It is important to check data has been entered correctly. For example, if the K/D column is
left blank or contains terms other than K or D, the review and catalogue will go wrong. If
former references or dates are entered in an inconsistent format, the ordering of pieces may
go awry.
If items are created at this stage, they must be given the same former reference as their
parent piece – otherwise they will not transfer properly to the Catalogue worksheet.
The Client Manager will later populate CM confirmation and CM comment fields.
When the review is completed, records identified as K for ‘Keeps’ need to be transferred to
the Catalogue worksheet. If required, records identified as D for ‘Destroys’ may similarly be
transferred to the Destroy worksheet.
Exl. 5 EXAMPLE OF THE EXCEL REVIEW WORKSHEET
Here is an example of a completed Excel Review based on an imaginary series of files.
8
Exl. 6 TRANSFERRING ‘KEEPS’ TO THE CATALOGUE WORKSHEET
To transfer the pieces selected for permanent preservation (the ‘Keeps’ to the Catalogue
worksheet, follow these instructions in order:
•
Ensure that any amendments suggested by the Client Manager have been made to
the K/D column.
•
Click on the S at the top of the K/D column in order to highlight all entries in that
column.
•
Click on the down arrow next to the K/D. This will reveal a drop-down list the dropdown list should contain only these terms – (All), (top 10…),(Custom…), D and K. If it
contains other terms, such as P, (Blanks), (Non Blanks) the column has not been
completed properly. In this case, correct any mistakes or omissions in the column
before continuing.
9
•
Click on the K. This will select all the records marked K ‘Keeps’; the records marked
D will disappear.
10
•
Click on the first number under number 1 in the grey extreme left of the screen.
Keeping the right mouse button depressed, scroll down until all the rows you have
used are highlighted.
11
•
Click on the copy icon in the toolbar at the top of the screen.
•
Click on the Catalogue tab at the bottom of your screen to take you into the
Catalogue worksheet.
•
In the Catalogue worksheet, click on box A2 and paste in the copied Keeps.
•
Delete the data in columns S-V (the columns concerned with review) by highlighting
these entire columns and then pressing Delete on your keyboard.
12
If you make any mistakes, clicking the back-arrow in the toolbar will take you back to the
previous stage.
Exl. 7 SORTING BY FORMER REFERENCE OR START DATE IN CATALOGUE
WORKSHEET
If the file reference or start date data has been entered wrongly or inconsistently at review
stage, these processes will go wrong, so carefully check the data first.
To arrange the catalogue in former reference order (the most common order), follow these
instructions:
Highlight all your data.
•
Click on Data, then click on Sort.
•
Select Former Reference, Ascending order, and click OK
To arrange the catalogue in start date order, follow these instructions:
•
Highlight all your data.
•
Click on Data, then click on Sort.
13
• Select Start Date, Ascending order, and click OK.
Check the order is now correct. If it is not correct, resort as above.
Alternatively, you can move individual rows into order by highlighting and then pasting rows
or groups of rows until the correct order is achieved. However, it is very easy make mistakes
such as omitting or overwriting data, so great care must be taken.
Exl. 8 ENTERING DEPARTMENT LETTERCODE, SERIES (CLASS) NUMBER and
PIECE NUMBERS IN THE CATALOGUE WORKSHEET USING SHORTCUTS
To insert the department lettercode and series (class) number:
Type the departmental lettercode into box A2 and A3 and the class number into B and B3,
and then highlight these boxes.
Place your mouse indicator over the small mark at the bottom right hand corner of the
highlighted boxes and your mouse indicator will turn into a black cross.
Left click on the mouse and hold the button depressed as you drag the black cross down the
column to the end of the catalogue. Then release the mouse button.
To insert piece numbers, if the catalogue does not contain items:
•
•
•
Key the first two piece numbers into boxes E2 and E3, and highlight the boxes
Place your mouse indicator over the small mark at the bottom right hand corner of the
highlighted boxes and your mouse indicator will turn into a black cross.
Left click on the mouse and hold the button depressed as you drag the black cross
down the column to the end of the catalogue. Then release the mouse button. This
will generate sequential numbers.
Items have the same piece numbers as their parent piece, and therefore entering sequential
piece numbers will be wrong. If your catalogue contains items, either enter piece numbers
manually one by one, or use the facility to generate sequential piece numbers until you come
to an item, then stop and enter the correct piece numbers for the items, then continue
generating sequential piece numbers until the next item.
Exl. 9 COMPLETING THE CATALOGUE WORKSHEET
Add any subseries (headers) and subseries (header) numbers, if they are appropriate, in
accordance with the editorial and technical rules. To generate a new row to hold the
subseries, click on the number of the row above which you wish to insert the subseries. Then
click on Insert in the toolbar, and on Rows. Ensure the subseries number is correct and insert
it in Column C for all the subsubseries, pieces and items which belong to the subseries.
Add any subsubseries (subheaders) and subsubseries (subheader) numbers if they are
appropriate, in accordance with the editorial and technical rules. To generate a new row to
hold the subseries, click on the number of the row above which you wish to insert the
subsubseries. Then click on Insert in the toolbar, and on Rows. Ensure the subsubseries
number is correct and insert it in Column C for all the pieces and items which belong to the
subseries.
14
Check and revise the scope/contents of pieces in accordance with the Editorial guidance on
cataloguing to ensure a concise, accurate and comprehensible description.
Insert item numbers and ensure the item text is correct.
Add any notes required (e.g. With maps).
Complete the access fields (LCI series, LCI number, Extract), as necessary.
Delete or revise the former references for items. Items which arise from the splitting of files
for conservation reasons or from the creation of closed or retained extracts, will not have a
former reference. Items resulting from the description of subfiles or reports within a piece
may require their own unique former reference to be inserted.
Check that these additional technical rules have been obeyed:
• Do not use tabs, paragraphs, row breaks or page breaks.
• Do not use underlining, or italic, bold, superscript or subscript characters.
• Do not Greek letters or other unusual characters.
• Use ampersand (&) only when it is absolutely necessary to include it, e.g. the
company ‘P&O’ – otherwise replace it with ‘and’.
To save the catalogue separately from the rest of the workbook, copy the complete
catalogue (columns A-R) and paste it into another Excel workbook giving the new workbook
an appropriate name e.g. HO 401 (1-21) catalogue.
Once it has been carefully checked, the catalogue may then be e-mailed to the National
Archives (PRO).
Exl. 10 EXAMPLE OF THE EXCEL CATALOGUE WORKSHEET
This example shows the Keeps from the Review worksheet example. The files have been put
in former reference order and the necessary catalogue data has been added.
The example illustrates many of the instructions on the use of specific fields, such as the use
of subseries (header) and subsubseries (subheader) numbers, and the use of items for
retained and closed extracts.
15
Exl.11 TRANSFERRING DESTROYS TO DESTROY WORKSHEET
This may be done in exactly the same way that records identified as ‘Keeps’ were transferred
to the Keeps worksheet, but instead of selecting the K’s or Keeps on the Autofilter, select the
records marked D or ‘Destroys’ and paste them into the Destroy workbook.
16