Accessioning is the work that The National Archives does once records have been delivered, so that we can make the records available.
This is the end of the transfer process. For paper records it involves:
- confirming that all records delivered were the expected ones
- confirming the cataloguing standards and preparation standards
- making the descriptions available in our catalogue
- moving the files to a permanent place in The National Archives’ repositories
- making the record available to be viewed by the public if it is transferred open (an open record is a record that is available for public access on an unconditional basis)
And for digital records:
- we will check that the files, metadata and closure form you have sent pass our technical checks
- we will then send you an email confirming that we have safe custody of the records – at this stage, any copies of the records held within departmental systems should be securely deleted
- the digital records will then be ingested into our digital records infrastructure system for preservation and if open, presented to the public via our Discovery service on The National Archives’ website
The process of transporting new unaccessioned records from Public Record Bodies to The National Archives is also known as the ‘uplift’. This involves agreeing a delivery date with The National Archives and arranging the physical transfer. Please do not arrange a delivery until the date has been confirmed by The National Archives.
The National Archives accepts paper transfers on either a Monday, Wednesday, or Friday, with a maximum load per delivery of either four Euro pallets (80x120cm) or 10 cages. All deliveries should be secured in cages or on pallets to enable safe transportation. The maximum number of boxes to a cage/pallet will vary depending on the size and weight of the box. Although, on average we would suggest no more than 72 archival boxes (or 24 transit boxes) to a pallet and 40 archival boxes to a cage. When loading the pallets or cages, arrange the boxes in reverse order.
Prior to the delivery, complete a Transfer Delivery Form and send it to governmenttransfers@nationalarchives.gov.uk. On the Transfer Delivery Form, list the series in alphabetical order and do not split the same series over multiple rows. If you intend to transfer previous retentions or requisitions with new accessions, ensure it is clearly highlighted in correspondence with the Transfer Team and is detailed on the Transfer Delivery Form. Also, please ensure that any related paperwork is sent to AccessUpdates@nationalarchives.gov.uk (for previous retentions) or government@nationalarchives.gov.uk (for returning requisitions).
All transfer documentation (including catalogue lists, transfer summaries and delivery forms) must be received and signed off prior to the delivery date. In practice, we would expect to receive the first draft of the catalogue list at least a month in advance of a delivery date, with the Transfer Summary to follow. We would expect to receive the Transfer Delivery Form separately, and it is essential that the Transfer Delivery Form is signed off at least a week before the delivery, otherwise, the delivery may need to be rescheduled.
On the agreed delivery date, send the records to the following address using a tracked courier service:
Government Loading Bay
Government Remote Services
The National Archives
Bessant Drive
Kew
Richmond
Surrey
TW9 4DU
To locate the Government Loading Bay, please follow signs for Government Documents. It is located immediately after the coach parking and on the left-hand side as you enter. The What3Words for the Government Loading Bay is Files.Leaned.Stand.
On arrival at The National Archives, the records will be checked against the transfer delivery form and if consistent the accessioning process will begin.
To arrange a delivery or if you have any questions or concerns, contact governmenttransfers@nationalarchives.gov.uk.
More detailed guidance is also available on cataloguing and physical preparation, the delivery of digital records and Transferring to places of deposit.
Guidance and forms for transferring paper records
Transfer template (XLSX, 0.03 MB)
Access Updates Form (DOC, 0.05 MB)
Delivery form for transfer of paper records (XLS, 0.02 MB)
Process for sending previously retained pieces or extracts to The National Archives (PDF, 0.26 MB)
Information on statutory obligations
It is the responsibility of all organisations responsible for public records, as defined by the Public Records Act 1958 (c. 51), to transfer records for permanent preservation, under the guidance and supervision of the Keeper of Public Records. This covers all administrative and departmental records belonging to His Majesty, held in any format, including paper, digital, audio, film or model format.
These obligations originate in section 3(2) of the Public Records Act 1958 (c. 51). See The National Archives’ Legislation and regulations pages for further information.
Cataloguing and preparation is the process of preparing records for transfer for permanent preservation.
For paper and other physical records, cataloguing and preparation includes creating descriptions and physically preparing the files for transfer which must be completed in accordance with The National Archives’ guidelines – it is a necessary part of ensuring the long-term survival and preservation of the records.
The process applies equally to bodies that transfer to a place of deposit. Bear in mind that places of deposit will have their own cataloguing and preparation standards and conventions which may differ from those at The National Archives. Therefore bodies which transfer to places of deposit should consult the places of deposit on the most appropriate descriptions and preparation required.
Cataloguing records selected for transfer
Cataloguing is the process of writing a description for the records that you are transferring. The records can be searched later using descriptions and titles within catalogues.
Departments transferring records to The National Archives must catalogue or list the selected records according to The National Archives’ defined cataloguing principles and standards. The National Archives’ catalogue – Discovery – has seven levels available for the description of records. These are Department, Division, Series, Subseries, Subsubseries, Piece and Item. Cataloguing a record according to this system allows the generation of a unique record reference number.
See the below topics for further information or, alternatively, you can access high-level guidance covering the first three levels of catalogue entries: Guidance on Providing Information About Your Records (PDF 0.4Mb) or comprehensive guidance covering all levels of catalogue entries and more: Guide to cataloguing paper records for transfer to The National Archives (PDF, 0.9Mb).
Guiding principles and categories for cataloguing records
The National Archives looks for the following five qualities in the cataloguing data produced by government departments, and most of the points in the following sections of this guidance relate to these qualities. The qualities are:
Accuracy of the data
So that incorrect and false information does not appear on The National Archives’ catalogue, Discovery.
Understandability of the data
So that a researcher (who is not always an expert) can understand the data fairly easily, without having to look things up elsewhere.
Simplicity of the data
So that government departments do not waste their time and resources on unnecessary detail, and the researcher can quickly decide if a record might be of interest or not.
Reasonable consistency of the data
The data within a series should be reasonably consistent when the records are the same or similar, but consistency should not be pursued at the expense of accuracy, understandability and simplicity.
Correct use of the template
The data is put in The National Archives’ cataloguing template in the correct fields and using the correct formats, so that it can be successfully loaded onto Discovery.
The National Archives’ catalogue and referencing system
The National Archives’ catalogue – Discovery – has seven levels available for the description of records.
Three of the levels are mandatory for every record: Department, Series and Piece. The other levels are ‘supplementary’ (they are useful and even necessary on certain defined occasions, but are often not required and can even be detrimental to use).
Of the three mandatory levels, two – Department and Series – are written by transferring departments with the support and guidance of cataloguing staff at The National Archives.
Most of the time departmental cataloguers will only need to use Piece level – occasionally they may have to use Subseries level for subsidiary series or Item level for parts of pieces.
Each of the levels is described in the table below.
| Level | Name of level | Purpose | Type | Template code |
|---|---|---|---|---|
| 1 | Department | Provides researchers with a summary of a government department, executive agency or other government body (such as Home Office or Ministry of Defence) and the records it created, accumulated or inherited. | Mandatory Written by transferring departments with the support and guidance of cataloguing staff at The National Archives | D |
| 2 | Division | Provides information about a directorate or other high-level business unit within a government body, or business activities relating to particular functions (for example, Establishment Division, Prisons Division). Used only when the division has created a number of series grouped together on The National Archives’ catalogue. | Supplementary Written by transferring departments with the support and guidance of cataloguing staff at The National Archives | Not on template |
| 3 | Series | Provides information about a particular set of records produced by a department, agency or division with a common history and purpose. | Mandatory Written by government departments with amendments suggested by The National Archives | S |
| 4 | Subseries | Provides information about subsidiary series or groups of records within the departments’ series. Used only when it is desirable to make clear the major distinct groupings of records within the series. | Supplementary Written by government departments Consult with the Transfer Adviser before using | SS |
| 5 | Subsubseries | Provides information about a group of records within a subseries grouping. Used rarely, only when it is necessary to make clear the minor groupings of records, at a lower level than subseries. | Supplementary Written by government departments Used only in exceptional circumstances | SSS |
| 6 | Piece | Provides information about an individual record, for example, a file, a report or a volume. | Mandatory Written by government departments | P |
| 7 | Item | Provides information about separate parts of a piece: - when the piece has been split into two or more parts because of its thickness; - when an extract has been made which is closed because of its sensitivity; - when it is useful to describe individual reports or subfiles within a piece. | Supplementary Written by government departments | I |
Preparing to catalogue records
Going wrong at an early stage of the cataloguing process and having to redo work at a later stage can be extremely time-consuming. To produce better results, and to save time and effort, time should be spent:
- understanding this cataloguing guidance and the requirements of the template;
- undertaking brief preparation work prior to cataloguing;
- consulting with Transfer Advisers over potential problems or the need for ‘tailored’ guidance for specific records;
- checking work regularly and thoroughly.
Understanding your records
It is always advisable to undertake brief preparatory work in order to have a clear idea of the cataloguing task.
Firstly, survey the records you will catalogue.
Cataloguing survey checklist
- Check that all the records are present. If there are more records to transfer into the same series in the near future, it is usually advisable to wait and catalogue all the records together.
- Ensure that the record selection has been approved by your Transfer Advisor at The National Archives.
- Check records (especially copies of reports) do not duplicate ones already held at The National Archives.
- Confirm with your Transfer Advisor that the records are being put into the right series, and that a new series has been created if necessary.
- Check whether the records have been reviewed for sensitivity, and whether there are closure or retention issues which require approval by the Advisory Council on National Records and Archives.
Preparing to begin cataloguing
Secondly, ensure you are ready to begin cataloguing.
Cataloguers should consult the Transfer Adviser before commencing cataloguing work about any major issues on which there is any uncertainty, for example, the starting piece number, most suitable order, use of subseries, level of detail required, or whether to continue in the same style as an earlier part of The National Archives’ catalogue, Discovery. In the case of large collections of case files and maps, agreeing an appropriate format at the start is vital (see section 7).
Inexperienced cataloguers, or cataloguers dealing with records of a type they are unfamiliar with, should list just a few records at first, and then submit this sample to the Transfer Adviser to agree their proposed approach and applicable standards.
If necessary, and if resources allow, ‘tailored’ guidance can be produced by The National Archives for specific records.
Cataloguing preparation checklist
- Read any background information on the series, including the information on The National Archives’ catalogue, Discovery. This will help in understanding the structure of the series and any technical language which may need to be explained.
- If more records are being added to an existing series, check how earlier parts of the series were catalogued on Discovery. This can make future cataloguing easier, as well as ensuring consistency. However, do not imitate earlier cataloguing if it has been done poorly or does not conform to modern standards.
- Check the piece number the first record should have – particularly important if the series is shared with another government department. If in doubt check with the Transfer Adviser.
- If subseries have been used before, and it is agreed with the Transfer Adviser that this should continue, ask for a list of the subseries and their numbers, as already used on the catalogue.
- Historic records may include outdated language and offensive terminology. To find out how The National Archives addresses this when cataloguing, read our approach to cataloguing and offensive terminology.
Final stages
When the listing is finished, the cataloguer or a colleague should proofread it carefully for accuracy, understandability, consistency and spelling. The listing should conform to the editorial and technical guidelines provided in this document.
Generating The National Archives’ unique record reference number
Every record transferred to The National Archives has a unique three part reference code based on the three mandatory levels of description.
For example, the reference code CM 6/57 consists of the department code, CM; the series number, 6; and the piece number, 57. The next piece is CM 6/58. An item has an additional item number after the piece number, for example: CM 6/57/1
- CM is the department code for ‘Property Service Agency’ (PSA)
- CM 6 is the series number for the ‘registered files of the PSA Directorate of Defence Services’
- CM 6/57 is the relevant piece number for one of these files
- CM 6/57/1 is the item number of part of that file
These references would be written in the template as follows:
| D | S | SS | SSS | P | I |
|---|---|---|---|---|---|
| CM | 6 | 57 | |||
| CM | 6 | 57 | 1 | ||
| CM | 6 | 58 |
Assigning piece numbers and associated information
The first step in cataloguing a set of records within a series is to ensure they are arranged in a sensible, logical order. Once this has been done piece numbers can be assigned to each record. The cataloguer then supplies the following information for each piece:
Piece number information checklist
- its covering dates;
- a brief summary of its subject matter, known as scope/content;
- its Former reference;
- its public access conditions, if it varies from the normal status of open;
- if appropriate, certain additional information contained in the Note field, Comments field, and Related digital material field.
Completing The National Archives cataloguing template
For guidance on how to complete The National Archives cataloguing template see our comprehensive Guide to cataloguing physical records for transfer to The National Archives (PDF, 0.9Mb).
Preparing physical records for transfer
Preparation of paper records is the process of physically preparing records for transfer to The National Archives or place of deposit.
Records transferred to The National Archives have been identified as being of high value and worthy of permanent preservation and therefore the primary aim of careful physical preparation of the records is to ensure that they remain intact and usable for as long as possible.
This guidance covers physically preparing records for transfer, including printing and preparing labels and other materials required for transfer.
For further guidance on preparing particular formats for transfer, read our comprehensive Guide to preparing paper and other physical records for transfer to The National Archives (PDF, 2.00Mb).
Sourcing tools and archival supplies
To prepare records for transfer to The National Archives, you will need essential tools and archival supplies. Particular materials may need to be sourced either from The National Archives or suppliers, or prepared by the transferring body. All materials used for the preparation or packing of records (including boxes, maps or banner bags) must meet The National Archives’ standards. A high standard of materials is vital in preserving records.
Warning tape for closed extracts
The National Archives can supply yellow and black warning tape for closed extracts.
To procure these items, please complete a Stationery order form (DOCX, 0.05Mb) and email it to the Transfers team at governmenttransfers@nationalarchives.gov.uk.
Other supplies and third party suppliers
Any other preparation materials or tools may be obtained from third parties, as long as they meet the criteria for approval by The National Archives. Further requirements for particular types of tools and archival supplies is included in our comprehensive Guide to preparing paper and other physical records for transfer to The National Archives (PDF, 2.00Mb). This includes:
- archival boxes
- polyester sleeves
- acid free envelopes
- four-flap folders
- nylon ended treasury tags
- cotton and linen tape
- chinagraph and HB pencils
- artist’s palette knives
- single hole punches
- gloves
Please consult with the Transfer Team at governmenttransfers@nationalarchives.gov.uk before using or ordering any materials for the first time or if you are unsure if materials would meet the criteria to ensure they meet The National Archives’ standards.
Sourcing dummy cards
Transferring bodies must organise the printing of their own dummy cards. Please use the Dummy card template and dummy cards must be printed on yellow card.
Sourcing labels and stickers
Transferring bodies must organise the preparation and printing of their own labels and stickers including:
- box reference labels (departmental lettercode, series number and piece and item numbers);
- closure labels (‘Closed until’ and ‘Closed until various dates up to’);
- warning stickers for distressing photographs.
Please note boxes must be labelled in line with The National Archives guidance to be transferred.
The guidance and templates below have been produced to enable public record bodies and their suppliers to create and print the necessary labels for applying to archival boxes and records in line with The National Archives wider guidance on Preparing records for transfer to The National Archives.
Label stationery and printing requirements
Labels must be printed on appropriate label sheets for example:
- Avery Laser Mini Labels 45.7 x 25.4mm White L7654-25
- Avery Ultragrip Laser Label 63.5×38.1mm White L7160-100
- Avery Laser Labels 38.1×21.2 L7651H
Label sheets are widely available in various sizes and quantities from a range of suppliers including Avery Design and Print; Banner; Q-Connect and others.
Labels can be printed on standard Multi-Function Devices. Select the following settings:
- Paper size: A4 label laser sheet (custom)
- Scale: 100%
Ensure that label sheets of the correct size for the required label are loaded face down in the multi-purpose tray (not the cassette trays)
Label templates
The National Archives provides the following templates for printing as labels:
- Closed until (L7654) (PDF, 0.07Mb)
- Closed until various dates (L7654) (PDF, 0.06Mb)
- FOI extract (L7160) (PDF, 0.07Mb)
- TREATED FOR PEST INFESTATION (L7160) (PDF, 0.08Mb)
- Warning distressing content (L7160) (PDF, 0.14Mb)
- WARNING HEAVY DOCUMENT (L7160) (PDF, 0.15Mb)
- Letter Code, Series and Piece number template (L7651) (DOC, 0.07Mb)
The additional labels below can be created with the final template above (L7651) and additional information by editing the label template in Microsoft Office Word or by using label creation software such as the service provided for free by Avery Design and Print:
- Departmental Letter Code
- TNA Series number
- Piece numbers
To use the Avery Design and Print software to prepare these additional labels, complete the following steps:
- Choose template: select template number L7651
- Choose design: select blank rectangle with rounded corners, landscape orientation
- Customise:
- From the left-hand side bar:
- select Text
- select Add text box
- set font colour to red (for Letter Code or TNA Series) OR
- set font colour to black (for Piece numbers)
- select appropriate font size (generally 30 – 32)
- enter Letter code or numbers as required
- From the right-hand Navigator box:
- select Edit All to enter the same information on all labels OR
- select Edit One to enter different information on each label
- Preview and Print: select Print it Yourself
Preparing paper records for transfer
Our comprehensive Guide to preparing paper and other physical records for transfer to The National Archives (PDF, 2.00Mb) covers all aspects of preparing paper records for transfer, including:
- Which materials to remove from records prior to transfer
- How to write the TNA reference code on files of different types
- When to split, tie up or label files
- How to prepare specific formats such as loose pages, ring binders, volumes or photographs
Preparing other physical records for transfer
Aside from paper records, a number of other physical records may be selected for transfer and require further preparation.
Video and audio
Consult the Transfer Team about analogue sound recordings, film and video material as these are not archived by The National Archives.
Floppy disks, CDs and microfiche in files
If you identify removable storage media (such as USB sticks, CDs, floppy disks, magnetic tape, microfiche and microfilm) that contains selected public records, please contact the Digital Transfer team at The National Archives. The records will need to transfer within the existing digital transfer workflows.
Seals and other objects
Large seals and other 3D objects require expert preparation advice on a case-by-case basis, so for any of these items please consult the Transfer Team.
Seals within the body of a file
The best protection for seals within the body of a file is the paper surrounding it, which is more forgiving than a polyester sleeve. Therefore, normally seals within the body of a file should be left as they are and not put into polyester sleeves.
Ask the Transfer Team in cases of large embossed seals, pendant seals or seals outside files.
Further guidance and training
The National Archives provides further guidance and training on records management practices through supporting the development of the Section 46 Code of Practice on the Management of Records, the Information Management Assessment toolkit and the GKIM Skills Framework.
The Section 46 Code of Practice on the Management of Records
Section 46 of the Freedom of Information Act 2000 (c. 36) supports the development and publication of a Code of Practice for the management of records issued, which was last revised by The National Archives in 2021. The latest version can be accessed here: FOI Act Section 46 Code of Practice.
The Code of Practice provides a framework to guide authorities throughout the lifecycle of the records they hold. It sets out the principles of robust information management so that authorities understand their responsibilities and are enabled to discharge them.
Conformity with the records management Code of Practice will be monitored via self-assessment by public authorities using tools provided by The National Archives. Our Section 46 Self-assessment tool is being developed as part of our Information Management Assessment toolkit and is available through our pilot programme. If you would like to join the programme, please contact the Government Help Point at GovernmentHelpPoint@nationalarchives.gov.uk.
The guidance in this document relates in particular to the requirements listed below from the Code and covered by the Self-assessment tool.
- Keeping, finding and using information
- Authorities should take action to conserve physical records if there are signs of damage according to best practice. Digital information should be subject to the appropriate active digital continuity.
- Authorities should make reasonable efforts to recover or preserve physical records and digital information that is found to be damaged or unusable, including their technical and contextual information, keeping a record of any action taken.
- Authorities should make reasonable efforts to recover contextual information for ‘orphaned information’ which they judge to have value, keeping a record of any action taken.
- Disposition
- Authorities must decide how to dispose of information that no longer has value. Authorities can dispose of information by destroying it, transferring it to another body or by transferring it to an archive.
- Authorities must take disposition decisions in line with their policy and the security classification of the information. Disposition decisions must be recorded. Those taking disposition decisions must be properly authorised to do so.
- Responsibilities where information is shared
- Where the authority works jointly with another authority, body or contractor, a lead or commissioning authority should be agreed which will remain responsible for ensuring that information is managed in accordance with the Code throughout its life.
- The authority and its partner authorities, bodies or contractors should set out their responsibilities in an information sharing agreement.This includes where information in separate authorities’ systems is integrated by technical means. The agreement should specify:
- the obligation to record decisions, particularly in relation to the transfer or destruction of information;
- obligations under copyright, data protection legislation and FOIA;
- record management controls and any special requirements for the security and handling of personal information;
- the ownership of any copyright.
- Authorities should ensure that information sharing arrangements enable them to comply with the requirements of the PRA or the PRA(NI) where at least one authority is subject to the legislation.
Developing related skills through the Government Knowledge and Information Management (GKIM) Skills Framework
The Government Knowledge and Information Management (GKIM) Skills Framework supports information managers to develop new skills to assist them in identifying and resolving information management issues and ensuring their department is fulfilling its statutory obligations.
The information in this guidance relates most closely to:
- Applying relevant legislation
- Strategy and planning
- Lifecycle
- Categorisation and taxonomy
- Collaboration across government and the sector
- Effective information sharing practices
- Complying with FOI retention rules in relation to archiving records
- Complying with the DPA in relation to archiving records
- Records Management responsibilities
- Retention and disposition
- Physical archives
- Permanent preservation
- Records lifecycle
Monitoring GKIM Skills development
The dynamic online version of the GKIM Skills Framework tool (Comaea) is provided by the Department for Education and will allow you to:
- map your progress in developing skills in real time
- keep a record of your learning and development in the profession
- discuss your development with your manager
- understand what you need to do to reach the next attainment level in a particular skill
Comaea allows managers to produce reports detailing the skill gaps in the six job families across their organisation. You can sign up for the dynamic version of the tool by emailing this address.
Departments should have effective arrangements to determine which records should be retained in the department, designated as open on transfer or transferred as closed for a period of time.
Similarly, bodies which transfer to a place of deposit should undertake sensitivity reviews to identify those records which contain sensitive information. They should also provide advice on any Freedom of Information or Environmental Information Regulation exemptions that should be applied and which would restrict access.
You can find guidance for the sensitivity review process on our Access to public records page.
We have published guidance for records listed below and specific subject matter expert guidance may be available directly from the appropriate lead government department.
While this guidance applies to records in all formats and media, there is additional guidance available about closure on transfer for digital records.
Guidance
Sensitivity Review Overview (PDF, 0.26 MB)
Security report: guidance for departments (PDF, 0.42 MB)
Closure periods (PDF, 0.08 MB)
Personal information – a guide to justification wording (PDF, 0.28 MB)
Redaction toolkit: Guidelines for editing exempt information from paper and electronic documents prior to release (PDF, 0.15 MB)
Process for sending previously retained pieces or extracts to The National Archives (PDF, 0.26 MB)
Access Update Form (DOC, 0.05 MB)
Go to the next stage: Cataloguing and preparation for transfer
| Task | Things to remember | Tips |
|---|---|---|
| Get senior management support | Highlight the benefits to the organisation such as increased efficiency and cost reduction | Try telling them what could go wrong (or indeed has gone wrong) if you don’t do this. Highlighting the risks is sometimes a more effective approach |
| Get support from the business | Highlight the benefits to the business area such as making it easier to find, use and share the information they need | It may help to 'brand' the work in a slightly different way to gain interest and increase understanding, for example, instead of 'disposal' you might want to use the phrase 'What to keep' |
| Understand what your organisation does | Pay particular attention to core or statutory function | Use websites, for example .gov.uk, annual reports, mission statements and talk to business areas |
| Find out what information your organisation has | It is essential to work closely with business areas as they have knowledge of business processes and the information that they create/hold | Ask information representatives within business areas to help with this work if you have them |
| Find out where your information is held | Consider all digital sources and don’t forget the lifecycle of the technology used and any interdependencies between systems | Ask your IT department for help with this |
| Document what you know in a spreadsheet or database | Appoint an owner and keep it up to date | It may make sense to have all this information in one place rather than in multiple spreadsheets |
| Understand the value of your information | Consider legislative record keeping requirements, business, historical and potential re-use value | Talk to business areas – their knowledge is vital |
| Decide how long it should be kept for | Certain types of information are subject to legislative record keeping requirements | You could consider having a catch all retention period that covers most information and then longer/shorter retention periods for the rest – an 80/20 approach |
| Ensure that staff across the organisation know what information they should be keeping and where | Build this into staff training in particular induction sessions for new staff Keep promoting this – it is not a one off activity | Use materials such as desk guides, leaflets and posters and make use of the intranet |
| Decide on the trigger point for disposal | If closure of a folder is a trigger point then you need to actually close the folders in question or disposal cannot take place when required | Use simple trigger points such 'closure of folder' as they will be easier to implement |
| Where possible build disposal into your digital systems | The extent to which you can automate disposal will depend on the systems you use | When procuring digital systems always make sure that they can 'do' disposal |
| Start disposing of information | Disposal can mean ‘delete’ but it can also mean transferring information to another organisation, for example, The National Archives | Consider putting together a policy on deletion |
| Keep it up to date | Organisations and their information change so this is not a one off activity | Set up a regular process of review and disposal and appoint people to own and take this forward |
Under the Public Records Act 1958, those responsible for public records must make arrangements for the selection of those records which ought to be permanently preserved. Selection is a decision making process which encompasses initial appraisal judgements and determines which records will be transferred to The National Archives or appropriate place of deposit. This applies to records in all formats and media.
The process of selecting your records is primarily focused on determining which records hold a historical value to an organisation or wider society. These records are likely to document the history, structure and functions of an organisation, or provide research material on persons, places and subjects. It is the responsibility of public record bodies to identify those records of historical value, and to make selection decisions under the supervision of The National Archives.
Our records collection policy below outlines the key types of records which should be selected for permanent preservation. In order to help apply these themes to departmental holdings, and to justify selection decisions, The National Archives’ has produced generic selection criteria.
The selection process should be done in a way that most efficiently and effectively allows for records of historical value to be identified. There are different methodologies for doing this work, depending on the nature and arrangement of departmental record holdings. For more information on how to approach selecting your records, please read the best practice guide below.
Further guidance on selection
Records collection policy (PDF, 0.12 MB)
Best practice guide for appraising and selecting records for The National Archives (PDF, 0.28 MB)
Transfer Template (XLSX, 0.03 MB)
Go to the next stage: Sensitivity review
This guidance identifies the issues an organisation needs to address when developing a specification for an offsite store for physical records. It is intended for use by public bodies during the preliminary stages of evaluating the required storage service and specifying the exact details for an invitation to tender.
Physical records include not only paper files, but any physical artefact that contains, or provides, information, such as books, laboratory samples, maps and plans.
Identifying and specifying requirements for offsite storage of physical records (PDF, 0.46MB)
For more information please email information.management@nationalarchives.gov.uk.
The inquiry team will need to understand how to prepare records for transfer to The National Archives, and we can offer advice and training as necessary. This is particularly important for the transfer of digital records, which will require advance consultation between inquiry staff and The National Archives. Following the steps recommended in previous sections of this guidance, particularly around technical and sensitivity considerations will contribute to a more efficient transfer process, in addition to assisting the inquiry with management of its own records. Staff should also consider ongoing business requirements of records, as records with continuing business or legal need will pass to the sponsoring department. For specific guidance on the cataloguing and transfer of records, contact The National Archives to arrange a meeting.
General points to consider
- The public inquiry, or the sponsoring department which is responsible for the inquiry secretariat, is responsible for preparing selected records for transfer to The National Archives
- We recommend that in the course of selection, sensitivity review and transfer of digital records, none of the files and folders are moved or metadata changed. This is to maintain the authenticity of the records and to enable on-going business requirements
- The objective of cataloguing inquiry records is to produce descriptive data that is clear, accurate and enables information in the records to be found
- The inquiry team needs to ensure the survival of metadata which is crucial to meeting business and legal requirements. This could include title, dates, relationships with other files, structure, descriptions and sensitivity of content. Metadata will also help ensure that the authenticity of the records remains intact
- Records selected for permanent preservation, irrespective of format, must be prepared for transfer in accordance with The National Archives’ current guidelines. For further details, see ‘Preparation of records for transfer to The National Archives and approved places of deposit’
- The inquiry team needs to ensure the folder structure and metadata of digital information can be exported to the sponsoring department or to The National Archives. The National Archives’ transfer metadata requirements for the digital records you send to us are minimal (file name, creation date, folder structure, whether the record is open or closed)
- A full audit of evidence of records received, destroyed or given back to third parties must be maintained by the inquiry team. This information must be passed to the sponsoring department following the inquiry to facilitate Freedom of Information enquiries and to ensure transparency of process by the inquiry team and comply with data handling
Find out more
Public inquiries often deal with information of a sensitive nature, such as information whose disclosure would breach national security, confidentiality or the data protection principles. Proper handling of this information is a significant issue, particularly where this information forms part of the inquiry record, and will be transferred following the closure of the inquiry. Inquiry staff must handle sensitive information correctly, irrespective of format, so as to ensure that it is protected as necessary.
Information created and used in the course of an inquiry is likely to be predominantly in digital form, and staff should be aware that increased volumes of digital records can make a sensitivity review more difficult and time consuming to review. The National Archives recommends that sensitive material should be effectively managed throughout the inquiry to save time and money and ensure an effective review at its completion.
During the inquiry, teams also need to demonstrate that there is a system in place in their day to day work which can identify sensitive material, and that this has been audited to ensure all members adhere to it. The National Archives is available to provide specific guidance on how to manage sensitive information.
General points to consider
- The public inquiry needs to identify any information that may need to be withheld, where its release could compromise national security, breach confidentiality undertakings, or if it contains personal material of a distressing nature such as medical records or mortuary photographs.
- Information with a classification marking above ‘restricted’ will need to be passed to either the sponsoring department or Cabinet Office until a time when the sensitivity has diminished and the record can be transferred to The National Archives.
- It is recommended that the public inquiry, as part of its policy framework, develops and publishes a data protection policy and accompanying procedures for all records it creates and receives as evidence. This would include a data protection statement or privacy notice, to be made available to any person wishing to submit evidence. The statement should include information on how the information is to be used and managed by the inquiry and the Government during and after the conclusion of the inquiry.
The inquiry is not subject to the Freedom of Information Act while it is ‘live’, but afterwards, when its records have passed to The National Archives, the Cabinet Office or the sponsoring department, the Freedom of Information (FOI) Act will apply to those records and hence FOI requests may be received. The inquiry team needs to agree with The National Archives (and, where applicable, the Cabinet Office departmental record officer) what is required for permanent preservation, including redacted and un-redacted content, and should identify FOI exemptions that may apply to the information.
When considering the sensitivity review
Remember:
- A final sensitivity review will be aided greatly by identifying sensitivity at the point of which information is originally created, as well as filing information in an appropriately controlled part of the filing structure.
- To ensure that sufficient time prior to the end of the inquiry is left for the sensitivity review, particularly when reviewing large volumes of digital information.
- Inquiry staff with specialist knowledge of the record content may be able to advise on sensitivities, and should be consulted during the review.
- Where records contain sensitivities and are selected for permanent preservation, inquiry staff should document what information will be redacted, which sensitivities apply (including relevant FOI exemption) and the period of time for which the information is likely to require closure.
- Inquiry staff can contact The National Archives for further advice about the sensitivity review process.
The National Archives understands that personal data and protecting the anonymity of some individuals may be a significant concern. We recognise the need to apply access restrictions that will ensure protection of sensitive information within the ‘inquiry record’. However, the destruction of public records in order to provide this anonymity is not recommended, and carries its own risks. A decision on whether confidential information should form part of the permanent inquiry record must be based on its relevance to the terms of reference of the inquiry. The public inquiry should not destroy significant information which may be crucial to provide future accountability for its findings.
Sensitivity clearly has a bearing on the future handling of these records and the conditions under which they might eventually be transferred to The National Archives. The National Archives has considerable experience of handling sensitive information. It can hold closed records still classified to the level of ‘Restricted’ in a secure area of the repository and, if the classification level is higher, arrangements can be made for records to be securely retained by the sponsoring department or Cabinet Office, as appropriate.
Find out more
Freedom of Information Act 2000
Guide to Freedom of Information – Information Commissioner’s Office