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
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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
Before the winding up of the inquiry, it is important to make decisions regarding which records can be disposed of and which will be permanently preserved to serve as the record of the inquiry. Taking selection decisions at the point at which information is created is an effective way of ensuring efficiencies are made and a comprehensive inquiry record is preserved.
The secretary should make sure that inquiry staff are clear on where to file vital records and understand what needs to be preserved beyond the publication of the final report and after the inquiry has come to an end. Decisions over what information should be kept for permanent preservation should also be documented to ensure transparency in the selection process.
The inquiry needs to agree with The National Archives (and, where applicable, the Cabinet Office and sponsoring department) what is required for permanent preservation. This includes agreement over the destruction of information which is deemed to have no long-term value. In the course of evaluating the value of inquiry records, teams should consider the following:
- It should be made clear which records of the inquiry are required for permanent preservation, including such administrative records as can demonstrate effectively the independence of the inquiry process
- The inquiry should store and maintain any records identified for transfer in accordance with best practice prior to their transfer. (For more details about managing records see the Freedom of Information Act section 46 Code of Practice)
- Selection decisions are not based on the format of the records but on the nature and contents. However, the format and any metadata or licensing issues need to be identified and raised at an early stage with The National Archives or sponsoring department
- Original records (or parts of a record) should not be permanently destroyed solely because they are highly sensitive. To do so would compromise the authenticity of the record and detract from the accountability and credibility of the inquiry and they can be given the necessary protection by means short of destruction
- Any remaining records of the public inquiry not selected for permanent preservation can be set for destruction or review after a stated period. These should be agreed with The National Archives
- The inquiry team needs to demonstrate that there is a mechanism in place for the secure destruction of agreed material and including electronic backups
- Most administrative and housekeeping records can be destroyed in accordance with generic retention scheduling guidelines issued by The National Archives
- Disposal schedules should be passed to the sponsoring department, which detail relevant records and the date of which they were destroyed. The National Archives has published a Appraisal recommendations for Public Inquiries, which inquiries set up under the Inquiries Act 2005 should use. The National Archives recommends that that all other inquiries adopt this retention schedule as best practice
- The National Archives can be contacted for ongoing advice on selection and disposal, by phone or via the following email: GovernmentHelpPoint@nationalarchives.gov.uk
The inquiry team should consider the following pieces of information for permanent preservation (although this is not an exhaustive list):
- the inquiry report, including the initial draft report, subsequent drafts in which substantial changes were made and the final published version
- the contents of the inquiry website
- audio records and transcripts of interviews and hearings
- all evidence relevant to the terms of reference
- all minutes of the inquiry panel or meetings held during the course of the inquiry by the panel
- correspondence by the inquiry team with members of the public, interested parties, and government bodies
- witness statements and expert reports
- evidence of steps taken to secure the attendance of witnesses
- all written submissions and transcripts of oral submissions
- establishment documentation including terms of reference, protocols created by the inquiry to regulate its conduct, policies concerning the conduct of the inquiry, advice given by counsel to the inquiry in relation to its conduct, criteria used for determining the relevance of material presented to the inquiry from all sources, internal procedures and overall costings.
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It is important that there is clarity of copyright and ownership of intellectual property within the inquiry’s records. In the course of the inquiry any information created by civil servants or other officers or servants of the Crown will be Crown copyright. Clarity will be required for other material including the finished report, the evidence and any source materials considered during the inquiry process. The inquiry terms of reference should specify that the copyright in the report and any associated materials produced by the chair and members of the inquiry shall also rest with the Crown. The chair should consult the Cabinet Office and The National Archives, who may in turn need to consult their respective legal advisers.
Wherever possible, the easiest solution to manage and administer will be for the copyright of inquiry records to rest with the Crown. This is because well-established licensing processes for Crown and Crown-owned copyrights are already in place through the UK Government Licensing Framework and the Open Government Licence (OGL) – these licences facilitate and encourage the re-use of public sector information, including important public documents such as inquiry reports. This will ensure not only that the chair and the members of the inquiry team will also have unfettered access to the materials but that others will be able to access and re-use it. This is important in the interests of openness and transparency.
During the establishment and course of the inquiry the following points should be considered:
- To ensure that the Crown is able to authorise re-use, the chair should arrange for the copyright in the report and any associated materials produced by the chair, members of the inquiry, and other inquiry staff to be assigned to the Crown. The chair should ensure that members of the inquiry are aware of the copyright arrangements and that everyone working on or for the inquiry sign any appropriate copyright assignment documents unless they are officers or servants of the Crown, for example civil servants who have been officially seconded to the inquiry.
- The inquiry needs to identify and safeguard the copyright and ownership of any content maintained by electronic software that the inquiry utilises at the earliest possible stage. In particular, software licences must be obtained, not only for the inquiry but which also apply to the Crown for the term of the copyright. For example, contractual agreements should include provision for the transfer of the software licence, the migration of data after the inquiry, and the ownership of the content.
- The chair should ensure that permission has been acquired, by licence, to use and re-use all third-party copy material (i.e. material produced by people other than the members of the inquiry team). Ideally third-party copy should be made available under the terms of the OGL. This copyright should be appropriately acknowledged and the source identified subject to redactions for Data Protection purposes.
- The inquiry team needs to resolve any other copyright issues which would, for instance, prevent HMG from hosting material on a government website following the closure of the inquiry. Archiving and republication of material of the website by The National Archives as part of its web archiving programme to preserve the public record is permitted under section 47 of the Copyright Designs and Patents Act 1988.
- It is important that in the interests of transparency and openness all obstacles to reporting, publishing, disseminating and granting the right of re-use of materials created or obtained by or submitted to the inquiry are minimised. This will require clarity from the outset as to how materials are to be used during the inquiry as well as after it has reported. The terms under which the output of broadcasters and other news media will be used should also be clarified.
- The importance of clear licensing of copyright should be made plain to people who are giving evidence to the inquiry. Upon commencement, an inquiry usually issues a statement inviting people and groups to submit evidence. This should say that any evidence given will be subject to licensing terms permitting use as required by the inquiry (preferably the OGL), followed by permanent preservation at The National Archives and public access when the information is no longer confidential or sensitive.
- It is suggested that for any televised proceedings the inquiry acquires licences ensuring future access arrangements. With regards to audio/visual content of proceedings presented on the inquiry website, The National Archives may reproduce the content in accordance with section 47 of the Copyright Designs and Patents Act 1988, however the inquiry should ensure licences are put in place to enable HMG to continue to make this material available to the public following the closure of the inquiry.
Find out more:
UK Government Licensing Framework
Copyright and related rights (PDF, 0.71MB)
Crown copyright: An overview for government departments (PDF, 0.10MB)