The Lord Chancellor on records managementPreservation in historic buildings

Pathways to the Past

The Lord Chancellor on records managementPreservation in historic buildings

Pathways to the Past

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Contents

New staff at the PRO

The National Archives

The Lord Chancellor’s keynote address to the RecordsManagement in Government Conference,24-25 October 2002

New information on PRO web site for archivists

National and Regional Archival Development Officer contact details

Getting ready for freedom of information

United Kingdom Atomic Energy Authority opens a newarchive centre

UCL Hospitals NHS Trust Archive moves to a new repository

Hospital patient case records:a guide to their retention and disposal

Preserving the nation’s memory: the Public Record OfficeConservation Department

Managing the preservation of library and archive collections in historic buildings

Pathways to the Past: The First World War – sources for history

Contact us

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New staffat the PRO

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The National Archivess announced by the Minister for the Arts, BaronessBlackstone in July this year, the functions of the PublicRecord Office (PRO) and the Historical Manuscripts

Commission (HMC) will be joining together in April 2003 to form a new body, the National Archives.

To create this new body the two organisations have begun aprocess of strategic reassessment and discussion of unifiedobjectives. This will involve looking jointly at current researchadvice services, the future of the two organisations’ onlineinformation systems and relations with the wider archivalcommunity, where both organisations have strong roles in supportof professional record keeping standards and preservation, eitherby inspection of facilities or input into methodology and research.The results of this evaluation will be given form in the newcorporate plan of the National Archives for 2003-4, setting out theshort and medium term strategy for the new body. Preparing forthe creation of the National Archives will be a priority for the HMCand the PRO over the next six months.

Research into the views of our users will form part of the process,in order to ensure that the new organisation meets their needsand expectations as far as is possible. A major stakeholder meetingwas held on 5 November, hosted by the Royal Historical Society, towhich leading figures from the archival, arts, funding andeducational worlds were invited with the aim of encouraging widediscussion of the role of the new organisation. The very positiveviews and ideas that resulted from this meeting will inform thenew structure and delivery of services in the National Archives.

There are many issues to address, not least the arrangements forstaff relocating from the HMC’s current central London site, andmodifications to the internal layout of the building at Kew toaccommodate transferring functions. As a result it is not possibleto provide a definite date for the transfer of the HMC’s services toKew. When a decision is made and fuller details about servicesand transition arrangements are known, full publicity will bemade available to users of both organisations and the widerarchival community.

Louise AthertonNational Archives Coordinator

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David Thomas (Director of Government andArchival Services)

David Thomas was formerlyhead of e-Access and workedwith Meg Sweet to deliveronline catalogues and services.He is now Director ofGovernment and ArchivalServices and is responsible forRecords ManagementDepartment, the delivery of thePRO’s digital archive, physicalconservation and storage andhandling of records.

He is looking forward tomeeting colleagues involved inrunning places of deposit andlearning how we can improvethe level of services the PROprovides to them. He would likethe PRO to begin to share withplaces of deposit some of theexpertise in recordsmanagement and electronicrecords management which wehave acquired when dealingwith central governmentdepartments.

Meg Sweet (Head of Records ManagementDepartment)

Meg Sweet, the new Head ofRecords ManagementDepartment, was formerly Headof Metadata and Standards atthe PRO, with particularresponsibility for online accessto the records through thecatalogues. Her whole workingexperience has been in centraland local government: asMuseum Archivist andDepartmental Records Officer atthe V&A, at the Fawcett (nowWomen’s) Library, at the HMCand, right at the start of hercareer, at the Centre for KentishStudies.

She looks forward very much toworking with places of deposit,in particular in developing ourservices in ways which bestmeet your current needs.

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Records management and information policy

All organisations generate records – or corporate information –which needs to be collected, maintained and revisited over time. Forgovernment, it is particularly important that these records areaccurate and represent reliable accounts of actions taken anddecisions made. This is, of course, necessary to carry on the work ofgovernment – if we cannot be sure what has been said or done inthe past, we will find it very difficult to conduct the business oftoday. This is true for all types of organisation; but government hasan additional responsibility to be accountable for its actions overtime to the people through Parliament. To be able to demonstratethis, we must be able to capture the records, which document thesedecisions and actions, maintain them in an organised way and makethem available when needed.

There is growing recognition of the central role of information togovernment and the public sector as a whole, and the need for bettermechanisms to oversee its collection and use; in other words, theneed for an effective overall system of governance. As LordChancellor, I have particular responsibilities for some of the mostimportant aspects of this new governance.

First, as Minister for the Public Record Office (PRO), which overseesthe public records system and preserves historical records in all theirforms, I have a long-term responsibility for this governance on behalfof government as a whole. As the lead agency for recordsmanagement in government, the PRO also have the role ofoverseeing the achievement of the Prime Minister’s target forelectronic records management by 2004. This is, of course, essentialfor the success of improved records management in the twenty-firstcentury, and is a subject to which I shall return later.

Second, I have responsibilities as Minister responsible for HumanRights, Freedom of Information and Data Protection. My Departmenthas taken the lead in developing policies on, and preparinggovernment for, the Data Protection Act now, and implementation ofthe Freedom of Information Act, by 2005. The PRO have also taken anactive part in this work, giving practical help to Departments toimplement the Code of Practice on records management, and toprepare model action plans. I also have oversight of the Office of theInformation Commissioner, who regulates compliance with the Acts.

Effective records management is essential to support this compliance.A Department which does not know what information it holds inpaper or in electronic form, or which knows that it has it, but cannotfind it, will not be able to respond properly to the requirements of

he Lord Chancellor, Lord Irvine, attended the RMG 2002Conference on 24 October to deliver a keynote speech on therole and importance of records management in central

government. The Lord Chancellor is the most senior law officer inthe UK and has overall responsibility for public records: powers thatare delegated to the Public Record Office as his agent. Amongstthese is the power to appoint places of deposit for public records.Although the speech was chiefly directed at central governmentrecords and information managers, many local authority and publicplaces of deposit that face the challenge of Freedom of Informationwill also find the arguments and main tenets of this speech to berelevant, informative and useful to their own situations. TheGovernment Policy on Archives includes the need for regional publicbodies to select, preserve and manage records of all formats andincreasingly electronic records, in order to provide high qualitypublic e-services to their customers. What is presented here is thebroadest vision of future public e-services. Susan Healy’s article‘Getting Ready for Freedom of Information’ (See page 10) focusesmore specifically on the demands that both technological andlegislative change will place upon the places of deposit for publicrecords. To place her article into the broader context of change,Beyond the PRO has provided some of the relevant transcripts of theLord Chancellor’s speech that we hope will provide a useful insightand vision to apply to local authority / regional public services andrecords management provision.

Lord Chancellor’s speech

All Government operations affect the citizen, through the serviceswhich government provides, either directly or through anintermediary, and all are affected in their daily lives by governmentpolicies. All of us working in government organisations can help toensure that our services are structured around the needs of people,are presented in ways they find easy to use, and are available at thetimes and through channels, be it the Internet or the local Post Office,most convenient for them.

For records managers this presents a major challenge. Much of thebusiness of government is concerned with collecting, handling andsupplying information. Good management of information is central tosuccess in the modernisation of public services – and much of thisinformation will be in the form of government records. We need to besure that government captures the authentic details of transactionsmade with the citizen; and also that it presents accurate, reliable anduseful information in return. We need to be sure that all thisinformation is kept up-to-date, and for as long as it is needed; andthat the rights of privacy, confidentiality and security are all met.

The Lord Chancellor’s keynote address to theRecords Management in GovernmentConference, 24-25 October 2002

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the Freedom of Information Act. Government organisations are nowpreparing Publication Schemes under the Act. These Schemes set outwhat information each Department will make available to the publicon a routine basis, without waiting for a request to be received. If aclass of information is in a Department’s Publication Scheme, theDepartment will be under a statutory duty to make it availableaccording to the terms set out in the Scheme. Without excellentrecords management systems, Departments will have difficultymeeting the commitments in their Schemes.

A Department that continues to hold personal information beyond itsrightful use, because it does not have a robust mechanism fordisposing of it at the correct time, or for ‘retiring’ it for preservation atthe PRO or place of deposit – Ed, will fall foul of the Data ProtectionAct. You will all know of instances of this in the paper world.

Third, as we move steadily towards ‘joined-up’ government, there willbe much more sharing of records and other information acrossDepartmental boundaries. Agreements will need to be established toregulate this sharing, and careful management practices establishedto ensure that records are maintained and accessible for all thosewho need, and have the right to use, them, regardless of the area ofgovernment concerned.

More generally, it is the government’s aim to make the UK a leadingknowledge economy in the world; the availability of governmentinformation for reproduction and re-use is one element in achievingthis aim. Often, the source for this information will be the records thathave been generated and maintained in Departments, and, perhaps,made public through a Freedom of Information publication scheme.

Records as corporate memory

Records are also corporate information, vital for the success of anybusiness – the business of government included. As we move moreinto the electronic age, creating and using electronic records in placeof paper records, we must ensure that the information whichelectronic records contain is managed better than in the past.

When officials move posts within and between Departments, then,without proper management, the records on which they have beenworking are in danger of being lost to their successors. As a Minister,I know personally the importance of continuity over changes instaffing, so that the recommendations and results of earliersubmissions are available to those working on the issues of today.Every Department has to ensure that it has an effective collectivememory, and that depends on the quality and ready accessibility ofthe records it maintains, as well as the way in which records on thesame or related subjects are marshalled.

The collections of records held in departments and agencies are theaccumulated knowledge of governmental thinking and actions over

time, written down and made available to others for use today. Thiscorporate or collective memory is an essential support for effectiveevidence-based policy-making – ensuring that we can make the bestpolicies for today in the light of those that have worked well in the past.

Electronic records and services

The Office of the e-Envoy is leading a drive to put the UK online, toensure that the country, its people and its businesses derivemaximum benefit from the knowledge economy. By 2005, everyonewho wants to will be able to access the Internet, either from theirhome computers, or from the ‘People’s Network’ - the networkedcomputers available at public libraries and kiosks. In addition,government will be able to deliver services electronically, in acustomer-focussed way.

Already, businesses and citizens are able to communicateelectronically with government: finding answers to their questionsthrough information services on Internet web sites; and using onlineservices to initiate transactions and supply information to agenciesand departments. The latest UK Online report shows that over 50%of government services are now online. Many of the earlier examplesare information services: it is now possible, for example, to obtainauthoritative advice on health matters from NHS Direct Online; toobtain advice about employment law; and for parents to find outabout the performance of local schools.

Increasingly, transactional services are also becoming availableonline. In the Civil Courts, for example, you can now logon to asecure internet service, Money Claim Online, and issue a claim for upto £100,000. You can check the status of the claim online (forexample, has service been effected?) and then proceed to enterjudgment and issue enforcement by warrant of execution. All this,without setting foot in a court office, and at any time of the day.A Practice Direction under the Civil Procedure Rules supports thisinnovative service, and with ninety ‘e-claims’ being made per day, the‘virtual’ court is now our fifth highest issuer of money claims. Thesetransactions can be done by completing electronic rather than paperforms; and many more of these services will become available in thenext year or two.

Electronic records management underpins the delivery of theseelectronic government services. For information services, it is essentialfor Departments and agencies to keep track of the guidance whichthey make available to the public on their web sites, so that theyknow what advice was given and when. Transactional services, asthey become available to the public, will generate electronic recordsrather than paper records – and these will need to be managedelectronically. Unless government is able to retain these electronicrecords, and keep them organised and accessible for as long asneeded, both reliably and accurately, it will be hard to sustain, in thelong term, electronic services in which the public can have trust.

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If the public are to make use of these new kinds of services insignificant numbers, they must have trust and confidence in theservice as well as recognise its convenience; in particular, they mustbe assured that the information they supply will only be used forappropriate purposes, and be protected against misuse. Properelectronic records management does provide the policies, systems andprocedures that are the necessary basis for building public confidence.

A revolution for records management?

An integrated approach to electronic records must aim to managethem through their whole life, from creation through to final disposal.Departments will need to understand how they will use electronicrecords for their own work, and establish policies and rules for thevarious categories, to be sure that records needed in the future – forbusiness or historical reasons – are properly managed from the first.In doing so, Departments will need to take into account therequirements of privacy and openness, and the data sharing needs ofother parts of government.

Modernisation will also affect the management of records in the laterstages of their life. Not only will the processes be automated byelectronic transfer, cataloguing and storage but the selection of thehistorical record for the Archives needs to reflect the changing natureof society. As a multi-ethnic and multi-faith society, we need to be surethat the nation’s memory reflects all sections of the community, andgovernment’s dealings with them. The PRO, for example, will shortly beundertaking a study of the whole range of records produced whichdocument aspects of the life of an individual. From this study a draftconsultation document will be produced to invite views on which ofthose records should be selected for permanent preservation.

The greatest challenges will be in taking forward the changes inworking cultures and practices necessary to achieve all this. Insteadof being the province of a few specialist staff in a registry, normallyunseen and too often disregarded, the proper management ofrecords will be the responsibility of everyone in the organisation, tothe extent that they create or use them in their daily work. Thismeans that electronic records management must be properlyintegrated into the broader information and knowledge managementthat serve the business needs of Departments. We all create and userecords to help government to carry out its daily business.

2004 target for ERM

How can we make these changes come about? The ModernisingGovernment White Paper set a target date of 2004 for governmentdepartments to be able to store and retrieve their newly createdrecords electronically. This fits in well with the implementation dateof 2005 for the Freedom of Information Act and the target date forelectronic services, also in 2005. Achievement of this 2004 target willbe the platform from which the long-term benefits of electronicrecords management will spring.

Closing remarks

It is clear that across government much work is being done to get togrips with these challenges. And the 2004 target date is only astaging post, not a finishing post. For putting electronic recordsmanagement to ever more practical use across government is acontinuing process, underpinning ever improving public services -electronic services that will have the confidence of everyone becauseof their reliability and integrity. The legislative and policy frameworkfor records and information will also continue to evolve and I havealready set in motion a review of records and archives legislation.

I recognise that you all, as records and information managers, nowhave greatly expanded roles to play in this transformation. Politiciansoften claim, of this or that, that now is a time of great opportunityand challenge. It happens to be true of records management, wherewe can change the way government works – for the better and forthe record.

Lord IrvineLord Chancellor of the United Kingdom

You can see a video of the Lord Chancellor's speech on the PRO website at: www.pro.gov.uk/recordsmanagement/rmg-conference/speech.htm

A reminder: Return of Records andinformation management in localauthorities questionnaires

The Archive Inspection Services Unit sent out the above questionnaireon 29 August 2002 to all the local authority places of deposit. Todate, we have received approximately 70% of responses from ourrequest to return the questionnaires but urgently require the return ofthose that remain. This will allow the PRO to ascertain the fullestpicture of where responsibilities lie for records and informationmanagement in local authorities. Further, it will enable us to focusour attention and advice on local authority records and informationmanagement more effectively. If you have not returned yourquestionnaire we politely request that you do try to at your earliestconvenience. Please send your questionnaires to Steven Jones, PublicRecord Office, Records Management Department, Ruskin Avenue,Kew, Richmond, Surrey TW9 4DU.

Standards and guidancewww.pro.gov.uk/archives/standards/default.htmThis page contains information for archivists on preservation andstorage, records management, access to records, cataloguing,copyright and links to other useful webpages.

There is also a new page which lists the existing guidance circularsavailable for specific types of public records such as Magistrates’Courts and Petty Sessions, Coroners’ records, NHS authorities, trustsand hospitals, and prison records. Several of these guidancedocuments are available online, and links are provided. We hope toput more of them online in future.

You will also be able to access online issues of this bulletin.

Lottery Advisory Servicewww.pro.gov.uk/archives/lottery/default.htmThis page contains an introduction to the Service, a guide onfundraising for archives, information on lottery workshops andcontact details for the Archive Lottery Advisor.

Public Services Quality Groupwww.pro.gov.uk/archives/psqg/default.htmThese pages now contain up to date information about the Group,the Steering Group, Steering Group minutes, results from the Surveyof Visitors to British Archives and information about the DraftNational Standard for Access to Archives (including a copy of thetext). The pages also contain information on the Annual QualityForum, and we hope to include speakers’ presentations and othernotes in due course.

Watch this space for more updates!

Catherine RedfernPRO Archive Inspection Officer

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New information on PRO web site for archivistshttp://www.pro.gov.uk/archives

The ‘archives’ section of the PRO web site has been recently updatedand revised. It includes information of interest to places of depositand includes new content specifically aimed at archivists workingwith public records. The pages include the following sections:

A2A (Access to Archives)www.pro.gov.uk/archives/a2a/default.htmThese pages are provided for archivists and others who arecontributing catalogues to the A2A database, and for those seekingdetailed information on the A2A programme. They containinformation about A2A, training, funding, project planning andmanagement, news, standards and guidelines for contributors anduseful links.

Archives Policy and Legislationwww.pro.gov.uk/archives/archivepolicy/default.htmThese pages contain information on the Public Records Acts(including links to the full text of the Acts), the Inter-DepartmentalArchives Committee, the PRO’s acquisition and disposition policies,the Government Policy on Archives and the Government Policy onArchives Action Plan.

Mapping Projectswww.pro.gov.uk/archives/map/default.htmHere you will find summaries and full reports from the English andWelsh Mapping Projects, and links to the Missing Link and theArchival Account of Scotland survey reports.

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laces of deposit for public records are encouraged to make fulluse of the services offered by their Regional ArchiveDevelopment Officers, or RADOs as they have become known.

These individuals carry out important regional duties incommunicating and implementing national archival policies toregional archives and by coordinating and promoting opportunitiesto develop regional services and facilities, invariably throughpartnership projects. Their main role is to facilitate theimplementation of their respective Regional Archive Council’s annualbusiness plans that are, in turn, based upon the Government Policyon Archives. After April 2003, these officers, or their successors, willincreasingly work closely with colleagues from the museums andlibraries domains to establish single cross-sectoral joint regionalagencies for archives, libraries and museums.

The RADOs report to the Archive Development Officer for the Regions(ADOR) whose overall responsibility is to facilitate and oversee thedevelopment of the nine Regional Archives Councils in England and toact as a link between the Regional Archive Councils and stakeholderorganisations at a national and regional level. Dawn Routledge hadrecently filled this post but it is currently being re-advertised.

Wales

The Welsh Assembly Government has given the archive domain inWales funding for an Archive Development Officer for up to twelvemonths. Adverts for the post will be appearing shortly and moreinformation about the post and/or the position of the domain inWales may be obtained from Mary Ellis, Chair, Archives CouncilWales, (mye@aber.ac.uk) or from Susan Edwards (Vice-Chair) atEdwardsS@Cardiff.ac.uk.

National andRegional ArchiveDevelopmentOfficer contactdetails

North West

Janice TaylorRegional Archives DevelopmentOfficerThe North West MuseumsServiceGriffin LodgeCavendish PlaceBlackburnBB2 2PN

Tel: 01254 670211Email:janicet@nwms.demon.co.ukWeb site: www.northwest-archives.org.uk.

North East

Jill DixonRegional Archive DevelopmentOfficerNorth East Museums, Librariesand Archives Council (NEMLAC)House of RecoveryBath LaneNewcastle upon TyneNE4 5SQ

Tel: 0191 222 1661Fax: 0191 261 4725Web site: www.nemlac.co.uk

Yorkshire

Claire DysonRegional Archive DevelopmentOfficerC/o Yorkshire Museums CouncilFarnley HallHall LaneLeedsLS12 5HA

Tel: 0113 263 8909

West Midlands

Philip KiberdRegional Archive developmentOfficerC/o West Midlands RegionalMuseums CouncilHanbury RoadStoke PriorBromsgroveB60 4AD

Tel: 01527 872258Mobile: 0787 6543877Email: kiberd@wm-museums.co.uk.

East Midlands

RADO position vacant atpresent. All regional enquiriesshould be forwarded to:

Carl HarrisonRecord Office for Leicestershire,Leicester & RutlandLong StreetWigston MagnaLeicesterLE18 2AH

Tel: 0116 257 1080Email: CHarrison@leics.gov.uk.Web site: www.eastmidland-sarchives.org.uk

East of England

Dr Gordon ChancellorRegional Archive DevelopmentOfficerC/o Museum Service of England(Muse)Manor House Museum5 Honey HillBury St. EdmundsIP33 1RT

Tel: 01284 723100 / 720138Email:gordonc.muse@eidosnet.co.ukFax: 01284 701394

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The contact details for English RADOs are as follows.

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South East

Simon BennetSouth East Museums,Libraries and Archives Council(SEMLAC)15, City Business CentreHyde StreetWinchester,Hants SO23 7TA

Tel 01962 858844Email: simonb@semlac.org.ukFax 01962 878439

London

Emma HalsallArchives Development OfficerLondon Archives RegionalCouncilC/o London Museums AgencyCloister Court22-26 Farringdon LaneLondonEC1R 3AJ

Tel: 020 7549 1704Email:Emma.Halsall@londonmuseums.org

South West

Rachael PringleRegional Archives DevelopmentOfficerSouth West Museums, Libraries and Archives Council (SWMLAC)Creech CastleBathpooleTauntonTA1 2DX

Tel: 01823 259696Email:rachaelpringle@swmlac.org.uk

After April 2003 some of the above details are likely to change as a result of the increasing introduction ofsingle regional agencies for museums, libraries and archives. Beyond the PRO will keep you updated assoon as any significant changes occur.

English regional archive development officer areas and Wales

North West

Wales

West Midlands

South West

London

South East

East of England

Yorkshire(Including Humberside)

North East

East Midlands

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ast year this Bulletin included a short article setting out tensteps to success in implementing the Freedom of InformationAct (FOIA). This article revisits, revises and expands them into a

checklist of things to be done and issues to be tackled by recordoffices between now and 1 January 2005.

1. Planning and monitoringBy now you have probably set up an implementation project,appointed a project manager and have a project plan in place,together with arrangements to monitor progress against targets.If not, start now. This is a discrete project that requires managementattention, resources, and the techniques of project management.

2. Publication Scheme The scheme in which you feature has probably already beensubmitted to the Information Commissioner for approval. If not, makea last minute check of the classes to ensure that:

• you are not inadvertently promising to release information thatshould be withheld, such as personal information

• you have identified clearly anything for which a charge will apply

As D-Day (ie the date on which your scheme becomes operational)approaches, make time to check that:

• all the information in each class is available and, if the schemeis on your web site, web links work (it would be prudent to plana regular audit thereafter – perhaps quarterly)

• you have administrative mechanisms in place for future release ofinformation – avoid relying on the presence or memory of oneindividual

• you have complaints procedures in place and published (seeparagraph 52 of the section 45 Code of Practice, noted below)

• any member of staff who might receive enquiries about thescheme has been briefed

3. Records managementThe section 46 Records Management Code has now been issuedalthough the enforcement provisions are not expected to apply untilcloser to January 2005. The Code can be seen on the LordChancellor’s Department web site. Model action plans have beenprepared for different sectors and are available from or through thePRO web site (see below). If you have not already done it, audit yourrecords management against the Code and develop your own actionplan to reach conformance by January 2005. The Code is at www.www.lcd.gov.uk/foi/codesprac.htm. For the model action plans seewww.pro.gov.uk/recordsmanagement/access/default.htm.

Consider also the documents you create and whether policies,briefings, minutes of meetings etc are constructed in a FOI-friendlyway. For example, do they separate releasable information frominformation subject to an exemption?

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4. Identify archives covered by the FOI Act and who will beresponsible for responding to requests for informationThere are two issues here:

• determining which archives of private origin will be subject toFOI (those owned by you or by your parent authority) and whichwill not (those which are held on loan or deposit) and ensuringthat people who might make a request for information areaware of the distinction

• determining how requests for information will be handled whenthey relate to the archives of other public authorities that youhold on their behalf rather than in your own right. Publicrecords are an obvious example of this. You hold them on behalfof the Lord Chancellor who expects the PRO to ensure suitablearrangements are in place for responding to requests forinformation relating to them, including requests for closedpublic records. Steven Jones (Head of Archive InspectionServices) will be working with you on this. Another example isthe archives of a district council held by a county record office.They are held on behalf of that district council which will needto agree with the record office the role it is expected to play insupporting the district council’s FOI obligations.

5. Procedures for responding to requests for information The section 45 Code, which sets out how authorities should respondto requests for information, has also been issued and can be foundwith the section 46 Code on the above web site. Look at your presentenquiry procedures to see what changes you need to make to conformto the Code. Remember that conformance to this Code is deemed tobe meeting the duty at section 16 to provide advice and assistance.

Things to look at in particular are:

• meeting statutory deadlines (see paragraphs 17-18). Do you needa logging and tracking system that can be used to recordreceipt of requests, monitor progress in dealing with them, warnwhen the deadline is getting close and note the outcome? Thiscould be a simple spreadsheet or a workflow system butremember that it needs to be able to accommodate differentstatutory deadlines - FOI requires an initial response within 20days but days between issuing a Fees Notice and receiving themoney are not counted, while with Environmental Informationrequests the clock does not stop.

• transferring requests where the information is held by anotherauthority (see paragraphs 21-30). Note that the Code now saysthat a request should not be transferred without confirming thatthe other authority holds the information. This makes it morelikely that you will refer the applicant to the other authorityinstead of forwarding the request

• setting fees and issuing fees notices (paragraphs 19-20). The FOIFees Regulations will apply to requests for information unlessyou have an alternative statutory fee-setting regime you can use

instead. The Fees Regulations allow you to recover only 10% ofthe cost of finding the information. It would be prudent to dosome work now on establishing the cost of dealing withstandard enquiries so that estimates can be prepared moreeasily and you have a sound basis for your fees if challenged bythe Information Commissioner.

• refusing requests (paragraphs 50-51). FOIA Section 17 specifiesthe information a refusal should contain. It would be sensible todevelop a range of stock letters and paragraphs for use by staffin particular circumstances so as to avoid inadvertent omissionof information

• handling complaints (paragraphs 52-63). The Code requiresauthorities to have in place and to publish procedures fordealing with complaints, covering both non-release ofinformation promised in publication schemes from the time yourscheme comes into operation, and the handling of requests forinformation from January 2005.

• keeping records of requests received and how they have beenhandled. You will need to do this in order to provide statisticsand for reference in the event of complaints to you or theInformation Commissioner

Note that paragraph 6 of the Code says that your procedures shouldbe published. Note also that a separate Code is expected to be issuedunder the forthcoming Environmental Information Regulations (EIRs)that will apply to all requests for environmental information. You willneed to review procedures against it too, bearing in mind that unlikeFOI requests for information, environmental information requestsneed not be in writing.

6. Procedures for deciding to disclose or withhold informationIt is likely that some requests will relate to archives that have not yetbeen opened. You will need to identify the people who will beresponsible for making disclosure decisions and put in placeprocedures that include, for example:

• guidance on how to apply exemptions and make public interestdecisions. Note that PRO intends to revise its Access Manual togive guidance on the release of public records under FOI

• when and how to consult third parties – see paragraphs 31-40of the section 45 Code. These third parties could be depositors -something to discuss at the time of transfer – or others whomight be affected by disclosure. Particular arrangements willapply to public records that have not yet been opened becauseof the way in which decision-making responsibilities have beenassigned in FOIA section 66. Steven Jones will be working withyou on this too.

• what information to keep about the exemptions that apply toparticular records and why they apply. This information will beneeded in the event of a complaint to you or the InformationCommissioner and also if you receive another request for thesame records.

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7. Archives transfer procedures Part II of the section 46 Code sets out special arrangements for thetransfer of public records to PRO and places of deposit for publicrecords. It provides for departments, courts etc to identify at the timeof transfer which exemptions apply, if any, and when they will expireor should be reviewed. Steven Jones will be doing further work withyou on this. You might like to consider putting in place similararrangements for the transfer of other records that will be subject tothe FOI Act.

8. Training Every letter, fax or email received by the office or any of its staff ispotentially an FOI request for information (or a request under theEIRs) and will need handling as such right from the start, while anyphone call could be a request under the EIRs. This means that everymember of staff will need basic awareness training. Those who willhave particular responsibilities, such as making disclosure decisions,will need additional, more specialised training. The specialisedtraining can wait until 2004 but think about arranging some basicawareness training to coincide with launch of your publicationscheme and also about including FOI in standard induction trainingfor new staff.

9. Publicity and guidance material for the public The more guidance you give the public on how they should make FOIrequests and what response they can expect, the better you canmanage their expectations and the better they are likely to frametheir requests for information. Think about:

• pre-implementation publicity

• web site guidance and leaflets explaining how to submitrequests

• web site request forms – you cannot enforce their use butpotential applicants may find a well-designed form convenient touse and you may find requests using these forms easier to handle

10. Procurement policies conforming to the s 45 codeThe section 45 Code gives clear guidance on making contracts FOI-friendly by keeping non-disclosure contractual terms to the minimum(see paragraphs 41-46). Bear this in mind when awarding contracts,and make sure others in your authority who get involved in contractsare aware of this provision.

Susan HealyHead of Information Legislation Unitsusan.healy@pro.gov.uk

United KingdomAtomic EnergyAuthority opens anew Archive Centre

n the September 2002 edition of Beyond the PRO we encouragedplaces of deposit to submit details to us about significantimprovements to their access services and facilities. We would also

be very interested to hear of any notable initiatives that significantlyimprove the quality of services at places of deposit, includingeducation, social inclusion and anything that really makes a differenceto the customers. In this edition, improvements in preservationfacilities are highlighted. Below, Sue Connell, Archivist for the UnitedKingdom Atomic Energy Authority (UKAEA), has some exciting newsabout the recently completed facilities at her organisation.

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‘Going boldly into a new business venture, UKAEA has openeda £1.5 million Archive Centre. With the words, “I salute yourinitiative. I congratulate you on your achievement,” MikeMarsh, Chairman of the Records Management Society of GreatBritain and archivist for AstraZeneca, officially opened thepurpose-designed storage facility at Building 404, on theHarwell site’

The nuclear industry is probably the most heavily regulated sector inthe world. Like most other businesses, UKAEA relies heavily oninformation technology but has a huge legacy of paper-based records.Its record managers must ensure that a wide variety of information,much of it relating to the decommissioning of sensitive operations,remains useable for many decades into the future. Managing the risksassociated with the long-term storage of these vital (multi-media)records presents a real challenge. To meet this challenge, UKAEA hasinvested in a new state-of-the-art facility at Harwell.

John Evans, UKAEA’s Project Manager, explained that the repository isnot just an open storage area. “It is a fully designed and engineeredfacility offering the stable conditions, cool atmosphere and low relativehumidity that paper documents need to survive intact for long periods.It boasts 8km of shelf space, a temperature and humidity-controlledenvironment, and the latest search and retrieval procedures.”

Everything from the building’s air conditioning and sprinkler systemsto the carpets and paint were chosen with care and in compliancewith the exacting requirements of the latest version of BS5454, thenational standard for archival documents. Even the floor wasreinforced to carry the weight of 400 tonnes of stored material, themobile racking’s fully laden capacity.

As well as the potential to store 42,000 boxes of paper archives, theImaging Resource Centre houses over a million negatives, 40,000photographic slides and hundreds of miles of film and video, chartingUKAEA’s history from 1946 to the present day. It also containsimages dating back to the 1930s and the Second World War, whenHarwell was an RAF base. UKAEA are delighted that the PRO hasrecently recommended the photographic and film archive as a Placeof Deposit for public records.’

For more information about the new facilities at UKAEA pleasecontact sue.connell@ukaea.org.uk

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Above: UKAEA new storage facility, Building 404

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UCL Hospitals NHSTrust Archive moves toa new repository

new repository has been established at UCL Hospitals NHSTrust for the storage of its archives. This is a majordevelopment at the Trust, which had retained a large

proportion of its archives within the organisation for many years buthad not invested in a professional archivist or suitable storagefacilities. The records had survived somewhat unevenly in variouslocations around the Trust, which includes buildings stretching acrossMarylebone and Bloomsbury. They had been gathered together andprotected by volunteers and interested individuals to a more or lessformal degree over many years.

In February 2001, when I arrived at the Trust, the opinion wasprevalent within the organisation that the remaining archives shouldbe retained rather than transferred to an existing place of deposit.However, there was little awareness about what would be involved inthis: the expectation was that I would appraise all the archives andartefacts and retain only a selection of items in order to set up a‘museum’. The existing storage conditions were causing significantand rapid deterioration to the records and there was an immediatechoice facing the organisation to establish acceptable storagefacilities or to transfer all the records to the local places of deposit.

Once I communicated this to the Trust, the local goodwill towards thearchives proved in the end to be crucial, as did support for myargument from the PRO. I highlighted the fact that the archivesincluded a significant proportion of public records, and that theirstorage conditions fell well below an acceptable minimum standard,and there was immediate agreement that new storage space shouldbe identified.

The refurbishment of the space identified was undertaken by theTrust, and new shelving purchased by the Charity for the UCLHospitals, who had originally funded the appointment of an archivist.The final result is effectively a first step towards suitableaccommodation, rather than the ideal solution. However, it hasaddressed the first priority, which was to bring all the archives withinone recognisable repository and under the sole control of aprofessional archivist. It is now possible for the records to be sorted,catalogued and promoted to users, and it is also possible to allowcontrolled and supervised access to users. The existence of thecollections has also been publicised within both the PRO and thewider archival community

The new University College London Hospital Archive is now locatedat the Vezey Strong Wing, 112 Hampstead Road, London, NW1 2LT.

Libby AdamsArchivistlibby.adams@uclh.org.uk

Hospital PatientCase Records:a guide to theirretention anddisposalRevised version now available

Hospital Patient Case Records: A Guide to Their Retention andDisposal by Hamish Maxwell-Stewart, Julia Sheppard and GeoffreyYeo, originally produced by the Health Archives Group in 1996, hasbeen recently revised and updated and is now available online athttp://www.pro.gov.uk/archives/standards/hospitalrecords.htm The guidance contains useful and easy to understand advice ondefining ‘hospital patient case records’, retention criteria,preservation options, keeping records in their original format orconverting them to a different medium, selecting original materialfor retention, sampling, and destruction. It will be of interest toanyone dealing with health records. This revision has been updatedto reflect legislative and technological developments over the lastsix years. Some advice on sources of information on electronicrecords management is included but, although electronic recordsare playing an increasingly large role in the delivery of health care,they do not provide a panacea to solve all storage and retentionproblems of the patient health record. In this guide they areconsidered as an additional format to be considered in theappraisal and selection of patient health records. The focus of theoriginal manual was on methods to reduce the physical bulk ofpatient health records for long-term preservation and much of thisguidance remains valid. The online version should be referred to,but if this is not possible print-outs and electronic copies can beobtained from Archive Inspection Services or libby.adams@uclh.org

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uring September 2002, the PRO held its annual open day,whereby staff areas of the Office that are usually hidden awayare opened to the public. One of the most consistent ‘crowd-

pulling’ attractions during these annual events is the work of theConservation Department. In the following, Mario Aleppo (Head ofthe PRO Conservation Department) provides an overview of the roleand work of the PRO Conservation Department.

‘The primary responsibility of the Public Record Office’s Conservationdepartment is to preserve and conserve the records requiringtreatment for their continued existence and use.

The department, which consists of thirty-two members of staff, fulfilsthis function in two ways. First it provides preservation advice andtraining, which is sometimes referred to as ‘non-intervention’ andsecond it carries out various ‘active’ conservation treatment on thoserecords in need of attention.

Archive and library materials are at risk due to their unique natureand the fact they are handled by the general public. The increase indemand, particularly over the last twenty years, has lead toadditional and unwelcome wear and tear on those documents, someof which are already inherently unstable due to their chemical orphysical make-up. Documents of the nineteenth and twentiethcentury are particularly affected by these factors and are thereforemore prone to decay and vulnerable to handling and storage.

During the nineteenth and twentieth century significant social andeconomic events took place that resulted in much of the poor quality

paper we have been left withtoday. The increase in demandcreated by the introduction of theprinting press in 1450, and theincrease in population, stimulatedpapermakers to look for ways ofmechanising and increasing theproduction of paper. Indeed inEngland between 1666–1814 theraw materials for making paper,cotton and linen rags, became somuch in demand that the Buryingin Wool Act was introduced. Underthis act it became a penal offenceto bury a corpse in anything otherthan wool.

The two main factors which lead to this decline in the quality of paperwere the introduction of alum-rosin size in 1807, which wasincorporated to produce a better writing and printing surface, and theuse of wood-pulp, around 1850, as a substitute for cotton and linen.Both of these factors, which are highly acidic, had a most disastrouseffect on the quality of paper which unfortunately curators, librariansand conservators will continue to battle with for many years to come.

The activities of preservation include providing training and advice tothose departments within the Public Record Office1 and to otherdepartments in government. This advice and training includeshighlighting the importance of maintaining the correct temperatureand humidity for document storage, boxing, transporting and bestpractice for safe handling when the document is being consulted.This last point of providing information about the benefits of safehandling includes the use of preservation equipment, i.e. supports,weights etc. This is seen as being of particular importance given thecurrent demand by our readers. These measures combined with adisaster recovery plan forms a significant part of the Office’spreservation policy.

The work of carrying out physical treatment on those records alreadyin various stages of decay is carried out in one of the department’sfive sections. These sections manuscripts, maps/plans, seals, bindingsand photographs, reflect the main holdings of the office.

1 The government has announced that as from the 1st April 2003 the Public RecordOffice and the Historical Manuscripts Commission will be brought together to forma new body, The National Archives.

Preserving the nation’s memory: the PublicRecord Office Conservation Department

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continued...Above: Conservation bindery – display of volumes illustratingdifferent stages of repair and the techniques employedAbove right: Conservation Disaster Planning: display of protectiveclothing, materials and procedures in the event of an emergency fromfire or flood, etc

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Each team of conservators in each section carries out treatment inaccordance with agreed national and international ethics andstandards. The ethics include:

• ensuring no treatment alters the integrity of the record

• repairs must be unmistakably evident

• repair methods must be reversible.

Physical treatment is either carried out using tried and tested methodsand/or to national standards e.g. British Standard 4971 ‘Repair andAllied Processes for the Conservation of Documents’, 2001Given the quantity of the office’s holdings, approximately 167kilometres, the question often asked is ‘how do you decided whichdocuments to conserve. The simple answer to what appears to be acomplex question is prioritisation. Although there are always reasonswhy some documents should take precedence over others, ultimatelya decision has to be made in line with the Office’s strategicobjectives and within existing resources. Therefore our current policywhen deciding which document to conserve is primarily dependent

on whether it falls into one or more of our priority categories. Theseare ‘demand’, ‘unfit to be made available’ and ‘records of intrinsicvalue’. The information on which records form these categories ismainly drawn from the Office’s main computer system DORIS(Document Ordering Requisitioning Information System).

For obvious reasons the demand or the likely demand for a record, ifit is currently withdrawn from use due to its physical condition, isoften the deciding factor, however priority treatment is also given tothose in the third category which are those identified as being ofsignificant historical or monetary value.

In conclusion, the work of preserving/conserving archives isinteresting, challenging and vital if our nation’s memory is to survive.’

1. Conservation Wet Lab – showing a stack of completed documentsrepaired by the Leaf-Cast process

2. Conservation of Seals: display of materials and tools

3. Conservation Manuscript Section: Conservation of parchmentdocuments using repair parchment with gelatine as the adhesive

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he new leaflet in the National Preservation OfficesPreservation Guidance Series - Occasional Papers - isManaging the Preservation of Library and Archive Collections in

Historic Buildings (ISBN 071234800X).

The publication is based on the findings of a research project carriedout between 1999 and 2000. Its aim was to identify problems ofpreservation management in UK library and archive collectionshoused in historic buildings. Through a survey of almost fifty Britishlibraries and archives, the project examined the preservation issuesthat arise when collections are housed in pre-1900 buildings.Solutions found to be effective by librarians and archivistsinterviewed during the survey were recorded, with a view to widerdissemination of good practice.

The survey has found many examples of collections whosepreservation needs have been neglected over the years. Their curatorsrated the condition of 40% of the library and archive collections seenas poor or very poor (at or below 5 on a scale of 1-10). Even inlibraries and archives rated as in generally good condition, parts ofthe collections gave serious cause for concern.

The project was carried out in the School of Library, Archive andInformation Studies, University College London and funded byResource: The Council for Museums, Archives and Libraries.

This leaflet is available free from the NPO in hard copy (emailnpo@bl.uk) or as a downloadable file from the NPO web site(www.bl.uk/npo/ and following the link to publications).

National Preservation Office

Managing the Preservation ofLibrary and Archive Collections in Historic Buildings

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any places of deposit, especially those that hold militarypublic records, will be interested to hear news of the launchof the Pathways to the Past online exhibition on the First

World War on 11 November 2002. This Pathways to the Pastexhibition makes available an online selection of unique and richlyvaried source material on the First World War, set in its historicalcontext. It provides resources for a wide variety of adult learners inthe field of modern history.

This Pathways project was carried out in partnership with theImperial War Museum and the New Opportunities Fund. The sourcesfor the First World War held by the Public Record Office and theImperial War Museum offer richly varied insights into all aspects ofwhat H G Wells called ‘the war that will end war’. By making aselection of these records available online for the first time, thisexhibition provides a valuable research tool for all those interestedin modern history – including anyone tracing military records ofancestors who served in the First World War or researchingcontroversies relating to the conflict.

Beyond that, it aims to create a wider understanding of the globalnature of the war and its consequences, which in areas such as theBalkans and Palestine are still being felt today.

The themes that are examined in the online exhibition are:

The First World War 1914-18. This presents an overview of the Warhow the dangerous trends towards war developed and how itstarted, the ‘over by Christmas’ wishful thinking, the Germanascendancy of 1915, the stalemate and change experienced between1916-17 and the final stages of the conflict from 1917-18.

Britain and the War, examining recruitment and the mass-conscription that followed during the Great War, anti-war opinions,espionage, the home front, and the effect of the War and change onBritish Society.

The Military Conflict, 1914-18. This summarises the main actionsand offensives during the conflict. Trench warfare, the war at sea, warin the skies, the war elsewhere in Europe and beyond.

Service Records of Armed Servicemen and Servicewomen.This briefly discusses the issue of the preservation of these records atthe PRO. The section includes examples of service records (includingsome famous historical figures) for different ranks in the Army, Navy,Royal Air Force and the Women’s’ Army Auxiliary Corps. It alsotouches upon the darker side of military discipline: the records of theexecution of an officer for desertion. The PRO with the assistance ofthe Genealogical Society of Utah and the Heritage Lottery Fund hasnow completed the microfilming of the service records ofapproximately two million British Army soldiers that were containedin approximately 33,000 boxes. These records are located in the PROseries WO 363 and WO 364.

Aftermath. This analyses the quest for peace, the costs of war,Britain after the Great War, The effect of the War on the BritishEmpire, the legacy of the War outside the British Empire andremembering the First World War.

Selected digital moving pictures, photographs and documents fromthe collections of the PRO and the Imperial War Museumcomplement all of the above themes. An online Document Packssection also provides digital images on the Origins of the First WorldWar, Women and the First World War and the Eastern Front 1914-17.If you would like to see the online exhibition it can be located athttp://www.pro.gov.uk/pathways/firstworldwar/index.htm .

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Pathways to the Past:The First World War – sources for history

Right: Government public warning poster on air raids,PRO reference MEPO 2/1621 (1915)

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Contacting us

Steven JonesHead of Archive Inspection Services Unit

Tel: 020 8392 5318steven.jones@pro.gov.uk

Rod Ward-HornerArchive Inspection Officer

Tel: 020 8392 5330 ext. 2751rod.ward-horner@pro.gov.uk

Catherine RedfernArchive Inspection Officer

Tel: 020 8392 5330 ext. 2354catherine.redfern@pro.gov.uk

Archive Inspection Services UnitRecords Management DepartmentPublic Record OfficeKewRichmondSurreyTW4 9DU

Fax: 020 8392 5283Web site: www.pro.gov.uk