Guidance for managing your records effectively (4)

(1)

LINCOLNSHIRE COUNTY COUNCIL

Information Governance

Guidance for managing your records effectively (4)

Document reference: IG.004 Operational date: June 2011

Policy prepared by: Christopher Johnson Policy approved by:

(2)

Version 2.0 www.lincolnshire.gov.uk/informationgovernance LINCOLNSHIRE COUNTY COUNCIL

Guidance for managing your records effectively (4) Standards for the storage of paper records

Lincolnshire County Council is introducing a range of procedures designed to encourage best practice in records management. The standards listed below describe the best methods of storing and managing records on a short/medium/long term basis. Some variations in practice are needed because of the differing requirements of the material. The long term standards are based on the nationally-approved BS 5454. Whilst it is impractical to enforce these standards rigidly, they are to be used as a benchmark. Records accommodation which is seen to be markedly sub-standard should be considered for replacement or renovation.

A. Short-term retention (records retained for 0-7 years)

This category covers records from the point of creation, and includes many of the standard record series to be found in most offices, e.g. general correspondence and financial records. The standards are to be treated as a benchmark for office practice.

[Note: should be = permissive; must be = mandatory]. Accommodation

Location

1. Records in frequent use should be retained for instant access in the office, unless pressure on space forces a move to nearby storage. Bear in mind the time taken to retrieve the records when planning on-site storage accommodation or considering the off-site alternative.

2. Records not in current usage but still required for retention should be stored away from the office as soon as it is practical, with the proviso that any item when requested should be capable of being located and produced for consultation within 24 hours (less in certain cases).

3. The building in which records are stored should be of solid construction, weatherproof and not subject to rapid variations in temperature and humidity. It should be kept clean. 4. If basement storage space is used, the walls, floor and ceiling must be checked regularly

for signs of dampness. In the case of any room being subject to seasonal or occasional flooding, records must be evacuated to alternative storage, and the Information and Records Manager consulted.

Ventilation

1. Storage rooms should be capable of ventilation in order to avoid extremes of heat and cold.

2. Windows and doors should not be kept open when no member of staff is on hand to supervise.

Lighting

1. Windows should be weatherproof, but preferably shaded or blacked out. For further assurance against harmful light exposure, UV film may be put on the windows.

2. Fluorescent lights in storage areas may be covered with UV diffusers, to reduce exposure to light radiation, which is harmful to paper documents over time.

(3)

Version 2.0 www.lincolnshire.gov.uk/informationgovernance Storage of Paper Records (A contd.)

3. Lighting levels should not be so low as to prevent easy identification of markings on boxes or files.

Heating

1. Heating in record storage areas must not be by open fire or stove. Radiant heaters (gas/electric/paraffin) are not recommended. Oil filled radiators are also risky. Radiators are the best form of heating, if and when this is required (see under Temperature, below).

2. Radiators and pipework must not be allowed to leak, and should be monitored.

Temperature

1. In storage areas this should ideally not vary by more than 10 degrees C in any 24 hour period. Recommended level is between 13-22 deg. C. Variations will cause deterioration in paper over time. Rapid variation is most destructive.

2. If storage room temperatures fall below 10 deg. C or rise above 25 deg. C and remain low or high, measures must be taken to stabilise the environment.

Humidity

1. Recommended levels are between 40 and 65 % RH. The area should not feel extremes of dampness or dryness.

2. The taking and recording of regular temperature/humidity readings is an optional extra for this category of storage.

Fire

1. All risk of fire must be avoided. The fire resistance level of all parts of the building should be 2 hours minimum, and under no circumstances should this be below one hour.

2. Smoke and fire alarms must be fitted and regularly tested. These should be audible in each storage area.

3. Electric wiring should be encased in conduits.

4. Fire extinguishers should be readily available nearby. 5. The use of ‘gas drops’ (e.g. Halon systems) is discouraged.

Water

1. It is strongly recommended that there should be no overhead water pipes in any records storage area

2. To reduce the risk of water damage (whether from burst pipes or natural ingress, e.g. a spring) all records must be stored at least 50 mm above ground level.

3. Do not leave any documents, whether in boxes or loose, directly on basement floors.

Security

1. Storage rooms must be kept locked when not in use.

2. Access must only be given by the custodian of the record series, and must follow the appropriate guidelines (to be issued separately).

(4)

Infestation

1. Any infestation of record storage by silverfish, woodlice, similar insects, or by rodents, must be remedied by the means appropriate to the species. Records will be at risk unless action is taken.

2. The presence of any of these unwelcome visitors is often a sign of other environmental problems, e.g. dampness or the availability of food. These must be investigated.

Equipment

Shelving

1. Records within this category which are still in regular use are best kept in filing cabinets or lateral filing systems, which offer more storage per square metre of floor space.

2. Records which are used less often may be stored in file boxes on shelving systems, to save space.

3. Shelving (Dexion style angle-iron, or of similar construction) should be strong enough to support the desired weight of boxed records. The floor should also be assessed for loading purposes (refer to BS 6399-1).

4. Suitable means of gaining access to upper shelving levels must be provided. Health and Safety and Manual Handling regulations apply to this. Store bulky or heavy items on the lower shelves.

5. Where the volume of stored material justifies the expenditure, the use of mobile shelving may be indicated; this gives more storage per sq. metre of floor space than static shelving.

Boxes

1. For short-term retention purposes, file transfer cases or ‘bankers boxes’ are sufficient. Records, e.g. lever arch files and ring binders should not be allowed to be kept loose on open shelves.

2. Labelling should be sufficient to enable identification by staff of the contents, and must include a clear indication of future disposal actions, e.g. “Destroy Jan 2009”

3. Felt tip pen or other indelible marker should be used to write on boxes where this is necessary. Biro and pencil markings will fade in time.

Trolleys

1. For movement between store and office, a suitable trolley should be provided to minimise the health and safety risk of carrying heavy loads.

Furniture

1. In stores where files frequently need to be consulted or rearranged, a chair and table or other suitable work surface should be provided.

Arrangement of files

1. Storage of paper records should always be tidy, and designed so as to reflect the chronological or alphabetical arrangement of the contents.

2. The manner and order in which files and boxes are stored should also reflect the business classification scheme being introduced for records management purposes.

(5)

3. Individual files within a chronological series should contain no more than 5 years’ documentation. This will facilitate disposal actions.

4. If major changes are planned to record stores, or if it is planned to transfer records from one area to another, the Information Governance Team must be informed. Retention and disposal schedules will require alteration.

Access

1. All usage and movement of files from storage must be registered. This is also to be the subject of further guidance notes.

2. For the convenience of staff, a shelf or room guide should be prepared, to show the location of each record series.

Business Continuity

1. The store should display a list of relevant contacts in case of disaster or emergency. 2. Consideration should be given to providing an emergency kit in main record stores. This

should contain plastic sheeting, plastic bags and labels, torches and batteries, buckets, mops, and protective clothing.

3. If flooding occurs, the Information Governance Team must be contacted immediately. LCC has an arrangement with a company to put water-damaged records into deep freeze, followed by conservation measures. Wet or fire-damaged records should be immediately segregated, and placed in airtight plastic bags to await removal.

(6)

Version 2.0 www.lincolnshire.gov.uk/informationgovernance Storage of Paper Records (contd.)

B. Medium-term retention (records retained for 8-20 years)

In some ways this class is difficult to treat, as some record series in this category are frequently consulted, while others may remain inactive for many years. Standards here are based on the need for a higher quality of storage for records which have to last longer.

Accommodation

Location

1. Records in frequent use may be retained in the office, but series which are seldom consulted should be boxed and stored as soon as it is practical to do so.

2. Records in storage should nevertheless be available for use within a 48 hour period. 3. The building in which records are stored should be of solid construction, weatherproof

and not subject to rapid variations in temperature and humidity. It should be cleaned regularly.

4. The use of basement storage is not recommended unless the walls and floor are properly tanked (protected from damp). If any room becomes subject to natural flooding, all records must be withdrawn and re-housed elsewhere, notifying the Information and Records Manager.

Ventilation

1. Storage rooms should be capable of ventilation in order to avoid extremes of heat and cold.

2. Windows and doors should not be kept open when no member of staff is on hand to supervise.

Lighting

1. Windows are not recommended, but if present must be weatherproof and fitted with blinds or blackout, to reduce the effects of UV.

2. Fluorescent lights in storage areas should be covered with UV diffusers, to reduce exposure to light radiation, which is harmful to paper documents over time.

3. Lighting levels should not be so low as to prevent easy identification of markings on boxes or files. Light meter readings may be taken to monitor levels: a minimum of 150 lux is the accepted standard.

Heating

1. Heating in record storage areas must not be by open fire, stove or radiant heater (gas/electric/paraffin). Oil filled radiators are also risky. Radiators are the best form of heating, if and when this is required (see under Temperature, below).

2. Radiators and pipework must be kept to a minimum, must not leak, and must be regularly checked and maintained.

(7)

Version 2.0 www.lincolnshire.gov.uk/informationgovernance Storage of Paper Records (B contd.)

Temperature

1. In storage areas this should ideally not vary by more than 5 degrees C in any 24 hour period. They must be kept between 13-18 deg. C. Variations will cause deterioration in paper over time. Rapid variation is most destructive.

2. If storage room temperatures fall below 10 deg. C or rise above 25 deg. C and remain low or high, measures must be taken to stabilise the environment.

3. Boxes and contents should be periodically checked to detect signs of damp (mould).

Humidity

1. Recommended levels are between 50 and 65 % RH, with no variation outside this range. The area should not feel extremes of dampness or dryness.

2. The taking of regular temperature/humidity readings is necessary for this category of storage; recording of the readings is recommended.

Fire

1. All risk of fire must be avoided. The fire resistance level of all parts of the building should be 4 hours minimum, and under no circumstances should this be below two hours.

2. Smoke and fire alarms must be fitted and regularly tested. These should be audible in each storage area. It is recommended that alarms be linked to the main alarm system and Fire Brigade.

3. Electric wiring must be encased in conduits, within walls wherever possible. 4. Fire extinguishers must be readily available nearby.

5. The use of ‘gas drops’ (e.g. Halon systems) is discouraged.

Water

1. No room used for records storage in this category should contain any overhead water pipes. Plumbing in radiator and pipe joints must be regularly checked.

2. To reduce the risk of water damage (whether from burst pipes or natural ingress, e.g a spring), all records must be stored at least 50 mm above ground level, and preferably 150 mm.

Security

1. Storage rooms must be kept locked when not in use. Intruder alarms are strongly recommended.

2. Access must only be given by the custodian of the record series, and must follow the appropriate guidelines (to be issued separately).

Infestation

3. The use of insect traps is recommended, in order to monitor the incidence of insects. These are available via the Heritage Service.

(8)

Equipment

Shelving

1. Records within this category which are still in regular use are best kept in filing cabinets or lateral filing systems, which offer more storage per square metre of floor space.

2. Records which are infrequently consulted must be stored in file boxes on shelving systems, to save space. No records may be left loose on open shelving.

3. Shelving (Dexion style angle-iron, or of similar construction) must be strong enough to support the desired weight of boxed records. The floor should also be assessed for loading purposes (refer to BS 6399-1).

5. Where the volume of stored material justifies the expenditure, the use of mobile shelving is recommended; this gives a higher density of storage per sq. metre of floor space than static shelving.

6. Do not use small safes for longer-term storage. The microclimate is not fit for this purpose.

Boxes

1. For records in this category, it must be remembered that standard file boxes contain high levels of lignin, a form of acid, which affects paper contents over time. It is recommended that archival-quality boxes (i.e. very low acid content) be obtained. A list of suppliers is available from the Information Governance Team or from Lincolnshire Archives.

2. Labelling should be sufficient to enable identification by staff of the contents, and must include a clear indication of future disposal actions, e.g. “Destroy Jan 2009”.

3. All boxes must be properly filled and labelled.

4. Felt tip pen or other indelible marker should be used to write on boxes. Biro and pencil markings will fade in time. Please anonymise details.

Trolleys

1. For movement between store and office, a suitable trolley must be provided to minimise the health and safety risk of carrying heavy loads.

Furniture

1. In stores where files need to be consulted or rearranged, a chair and table or other suitable work surface should be provided.

2. The manner and order in which files and boxes are stored should also reflect the business classification scheme being introduced for records management purposes. 3. Files destined for longer-term storage should be reviewed periodically. Bulldog clips,

steel paper clips and similar items should be removed, as they damage paper over time. 4. Individual files within a chronological series should contain no more than 5 years’

(9)

5. If major changes are planned to record stores, or if it is planned to transfer records from one area to another, the Information Governance Team must be informed. Retention and Disposal Schedules will require alteration.

Access

1. All usage and movement of files from storage must be registered. This is also to be the subject of further guidance notes.

Business Continuity

1. The store must display a list of relevant contacts in case of disaster or emergency.

2. Consideration should be given to providing an emergency kit in main record stores. This should contain plastic sheeting, plastic bags and labels, torches and batteries, buckets, mops, and protective clothing.

3. If flooding occurs, the Information Governance Team must be contacted immediately. LCC has an arrangement with a company to put water-damaged records into deep freeze, followed by conservation measures. Wet or fire-damaged records should be immediately segregated and placed in airtight plastic bags to await removal.

(10)

Version 2.0 www.lincolnshire.gov.uk/informationgovernance Storage of Paper Records (contd.)

C. Long-term retention (records retained for upwards of 20 years)

These standards are based on The National Archives (TNA) Standard for Record Repositories

(2004), which in turn conforms with BS 5454:2000 Recommendations for the storage and exhibition of archival documents. As records which fall into this third category are very important

to the Council, it is vital to set out more stringent criteria for their preservation. Any new building scheme for records marked for permanent preservation is specifically subject to BS 5454 criteria, under TNA scrutiny.

Accommodation

Location

1. The storage area should be free-standing. Where it does form part of another building, a risk assessment is needed to identify hazards or other considerations which might affect the viability of the store for this category of records.

2. It must be of sound construction, with safeguards against intruders, fire, flood and damp. There must be effective protection against dust and pollution.

3. If purpose-built premises are provided, sufficient space must be allowed for expansion (15-20 years recommended by TNA).

4. Rooms must be kept clean.

5. Basement or other underground storage must be avoided unless the walls and floor are tanked.

6. All floors must be capable of supporting the anticipated loadings. Expert advice is essential before any installation of mobile racking.

Ventilation

1. There must be an adequate movement of air to avoid the build-up of stagnant air pockets, remove any off-gassing from organic materials, and assist the balancing of temperature and humidity.

2. Please do not use doors and windows for this purpose, as security is impaired and the climate balance will be affected.

Lighting

1. Any windows must be permanently blacked out and weatherproof. 2. Lighting must be by fluorescent tubes fitted with UV diffusers.

3. Light levels must not fall below 150 lux (as per BS 5454), and readings should be taken on a regular basis.

Heating

1. Careful consideration should be given to this aspect, and in the case of new buildings, maximum use of in-built thermal inertia is required. Expert advice is essential.

2. Where conventional heating is unavoidable, radiators and pipework must be kept to a minimum, and must be regularly checked and maintained.

(11)

Version 2.0 www.lincolnshire.gov.uk/informationgovernance Storage of Paper Records (C contd.)

Temperature

1. In storage areas this must not vary by more than 5 deg. C in any 24 hour period from a fixed point between 13 and 18 deg. C. Variations outside this range will affect records stored for a long period, and must be reported to the Information and Records Manager. 2. Readings must be taken and monitored.

3. Boxes and contents must be checked regularly for signs of mould or other deterioration.

Humidity

1. This must not fall outside the range 55-65% RH. Variations must be reported. 2. Readings must be taken and monitored.

Fire

1. All areas intended for storage of records in this category must have 4 hour fire resistance for doors, walls, ceilings and floors, unless a full fire risk assessment has been conducted with the appropriate fire safety officer or Fire Brigade, and the overall strategy for fire safety offers a high level of assurance.

2. Smoke detectors and automatic fire alarms are compulsory, and must be regularly tested. Alarms must be audible in each storage area, and linked to the Fire Brigade. 3. Electric wiring must be encased in conduits, within walls wherever possible.

4. Fire extinguishers must be readily available nearby.

5. The use of ‘gas drops’ (e.g. Halon systems) is not permitted. 6. There should be a minimum of flammable fixtures and finishes.

7. In case fire fighting is necessary, floors should be capable of drainage, and provision made for smoke extraction.

Water

1. No room used for records storage in this category should contain any overhead water pipes. Plumbing in radiator and pipe joints must be regularly checked.

2. To reduce the risk of water damage (whether from burst pipes or natural ingress, e.g a spring), all records must be stored at least 50 mm above ground level.

Security

1. Storage areas must be kept locked when not in use. Intruder alarms must be fitted, to cover all areas and the perimeter.

2. External and strongroom doors must be of strong construction and fitted with mortice deadlocks or security locks.

3. Any external windows which are retained must be securely protected by bars or strong mesh.

4. Access must only be given by the custodian of the particular records series required, and must follow the appropriate guidelines (to be issued separately).

Infestation

3. The use of insect traps is strongly recommended, in order to monitor the incidence of insects. These are available via the Heritage Service.

(12)

Equipment

Shelving

1. Records within this category which are still in regular use within the office environment are best kept in filing cabinets or lateral filing systems, which offer more storage per square metre of floor space.

2. All non-current records must be boxed and housed on shelving which is strong, adequately braced and easy to access. No records may be left loose on open shelving. 3. Shelving (Dexion style angle-iron, or of similar construction) must be strong enough to

support the desired weight of boxed records. The floor must also be assessed for loading purposes (refer to BS 6399-1).

5. Where the volume of stored material justifies the expenditure, the use of mobile shelving is recommended; this gives a higher density of storage per sq. metre of floor space than static shelving.

6. Do not use small safes for longer-term storage. The microclimate is not fit for this purpose.

7. Provision must be made for the storage of outsize items such as maps and plans. 8. Shelving must not have projecting or sharp edged surfaces

9. Shelves should not be less than 400 mm in depth, and the lowest shelf level should be 150 mm above ground level.

10. Gangways between shelving runs must be 1100 mm or wider, and side aisles at least 800 mm, to permit safe and easy access.

Boxes

1. For records in this category, it must be remembered that standard file boxes contain high levels of lignin, a form of acid, which affects paper contents over time. Archival-quality boxes (i.e. very low acid content and using brass wire staples) must be used. A list of suppliers is available from the Information Governance Team or from Lincolnshire Archives: prices are very little higher than for ordinary corrugated cardboard products. 2. Labelling should be sufficient to enable staff to identify the contents, and must include a

clear indication of future disposal actions, e.g. “Destroy Jan 2015”.

3. To guarantee contents identification if the label falls off, basic details (anonymised) should also be written on the actual box.

4. Felt tip pen or other indelible marker must be used, as biro and pencil fade over time.

Trolleys

1. For movement between store and office, a suitable trolley must be provided to minimise the health and safety risk of carrying heavy loads.

Furniture

1. In stores where files need to be consulted or rearranged, a chair and table or other suitable work surface must be provided.

(13)

2. The manner and order in which files and boxes are stored should also reflect the business classification scheme being introduced for records management purposes. 3. Files destined for longer-term storage must be reviewed periodically. Bulldog clips, steel

paper clips and similar items should be removed, as they damage paper over time.

4. Individual files within a chronological series should contain no more than 5 years’ documentation. This will facilitate disposal actions.

5. If major changes are planned to record stores, or if it is planned to transfer records from one area to another, the Information Governance Team must be informed. Retention and Disposal Schedules will require alteration.

Access

1. All usage and movement of files from storage must be registered. This is also to be the subject of further guidance notes. A list of people permitted to enter storage areas may be required.

Business Continuity

1. The store must display a list of relevant contacts in case of disaster or emergency.

2. An emergency kit must be provided in main record stores. This should contain plastic sheeting, plastic bags and labels, torches and batteries, buckets, mops, and protective clothing.

3. A priority list of items to be rescued in case of emergency (a ‘pick list’) is vital. This should be based on the risk level attaching to business processes.

4. If flooding occurs, the Information Governance Team must be contacted immediately. LCC has an arrangement with a company to put water-damaged records into deep freeze, followed by conservation measures. Wet or fire-damaged records should be immediately segregated and placed in airtight plastic bags to await removal.

For clarification of these standards, or further information about aspects of records management, contact the Information Governance Team at:-