Managing Physical Records

Sarah’s story: Caring for Physical Records, Sarah Discovers the Paper Trail

Managing_Physical_Records Updated.pptx by Scottish Council on Archives

Guidance

Physical records are information recorded on paper or other physical media that is created or received as part of organisational activity and kept as evidence of decisions, actions or obligations.

Examples of physical records include staff files, client or patient records, financial and accounting files, contracts, deeds, policies, procedures, registers, and committee papers.

Not all text-based documents are records. Duplicate copies, working notes, and reference material may not need to be kept once they are no longer required for business purposes.

In addition, not all records are text based, they can include images, photographs, x-rays, videos, audio recordings and many other formats.

Clearly identifying what constitutes a record helps organisations manage information consistently, avoid unnecessary storage and reduce the risk of holding information longer than required.

Storage Conditions and Environmental Controls: Protecting paper records from damage

The environment in which physical records are stored has a direct impact on how long they remain usable. Unsuitable storage conditions are one of the most common causes of damage to paper records.

Key environmental risks include excessive heat or cold, fluctuating humidity, exposure to light, dust, damp, mould and pests.

At a baseline level, organisations should store records in clean, dry and secure areas, avoid basements and lofts, keep records off the floor and away from external walls, and use suitable boxes, folders or cabinets.

Stable conditions are generally more important than achieving perfect temperature or humidity levels. Sudden changes can cause long-term deterioration.

Tracking and Access: Knowing where records are and who can use them

Knowing where physical records are and who can access them is essential for accountability, security and effective information governance.

Organisations should maintain an inventory, index or log of physical records, including where they are stored and whether they are held on-site or off-site. This should be provided and/or maintained by any commercial company providing an off-site storage facility.

This inventory should also have metadata which relates to the create date of the records and allows their lifecycle to be managed.

Access to sensitive or confidential records should be controlled so that only authorised staff can view or use them.

Poor tracking and access controls increase the risk of lost records, unauthorised access and inefficiencies in business processes and can be reputationally damaging by leading to delays in responding to data protection or freedom of information requests.

Legacy Paper Collections: Managing older and inherited records

Legacy paper collections are older records created under previous filing systems or with little or no structure. They are often found in cupboards, storerooms or boxes and may have been inherited from former staff or predecessor organisations.

These collections often have unclear contents, no index and may include records kept well beyond their retention period.

Organisations should establish responsibility for legacy paper collections and gain a high-level understanding of what they contain.

Records that still need to be kept should be brought under normal management and tracking arrangements, while records that are no longer required should be dealt with in line with retention and disposal rules. Consultation may be appropriate with local/national archives or specialist advisors such as the Business Archives Council in Scotland.

Sarah’s story: Caring for Physical Records, Sarah Discovers the Paper Trail

Managing_Physical_Records Updated.pptx by Scottish Council on Archives

Guidance

Identifying Physical Records

Physical records are information recorded on paper or other physical media that is created or received as part of organisational activity and kept as evidence of decisions, actions or obligations.

Examples of physical records include staff files, client or patient records, financial and accounting files, contracts, deeds, policies, procedures, registers, and committee papers.

Not all text-based documents are records. Duplicate copies, working notes, and reference material may not need to be kept once they are no longer required for business purposes.

In addition, not all records are text based, they can include images, photographs, x-rays, videos, audio recordings and many other formats.

Clearly identifying what constitutes a record helps organisations manage information consistently, avoid unnecessary storage and reduce the risk of holding information longer than required.

Storage Conditions and Environmental Controls: Protecting paper records from damage

The environment in which physical records are stored has a direct impact on how long they remain usable. Unsuitable storage conditions are one of the most common causes of damage to paper records.

Key environmental risks include excessive heat or cold, fluctuating humidity, exposure to light, dust, damp, mould and pests.

Stable conditions are generally more important than achieving perfect temperature or humidity levels. Sudden changes can cause long-term deterioration.

Tracking and Access: Knowing where records are and who can use them

Knowing where physical records are and who can access them is essential for accountability, security and effective information governance.

This inventory should also have metadata which relates to the create date of the records and allows their lifecycle to be managed.

Access to sensitive or confidential records should be controlled so that only authorised staff can view or use them.

Legacy Paper Collections: Managing older and inherited records

These collections often have unclear contents, no index and may include records kept well beyond their retention period.

Organisations should establish responsibility for legacy paper collections and gain a high-level understanding of what they contain.

Managing Physical Records

Sarah’s story: Caring for Physical Records, Sarah Discovers the Paper Trail

Guidance

Further Reading

Sarah’s story: Caring for Physical Records, Sarah Discovers the Paper Trail

Guidance

Further Reading