Transfer aide-memoire:
a guide to transferring records
to The National Archives
Last updated 8 November 2012
© Crown copyright 2012
You may re-use this information (excluding logos) free of charge in any format or medium, under the terms of the Open
Government Licence. To view this licence, visit nationalarchives.gov.uk/doc/open-government-licence or email
psi@nationalarchives.gsi.gov.uk.
Where we have identified any third-party copyright information, you will need to obtain permission from the copyright
holders concerned.
This publication is available for download at nationalarchives.gov.uk/information-management
Introduction
Our joint responsibility is to work together to select records of historic value for
permanent preservation, and ensure their transfer and ongoing accessibility.
This document provides a summary of key information and guidance for anyone already trained in
transferring paper public records to The National Archives. It does not cover transfers to other places of
deposit.
This document tells you how to physically prepare, catalogue and uplift records to The National Archives. It
applies to government departments and third-party contractors acting on their behalf.
More detailed guidance is available on our website at nationalarchives.gov.uk/information-management
- we frequently update this information, so check back regularly to make sure that you are working with the
latest version. This interactive document can be printed but will be more useful electronically - words and
phrases in pink provide links to detailed guidance and further information that may be of use.
We will support you to be:
We ask you to commit to:
• Efficient and effective in managing your records
• Transparent and accountable for your decisions
• Compliant with relevant legislation such as the
Public Records Act (1958 and 1967), Data
Protection Act (1998), Freedom of Information
Act (2000) and Environmental Information
Regulations (2004).
We are committed to being:
• Preparation and cataloguing quality
• Transparent planning
• Rigorous timekeeping to agreed plans
• A collaborative partnership with The National
Archives to meet the requirements of the Public
Records Act.
• Consistent in our decisions
• Plain in our messages and guidance
• Timely in our performance of key tasks
• Transparent in our actions
• Clear in the application of decisions and solutions.
Together, our joint obligations are to ensure best
practice in records and information management
(under the Lord Chancellor’s Code of Practice on
the management of records issued under Section
46 of the Freedom of Information Act 2000).
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Overview of the selection and transfer process
Our responsibilities
Your responsibilities
High-level process
Your role is crucial to the entire process.
Appraisal
Selection
Analyse
record
holdings
Identify
specific keeps
& destroys
Information
management
consultants:
support,
advise, guide
Sensitivity
review
Identify
closures,
redactions &
retentions
Make
applications
to Advisory
Council
FOI centre:
advise and accept
applications to
Advisory Council
This aide-memoire applies to these stages of the process:
Catalogue
preparation
Physical
preparation
Uplift
Write
catalogue
description
Package
records
Coordinate
record
delivery
Transfer team:
provide quality
assurance and
advise/guide
Accessions team:
coordinate
delivery of
records, move
records to shelves,
release to public
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Preparing the records
This section describes the key principles you should follow when preparing records for
transfer. For more detailed advice please consult the full guidance on our website.
The basics:
• Remove any rubber items, such as elastic bands.
• Remove any plastic wallets or enclosures.
• Remove any plastic bindings and covers, and insert tags through the holes already made for these.
• Do not remove metal items such as staples and clips.
• Do not use any form of self-adhesive tape on any records.
• Identify and photocopy any thermal/fax paper.
• Insert newspaper cuttings into acetate sleeves.
Standard file folders
Tagging items into a file
If the original file cover is protecting the pages within,
write The National Archives’ catalogue reference on
this file cover, ensuring that it does not obscure other
information. The next section of this guide contains
more details of record cataloguing.
If the original cover is not adequately protecting
the pages, insert the file (including the original
cover) into a four-flap folder and write The National
Archives’ reference on the front.
Booklets
If you encounter booklets in a file, first write The
National Archives’ catalogue reference on the
booklet. Insert the booklet into an acid-free envelope,
then attach the envelope into a folder with a treasury
tag (so that the envelope is easy to access). Make
sure that you record the contents on the front of the
envelope (for example, ‘one booklet’), and ensure that
the booklet can be easily removed from the envelope
without first removing the tag.
Files that are thicker than five centimetres should
be split evenly, with the original file cover remaining
with the first part of each. Insert each part into a
four-flap folder and write The National Archives’
reference on the front. Number each part separately.
Sticky notes
Any sticky notes containing important information
should be removed from the document surface
and tagged next to the relevant page in a polyester
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enclosure.
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Loose pages
Write The National Archives’ catalogue reference on
any pages that cannot be tagged back into the file
and place them in a polyester envelope, which you
should then tag into the parent file. Take care that the
polyester sleeve is large enough to accommodate a
hole for the tag to avoid tagging through the original
sheet.
Thermal and fax paper
All thermal and fax paper to be copied and the
original (even if faded) tagged together with copy in
the same file.
Lever-arch files and ringbinders
For lever-arch files and ringbinders, discard the binder
and place the contents in a four-flap folder and tag
through the original binder holes. If there is original,
If there are many loose pages within a file, place all
unique information on the front of the file cover this
the pages in order in an additional four-flap folder and should be photocopied before the binder is discarded
write The National Archives’ catalogue reference on
and included in the file.
the front.
Tag holes should not be made through information.
If the entire file is made up of loose pages, make a
If there is not enough room to make a tag hole insert
tag hole in the pages and insert a nylon treasury
the loose papers into a four-flap folder and secure
tag of the appropriate length. The entire file should
with cotton tape. The hole should be in the same
open comfortably without being restricted. Insert the place throughout the file.
file into a four-flap file cover. If there is important
information on the cover it should be carefully cut
and tagged with the contents. If the original folder
contains no information and is damaged it can be
discarded.
Newspaper
If you find newspaper in a file, photocopy and tag
into the file alongside the original inside an acidfree envelope. Note the contents on the front of the
envelope. Newspaper that has been stuck to backing
card or paper requires no action.
5
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Dummy cards and redactions
Dummy cards, provided by The National Archives, are
used to indicate that items have been removed or are
missing from a file. Full guidance on redaction can
be found on our website.
Closed/retained files
Fill the box then remove the piece, to ensure space
is left when the piece is returned to the box. Insert
a dummy card explaining why the piece has been
removed.
Number not used
Insert a dummy card but do not leave a space, as no
file will be returned to the box.
Missing files
Leave the depth of an average file in the box and
insert a dummy card.
Extracting whole page/pages
Replace with a dummy card in each location
indicating how many pages and details of the
extraction. Number pages being extracted in HB
pencil to assist with reuniting later.
Extracting information from a page
Redacted pages need to be stamped with FOI
information and a ‘closed until’ date. In the original
file replace the original pages with the redacted
copies. The original unredacted sheets need to be
enclosed in a new file cover: this is now an ‘item’.
A ‘closed until’ label and ‘closed extract label’ should
be applied to the cover of the item.
Maps and plans
Maps should be transferred in the format in which
they have been stored previously. Do not flatten
rolled maps and do not roll or fold maps that have
been stored flat. Each map should be treated as an
individual piece.
Rolled maps should be rolled onto the outside of an
archival tube. Secure the map with broad linen tape,
tied in an easy release bow, then insert the tube (with
the map secured on the outside) into a linen bag.
Write The National Archives’ catalogue reference at
the top and bottom of the bag, and secure a label,
also bearing the appropriate reference, at the opening.
Large folded single maps that have already been
folded should be kept this way. Place them in a fourflap folder with The National Archives’ catalogue
reference on the front of the folder. In HB pencil
write the reference twice on the back of the map, in
opposite corners.
Keep folded maps found in registered files and bound
volumes with their parent files and make a note on
the transfer form. If tagging a map into a file, place
the map into an acid-free envelope, making sure it is
accessible. Mark the envelope with the contents (for
example, ‘one map enclosed’) and tag in place.
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Flat maps should be inserted into folders. Ask your
transfer adviser at The National Archives for advice
on size, construction and materials. The National
Archives can provide folios to support large flat maps
during transfer.
Glass plates, photographic albums, x-rays and similar
files require special attention. Please ask your contact
at The National Archives for advice.
The map should have The National Archives’
catalogue reference written twice on the back, on
opposite corners, in HB pencil
We have a list of standard box board specifications,
which is available from your transfer advisor. All new
types of packing must be approved by The National
Archives before they are used.
Photographs, negatives and glass plates
These should never be handled without gloves.
Photographs should be lightly endorsed with The
National Archives’ catalogue reference in HB pencil
on the reverse before being inserted into individual
polyester enclosures.
Files that contain photographs that may be of a
distressing nature should have a warning sticker
(available from The National Archives) placed on the
front of the file cover. Place distressing photographs
in a paper or polyester envelope (complying with
ISO 18916:2007) tagged into the file. Ensure that the
contents may be removed while the tag is in place,
and mark the envelope with a warning sticker.
Packing and labelling
The box should be slightly overfilled to ensure the
contents are not free to move around or slump
down when the box is on the shelves. Alternate the
orientation of the files, to make the documents lie
more evenly in the box.
Where a piece has been extracted from a box,
temporary fillers and dummy cards should be added
so that the piece can be reintroduced at a later date.
Record this on the transfer form so the material can
be removed on arrival.
See the next page for an example of a correctly
labelled and packed box.
Negatives should be enclosed within either paper
envelopes or polyester envelopes/sleeves and
indicated on the transfer form.
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A correctly labelled and packed box looks like this:
Brass staples
Department
Series
20mm linen packing tape
Public access label (if necessary)
The lid of the box must always face
to the right when placed on a shelf
Number range of files in box
8
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Cataloguing the records
Cataloguing the records before transfer helps us ensure that the transfer process is
efficient, effective and timely.
For more detailed guidance, including details of specific fields and standards, you should read our guidance on
cataloguing conventional records.
You must use our standard cataloguing template, which can also be found on our website - see the next
page of this document for help with completing the template.
The five principles of cataloguing for The National Archives
Catalogue entries must have:
• Conformity (to our technical rules and templates)
• Correctness (accuracy in substance, facts and spelling)
• Consistency (across multiple catalogue entries)
• Conciseness (short, uncomplicated, not over-detailed)
• Comprehensibility (easy to understand)
If in doubt, refer to our editorial guidelines for cataloguing.
9
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Explanation of cataloguing template
D: departmental letter code
S: series number
SS: sub-series number
SSS: sub-sub-series number
We will provide these
for you to insert
The start and end dates of the
record - please use the full
date (dd/mm/yyyy).
D
S
SS
FCO
8
11
FCO
8
11
2828
FCO
8
11
2828
FCO
8
11
2829
Visit nationalarchives.gov.uk/
information-management for our
editorial guidelines for cataloguing
and more advice on completing
this template
SSS
P
I
First date
Last date
01/01/1976 31/12/1976
1
P: piece number,
provided by you to
give structure and
order to records
within the series
I: item number,
used to indicate
split pieces or
closed extracts
01/01/1976 31/12/1976
01/01/1976 31/12/1976
Scope/content
YEMEN ARAB RE
(NORTH YEMEN
Sale of military
from UK to Yem
Republic
Closed extracts:
58
Yemen Arab Rep
sovereignty ove
Red Sea
The scope/content field should contain a concise
on the original file title). It should complement, no
Acronyms and abbreviations should be explaine
names, awards, titles or qualifications (eg BBC)
If place names are obscure or ambiguous, add the
for foreign place names (eg 'Great Bentley, Essex';
Individuals’ roles should be added if it is unclear
held multiple roles (eg not ‘Margaret Thatcher’ bu
Education and Science’ or ‘Margaret Thatcher Prim
Thatcher’
Ensure all official names and titles are correctly
Capital letters should be used sparingly, accordin
Finally, please check that all spelling is correct
t
EPUBLIC
N)
equipment
men Arab
Departmental
reference while
the record was
in use
Former ref
Closure
LCI or FOI
series (LS) or
number (LN),
before the
current one
Note
V
LS
LN
C
15
Previous LCI or FOI
series (LS) or number
(LN), before the
current one
PLS
PLN Ext
NBY
87/548/2
: Folios 10, 31,
public and
er islands in
Indication
of closure
or retention
period
Description visibility,
if required (if the
scope/content is too
sensitive to be open
to the public)
40
NBY 177/1
e summary (fewer than 25 words and based
ot replicate, the series level description.
ed fully unless they are official organisational
Extra descriptive information should be added
here (eg presence of photographs and maps,
language, missing at transfer)
e county for UK place names or the country
; 'Newport, Isle of Wight'; 'Bochnia, Poland').
who the individuals were or where they
ut ‘Margaret Thatcher Secretary of State for
me Minister’ or ‘Margaret Thatcher MP’ or ‘Lady
cited (acts, bills, committees)
ng to normal English usage
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Uplifting the records
When you are ready to arrange delivery of records to The National Archives, you should
consult your transfer adviser for advice on completing the relevant paperwork.
Before the uplift stage, your transfer adviser must have signed off your record preparation and catalogue
listings.
You must complete and date your AA2 electronic transfer form (one per series) and transfer delivery form
(containing all series included in the current transfer), and send them to your transfer adviser - they will sign
them off and pass them to our accessions team to arrange the uplift.
When this has been done, our accessions team will contact you (or a designated contact who will be
responsible for the uplift of the records, as stated in your delivery form) to agree on a delivery date. You must
agree any subsequent changes to this date with our accessions team.
When preparing the uplift for delivery, please send to the following address using a tracked courier service:
Accessions Team
The National Archives
Kew
Richmond
Surrey
TW9 4DU
On arrival at The National Archives, the records will be checked against the transfer delivery form to confirm
that they are consistent. If accurate, the uplift is then signed off as completed and confirmation is sent to you
or your designated contact.
Please speak to your transfer adviser for further advice on completing these steps.
11
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