Depositing records and documents with public sector archives
Depositing records and documents with public sector archives - 15 December 2010
Contents
- 1. Introduction
- 2. The role of record offices
- 3. Documents suitable for retention
- 4. Depositing your documents
- 5. More information
1. Introduction
1.1 Who should read this practice note?
Solicitors, office managers or personnel responsible for case files or storage of solicitors' files and records. It assumes no prior knowledge or experience of managing older records and papers.
1.2 What is the issue?
Many solicitors firms have been established for a long time and often hold records about their firm or client documents that are decades or even centuries old. This material can contain valuable information about individuals, families, places, the firm and the development of law, making them a key information source for family, house and local history research, as well as for historians.
The Law Society, working with the Selden Society, is keen to reverse the trend of the destruction or sale of these historically significant legal documents and solicitors are encouraged to consider alternative options for their redundant items. This practice note provides advice on depositing old client documents or early records about your firm with the appropriate local authority record office.2. The role of record offices
There is a network of record offices, managed by local authorities, with one office for each administrative area in the country.
Record offices play a key role in the retention and dissemination of historical information about people, places, businesses and other organisations in their local areas by enabling access to records held on gift or deposit. Records placed on deposit can be returned to the law firm if they are required at some stage in the future, or if the original owner or his successor in title claims them.
Record offices provide access to the public, professionally trained archivists and conservators, and employ good practice including storage of records in environmental conditions according to BS5454 British Standards.
Records can relate to many localities/organisations/persons and therefore may well have several possible places of deposit. See your local authority record office or the British Records Association for advice.3. Documents suitable for retention
Solicitors firms generally hold two broad types of documents that will be of interest to researchers and historians. These may be original documents held within client files or records and documents about the firm itself.
3.1 Client documents
Documents such as wills, deeds, property transactions and agreements do not belong to the firm as they remain the property of the client for whom they were drawn up or his successor in title. These documents should not be sold or destroyed and solicitors should, in the first instance, seek to return documents to clients once client files are set for weeding or destruction.
If you discover old original documents amongst your client files and are unable to contact the client you should consider placing these documents on deposit with their local record office rather than destroying them or keeping them in long term storage. Client records should always be deposited on loan. They cannot be gifted.
All record offices will agree closure periods with the depositor. In general where it is not clear if an individual mentioned in a document (such as a beneficiary) is still alive, you should assume a lifetime of 100 years. Some record offices assume a data subject's age of 16 years, meaning that records would need to be closed for a further 85 years. Be aware that some record offices may not have the facility to take records that will remain closed for so long.
Original wills/probates are registered with the diocesan (up to 1858) or probate registry (after 1858). Original wills tend to be found in these registries and record offices tend not to accept them where they duplicate sources elsewhere. You should seek advice from the record office about retention options for these documents.3.2 Records about your firm
Records documenting the legacy of contributions of our country's companies and businesses are crucial to our understanding of the UK 's history. These primary resources provide academic and private researchers with key information about a region, a town, and a firm, a type of industry, a family and many other subjects.
The list below includes examples of key corporate records that may form part of your firm's records. The list is not exhaustive but illustrates the range of material that may prove invaluable to researchers of the future.
Corporate:
- Memorandum and articles of association
- Partnership agreements
- Board of directors' minute books and supporting documents
- Annual reports
- Files regarding mergers and acquisitions of law firms
- Register of directors or partners
- Risk and/or seal registers
Office administration:
- Partners' papers and diaries
- Strategic planning documentation
- Business planning meeting documents
- Project files
- Letter books and files
- Day books (recording daily tasks)
Accounting
- Annual budgets
- Ledgers (General, client, disbursement etc)
- Client account books
- Bill books
- Cash books and journals
- Brokerage books
Client administration (not client papers themselves)
- Letter books
- Registers of deeds, wills etc
- Schedules of documents
Staff
- Registers
- Attendance/time books (it may be appropriate to select a sample)
Office premises
- Deeds, architectural plans, photographs etc
Other
- Printed company produced publications, brochures and anniversary papers or events
- scrapbooks on events or firm history
- photographs
3.3 Manorial records
If your firm or client has acted as the steward to a Lord of the Manor, you may hold manorial records. These records have statutory protection and should not be destroyed or sold (see Law of Property Act, s144A). Seek professional advice from an archivist if you discover manorial records amongst your client files, or within your own firm records. See Manorial Documents Register for more information about manorial documents and their place(s) of deposit.
3.4 Current records
Active or semi-current records which are still required for regular business use should not be transferred to public sector depositories until they become redundant. Such records should be assigned retention periods and stored within your own records management system for retention, retrieval and eventual transfer to archives, or destruction where they are not of archival value.
For more information on records management and requirements under law see The National Archives Guidance on Active Records Management .3.5 Preserving your documents
Records that are retained require certain environmental storage conditions to prevent their deterioration. See the Preservation Advisory Centre's guidance Managing the Library and Archive Environment . The website includes guidance on document handling and related information.
4. Depositing your documents
In the first instance you should contact your local record office to seek the advice of a professional archivist. You can find your nearest record office using the ARCHON website (see section 3.2.2).
Where possible make a list of the main categories of records and their date ranges and physical extents ie number of boxes or shelves. With the agreement of the archivist, records may be brought to the record office or the archivist may come to your office. They will appraise the records and, if the documents are suitable, make arrangements for delivery or collection.
You should keep a brief record of any documents that are accepted. Generally, the record offices will issue a receipt and provide you with an accession number. They will also produce a catalogue record for the material enabling the records to be found and studied by members of the public. Keep these details safe, together with any deposit agreement.
Documents and records are accepted at the discretion of the archivist. If the record office is unable to take your documents, there are alternative organisations which may be able to help (see below).4.1 Other organisations which can help
British Records Association (BRA) - Records Preservation Section (RPS)
The Records Preservation Section of the BRA work with organisations to ensure that material of historical value is deposited with an appropriate record office. They offer a limited on site assessment service, and will also act as a temporary storage facility for documents deposited with them, prior to transfer to a suitable repository.
National Archives Business Archives Advice Manager
The National Archives have a dedicated advice service for business archives. They can also provide advice on who would be the most appropriate public sector archive for your material. Contact them at asd@nationalarchives.gsi.gov.uk or tel 020 8392 5270.
5. More information
5.1 Legal and other requirements
- Data Protection Act 1998, s33 Research, history and statistics
- Law of Property Act 1922, s144A Manorial documents
- Law Society's practice note on file retention
5.2 Further products and support
5.2.1 Practice Advice Line
The Law Society provides support for solicitors on a wide range of areas of practice. Practice Advice can be contacted on 0870 606 2522 from 09:00 to 17:00 on weekdays.
5.2.2 Useful websites
This website can be used to find contact details for record repositories in your local area. This website offers advice on how to make your archives work for you. It also provides examples of best practice. This website can provide best practice advice on depositing your archive material with a local record office. Founded in 1887, the Selden Society is a learned society and publisher devoted to English legal history.5.2.3 Law Society publications
- Data Protection Handbook, 2nd edition
- Privacy Law Handbook
- Freedom of Information Handbook, 2nd edition
5.3 Status of this practice note
Practice notes are issued by the Law Society for the use and benefit of its members. They represent the Law Society's view of good practice in a particular area. They are not intended to be the only standard of good practice that solicitors can follow. You are not required to follow them, but doing so will make it easier to account to oversight bodies for your actions.
Practice notes are not legal advice, nor do they necessarily provide a defence to complaints of misconduct or of inadequate professional service. While care has been taken to ensure that they are accurate, up to date and useful, the Law Society will not accept any legal liability in relation to them.
For queries or comments on this practice note contact the Law Society's Practice Advice Service.
5.4 Terminology in this practice note
Must - a specific requirement in the Solicitor's Code of Conduct or legislation. You must comply, unless there specific exemptions or defences provided for in the code of conduct or relevant legislation.
Should - good practice for most situations in the Law Society's view. If you do not follow this, you must be able to justify to oversight bodies why this is appropriate, either for your practice, or in the particular retainer.
May - a non-exhaustive list of options for meeting your obligations. Which option you choose is determined by the risk profile of the individual practice, client or retainer. You must be able to justify why this was an appropriate option to oversight bodies.
5.5 Acknowledgements
The Law Society would like to thank the Selden Society, the British Records Association and Richard Wiltshire, Senior Archivist, City of London - London Metropolitan Archives.