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RECORDS MANAGEMENT IN THE ENGLISH NEW TOWNS 1961-1999 BY DAVID ROBERT BIGGS A Thesis submitted for the Degree of Doctor of Philosophy in the Faculty of Arts of the University of London School of Library, Archive and Information Studies University College London August 2007 UMI Number: U591B05 All rights reserved INFORMATION TO ALL USERS The quality of this reproduction is dependent upon the quality of the copy submitted. In the unlikely event that the author did not send a complete manuscript and there are missing pages, these will be noted. Also, if material had to be removed, a note will indicate the deletion. Dissertation Publishing UMI U591305 Published by ProQuest LLC 2014. Copyright in the Dissertation held by the Author. Microform Edition © ProQuest LLC. All rights reserved. This work is protected against unauthorized copying under Title 17, United States Code. ProQuest LLC 789 East Eisenhower Parkway P.O. Box 1346 Ann Arbor, Ml 48106-1346 ABSTRACT OF THESIS This thesis illustrates and examines issues, situations and concepts which faced, and still face, archivists and records managers dealing with the records of finite, changing and disappearing organisations. Using the lessons and conclusions that can be drawn from the case study, the thesis develops a strategy and recommendations for how records management should ideally be applied to such situations. British new towns result from the large-scale government planning project launched in the New Towns Act, 1946, although there are antecedents. The case study involves prodigious quantities of modem records of relevant central government organisations, held within those organisations or in national and local archive repositories. It demonstrates various types of organisational change, the development and implementation of records management policy and practice, and other issues of concern to those dealing with all stages of the records life cycle. The thesis focuses on the Commission for the New Towns (CNT) which from 1961 was the residuary body for the development corporations of the twenty one English new towns, and Cwmbran in Wales. In 1998 CNT was given responsibility for eight urban development corporations and named as the residual body for the six housing action trusts for when they closed from 1999 onwards. The source material concludes when CNT was combined in 1999 with the Urban Regeneration Agency to operate as English Partnerships. The records held by CNT and associated bodies largely date after 1946, but are not exclusively modem as corporations inherited records from predecessor authorities and acquired old property deeds. The study examines how CNT and associated bodies handled these records, the impetus for organised records management, how resources were applied, and the results achieved. The effects of organisational trends and change, technological developments, the attitude and influence of individuals and external bodies, and legislative requirements are analysed. The particular facts of the case study are established, and related more widely to the issues facing those involved in managing, disposing of, or receiving records in and from changing, finite and disappearing organisations. The thesis concludes by summarising the lessons learned from the case study and in offering recommendations for the management of records in this context. 2 Records Management in the English New Towns 1961-1999 TABLE OF CONTENTS Page Abstract of Thesis 2 Table of Contents 3 Acknowledgements and Dedication 6 Declaration 6 List of Acronyms and Abbreviations 7 Map: British New Towns 13 1. Introduction and Research Methodology 14 1.1 The Background to the Study 14 1.2 The Aim and Purpose of the Thesis 15 1.3 Research Methodology 16 1.4 Literature Review 22 1.5 Limitations and Exclusions 34 1.6 Organisation and Structure of the Thesis 35 PART ONE: THE CASE STUDY 37 2. The New Towns in the United Kingdom 38 2.1 The Origins of the New Towns 3 8 2.2 The New Towns Legislation 44 2.3 The New Towns 49 2.4 Impact of the New Towns 51 3. The New Town Bodies 53 3.1 New Town Development Corporations 53 3.2 The Commission for the New Towns 59 3.3 The New Towns Association 68 3.4 Other New Town Bodies 69 3.5 Merger with the Urban Regeneration Bodies 70 3 3.6 New Town Functions and the Records Created 79 3.7 Summary 86 4. Overview of Records Management in the New Town Organisations 87 4.1 Establishing a Records Management Framework, 1965-1984 87 4.2 Developing a Records Management Framework, 1985-1992 101 4.3 Applying Records Management: Managing the Records Inheritance, 1992-1998 112 4.4 New Challenge: the Urban Regeneration Inheritance, 1998 onwards 115 4.5 Summary 117 PART TWO: THE ISSUES OF THE CASE STUDY 119 5. The Impetus for Records Management 120 5.1 Record-Keeping 120 5.2 Records Storage and Disposal 131 5.3 Technological Change 138 5.4 Influence of External Bodies 145 5.5 Legislative Requirements 153 5.6 Summary 158 6. Implementing and Resourcing Records Management 162 6.1 Scoping the Records Management Programme 162 6.2 Establishing a Policy 166 6.3 Establishing Registry Control 169 6.4 Automation 172 6.5 Access 177 6.6 Promoting and Marketing Records Management 181 6.7 Staffing 186 6.8 Summary 196 4 7. Records Management Storage, Review and Disposition 198 7.1 Records Management Storage Solutions 198 7.2 Establishing a Retention and Review Programme 203 7.3 Disposition of Records 209 7.4 Summary 215 8. The Effects of Organisational Change 219 8.1 Restructurings 220 8.2 Privatisations and Out-sourcing 226 8.3 Acquisitions and Mergers 233 8.4 Transfers of Functions and Assets 236 8.5 Closures 239 8.6 Issues for Archival Successor Bodies 246 8.7 Summary 253 9. Conclusion and Recommendations 256 9.1 Analysis of the Case Study 256 9.2 Practice Recommendations 266 9.3 Reflection on Methodology 268 9.4 Concluding Statement 269 Appendices 271 I Sample Letter to an Archivist 272 II Letter of Introduction 273 III List of Interviewees 274 IV List of Record Offices and New Towns Covered 276 V Sample Transcript of an Interview 277 VI Organisations Transferred to the Commission for the New Towns (CNT) 279 VII The Commission for the New Towns (CNT) 281 VIII Examples of Office Holding Across the Organisations 289 Bibliography 293 5 ACKNOWLEDGEMENTS and DEDICATION A study is not undertaken in isolation, or completed without the co-operation, support and encouragement of others. I thank my employer for allowing me to undertake the doctorate and for assistance provided. My thanks to all work and professional colleagues who shared their knowledge, memories, opinions and records. I am grateful to the School of Library, Archive and Information Studies (SLAIS) at University College London (UCL) for accepting me as a student. The support, interest, and camaraderie of those academic and administrative staff and members of the Research Seminar Group (RSG) with whom I came into contact was welcome. I am indebted to my tutors, Dr Anne Thurston, Dr Elizabeth Shepherd, and Miss Elizabeth Danbury, for their support and encouragement. Their rigorous analysis, queries, positive criticism, useful suggestions and unending enthusiasm, helped to improve my work and stimulate my mind. My thanks to Miss Sophie Philipson for her patient assistance with proof-reading the text, and to Professor John Mcllwaine for advising on the format of the Bibliography. Finally, my gratitude to family and friends for support and goodwill shown throughout the course of my studies. Especial thanks to my parents, to whom I dedicate this thesis. DECLARATION I declare that this thesis is all my own work and that I have acknowledged all my sources. DAVID ROBERT BIGGS 6 LIST OF ACRONYMS AND ABBREVIATIONS Note: Where an acronym refers to multiple organisations or a general term, rather than to a single body or proper name, the explanation appears in lower case. For example, “HAT - housing action trust*1 indicates that there are several housing action trusts and it is not referring to a single entity called The Housing Action Trust.