Records Management Procedures Quiz

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Questions and Answers

What is the appropriate action category for a box containing records that are to be destroyed?

Permanent

Destroy (correct)

Review

Transfer

What should be done if a box contains records with different action categories, such as some to be destroyed, some to be reviewed, and some to be transferred?

Leave the box as is and note the different action categories on the transfer list.

Divide the records into separate boxes based on their action categories. (correct)

Contact the archival institution to determine the best course of action.

Mark the box with the most common action category and ignore the others.

What date should be used as the destruction date for a box containing multiple records with different dates?

The date the records were originally created.

The latest date of the records in the box. (correct)

The date the box was received at the records center.

The earliest date of the records in the box.

When transferring a box to the Archives, what date should be recorded as the transfer date?

The latest date of the records in the box. Signup and view all the answers

What is the best way to allocate shelf space in the records center?

By random selection, to ensure that shelf space is used efficiently. Signup and view all the answers

Why is it preferable to keep consignments together in one block?

To ensure that they have a common action date. Signup and view all the answers

If the action category is 'REVIEW', what date should be entered on the transfer list?

The date of the most recent record in the box. Signup and view all the answers

What should be recorded whenever a box is divided into different categories?

All of the above. Signup and view all the answers

What is the primary reason for identifying the originating office of records transferred to a records center?

To ensure that the records center knows which office transferred the records, and which office retains responsibility for them and to allow originating offices easy retrieval access. Signup and view all the answers

According to the provided content, what is a key responsibility of records center staff regarding disposal schedules?

To advise records offices on how to apply existing disposal schedules. Signup and view all the answers

What is the general rule for a records center regarding the acceptance of records that are not on a disposal schedule?

Records centers should only accept records not included on a disposal schedule if agreed by the head of the records and archives institution or records center. Signup and view all the answers

In the context of transferring records, what is the purpose of assigning a code number to each records office?

To help agencies track their transferred records and for the records center to identify which agencies have made transfers. Signup and view all the answers

Which of the following best describes a key principle for records being transferred to the records center?

Records must be transferred in a manner that ensures they are easily accessible and managed according to disposal instructions. Signup and view all the answers

What should an office do if they are having difficulty with their records?

Visit the records center or telephone to request assistance. Signup and view all the answers

What is the primary focus of the accessioning process in a records center?

To apply precise control procedures on records received at the center. Signup and view all the answers

What is an important thing to consider when transferring records to the records center?

The fact that the office that originated the records retains a direct interest in what happens to them after retirement. Signup and view all the answers

What is the primary purpose of allocating code numbers to records offices?

To identify and manage records transfers Signup and view all the answers

Which statement is true regarding the code numbers allocated to records offices?

Code numbers must remain unchanged once allocated. Signup and view all the answers

Why is communication considered essential for the success of the records center?

It enhances the reliability and speed of record requests. Signup and view all the answers

What happens to the old code number of a records office after it merges with another?

It remains in use for identifying past records. Signup and view all the answers

What is one of the vital transportation roles mentioned for the records center?

Conducting surveys and liaising with creator agencies Signup and view all the answers

What should happen when an agency requires access to records outside normal working hours?

They should be provided with special access requirements. Signup and view all the answers

Which action does NOT require transportation within the records center's services?

Allocating code numbers to new records offices Signup and view all the answers

What is a potential consequence of ineffective communication systems at the records center?

Reduced trust from client agencies Signup and view all the answers

What is required from office staff before sending boxes to the records center?

Return full boxes with three copies of the transfer list inside each box Signup and view all the answers

What should the records center staff do upon receiving the boxes from the office?

Check that the number of boxes sent corresponds with the number returned Signup and view all the answers

What is a key aspect of preparing records for transfer?

Sort the records into correct reference number order Signup and view all the answers

How many good copies of the transfer list should be sent if no photocopiers are available?

Three copies Signup and view all the answers

What must be included with the boxes aside from the transfer list?

The completed records center transfer list Signup and view all the answers

What may happen if the transfer procedures are not followed correctly?

The office staff may be asked to revise the forms Signup and view all the answers

What should office staff ensure regarding the cleanliness of the records before transfer?

Records should be clean and orderly without metal clips Signup and view all the answers

Why is it essential for the records center to record the number of boxes supplied to an office?

For purposes of stock control Signup and view all the answers

What should be done first when checking the records for a consignment box?

Remove the transfer list from the box Signup and view all the answers

Why is it important to leave box number, location, and action date columns blank on the transfer list?

To be filled in after checking the contents Signup and view all the answers

How should the box numbers be managed during the preparation of the boxes?

They should be crossed off the list after being used Signup and view all the answers

What is the purpose of the list in the front of the records center location register?

To track the box numbers used in a consignment Signup and view all the answers

What must be reported to the records center manager?

If the records appear to be the wrong ones Signup and view all the answers

When should location numbers be reused?

Once all contents have been destroyed Signup and view all the answers

What should be done to ensure that records are properly prepared for transfer?

Records must be organized and devoid of any extras Signup and view all the answers

Which of the following is NOT a step in dealing with a consignment box?

Create new record categories Signup and view all the answers

What is the primary purpose of recording box numbers in the records center location register?

To ensure quick identification of any particular box Signup and view all the answers

Which file contains the transfer list in date order for each transferring office?

Master transfers file Signup and view all the answers

Why is it important to limit the markings on the outside of boxes?

To prevent unauthorized access to sensitive information Signup and view all the answers

What should be included on the label of each box?

Originating office code number, box number, location code Signup and view all the answers

What information is included in the location register?

Consignment number, box numbers, location codes Signup and view all the answers

What action should the records office take upon receiving the third copy of the transfer list?

Destroy the fourth copy kept at the time of transfer Signup and view all the answers

Where should the box locations be recorded in relation to their location codes?

In the records center location register alongside the correct location code Signup and view all the answers

What should be done if the labels on the boxes are unreliable due to environmental conditions?

Write the information directly on the box Signup and view all the answers

Study Notes

Records Management: Chapter 6 - Management of Records in Records Centre

Learning Objective: Describe the steps involved in accessioning records, including identification of the originating government or corporate office, communications and transport, and transferring records to the records centre.
Transferring Records to Records Centre: All records must be easily accessible and managed according to disposal instructions in records schedules.
Accessioning Records:
- Records must be subject to precise control procedures.
- Records centre staff advise originating offices on applying disposal schedules and transfer arrangements.
- Records centres should not accept records not on a disposal schedule.
- Transfer requests must be agreed by the Records/Archives institution head.
- Staff can visit or phone the records centre for assistance.

Identifying Originating Government/Corporate Office

The originating office retains interest in records after retirement.
Offices transferring records need to know the records' location and access.
Records centre staff must know the transferring and responsible offices.
Assigning a code number to each records office improves tracking.

Example of Records Office Codes Register

Shows examples of date codes issued, records office names, and codes assigned. (e.g., Office of the Head of Civil Service - Code 102, Land Registry Principal Office - Code 103)

Procedures for Office Code Numbers

Code numbers are allocated serially when the first record transfer request is made.
No code number should ever be repeated.
Records centre keeps a register of code numbers.
Code numbers are written on transfer lists, disposal forms, etc.
An office code number remains unchanged.
If an office merges, a new code number is assigned for the combined office.
The previous code remains for identifying pre-merger transactions.

Communication and Transport

Good communication and transport are vital for records centre success.
Client agencies need easy communication for rapid and reliable record retrieval.
Communication systems must be operational.
Agencies can request records anytime during the working day (and there may be special arrangements for outside office hours).
Records centre staff should communicate efficiently with agencies to promote services and extended use.

Transportation

Records centre staff need to survey and liaise with creator agencies.
Transporting record consignments to the records centre is essential.
Records are issued for reference, sent to creator agencies, and returned.
Records destined for destruction are taken to secure destruction facilities.
Records for permanent retention are transferred to archival institutions.

Transferring Records

When an office requests a transfer, the records centre provides empty boxes and transfer lists.
Records centre tracks the number of boxes and lists.
Records centre provides instructions for records preparation.

Instructions for Office Staff (Record Transfer)

Complete the transfer list according to instructions.
Describe records accurately, ensuring the action date column is blank.
Enter covering dates for the records.
Compare contents of the box with the transfer list.
Ensure records are clean, orderly, and without metal clips or ephemeral additions.
Sort records to the correct reference number order.
Pack records in the boxes, avoid overfilling.
Temporary numbering in sequence.

Checking the Records

Remove the transfer list from the box.
Verify form completion, ensuring box, location, and action date columns are blank.
Verify content matches the transfer list with organized, clean files.

Preparing the Boxes

Use a sequence for assigning box numbers using the location register.
Crossed-off numbers prevent reuse.
Box numbers are not location codes; these are for shelf space.

Records Centre Location Register

Documents which locations are available for use

Storing Records

Next available location space is chosen depending on common action date, but chosen spaces can be random for economical reasons.
Allocating specific blocks of space to agencies is often to be avoided because it wastes space and creates issues.

Distributing Transfer Lists

Three copies: master transfer file (by office and date), action dates file (chronological by action date), and records office transfers file (for records office use).

Labeling Boxes

Include originating office code number, box number, and location code on each box.
For security, these should be the only markings; sensitive files should not be visibly identifiable.
Writing directly on the box can replace labels if they are unreliable.

Updating Location Register

The register contains records office code, consignment number, box numbers and location codes.
The location column also lists empty locations, and new locations are added when shelves are added to the records centre.

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Description

Test your knowledge on the proper procedures for records management, including actions for record destruction, transfer guidelines, and shelf space allocation. This quiz covers essential responsibilities for records center staff and best practices for handling records with different action categories.