Fundamentals Of Records Center Management PDF

IMD237: FUNDAMENTALS OF RECORDS CENTER Chapter 4.1 MANAGEMENT Planning and Developing Record Center Learning Objectives Identify the main eight (8) steps in planning and developing a records center. Describe the seven (7) policy issue...

IMD237: FUNDAMENTALS OF RECORDS CENTER Chapter 4.1 MANAGEMENT Planning and Developing Record Center Learning Objectives Identify the main eight (8) steps in planning and developing a records center. Describe the seven (7) policy issues to be decided in establishing administrative structure of a records center: 1) centralisation 2) location 3) means of transport 4) communications and technology 5) staffing 6) accommodation 7) authority, service levels and costs INTRODUCTION When planning and developing a records center, there are 8 steps involved in order to take care of semi-current records: US -National Personnel Records Center (NPRC) Hawaii State Records Center 1. Establishing an administrative Structure Decisions have to be made on the following policy issues: 1)centralisation 2) location 3) means of transport 4) communications and technology 5) staffing 6) accommodation 7) authority, service levels and costs  Centralization Authority, service levels Location and costs Policy issues when planning RC Accommodation Means of transport Communications Staffing and technology Centralization one records center or several? The best control may be achieved when there is one single records center, under a unified management. However, local circumstances must be taken into account. For example :- ❖ In a country where records are scattered or decentralized administration (provisional or regional governments), or geographically impossible. It will probably be necessary to establish decentralized records center at points convenient for particular groups of agencies such ad branches or regions. Businesses and organizations may have records center in both their head offices and regional offices. Location Should the records center be on the central site or at a remote site? Records may be housed centrally or at an offsite location. The advantage of locating the records center close to the creating agencies is: 1) that transfer and retrieval of records is facilitated. 2) allow for timely service 3) helps demonstrate the benefits of good records management practice 4) retrieval is speedy 5) staff quickly become familiar with the records center. The principal disadvantage of a central location is cost. Records centers are essentially bulk warehouses, and this type of accommodation is usually best provided in industrial estates or in low-cost areas away from the main urban or business centers. ⚫ The classic model records center is a: ⚪ free-standing building ⚪ situated not too far from the main record-creating agencies ⚪ an area that allows for minimum capital and recurrent costs and convenient communications. Source: https://www.commercialrecordscenter.com/about/facility/ Means of transport How will the records be transferred, disposed of and retrieved? Records that are retired from current systems should be transferred to the records center regularly. In general, agencies should be encouraged to make smaller transfers more frequently rather than larger transfers less often. However, difficult transport arrangements may make this impractical. Suitable transport arrangements will always improve the efficiency of the service. Source: https://www.crownworldwide.com/articles/introducing-crown https://corodata.com/top-10-reasons-to-use -worldwide-frances-new-vehicles -a-records-center ⚫ The records center should have accommodation and equipment to facilitate large transfers of records :- ✔ weather-proof loading bay, adequate parking ✔ space for large vehicles ✔ a working area where transferred materials can be cleaned and checked before being placed on shelves. Loading bay The records center should also be able to receive, store and retrieve records in non-typical formats. The records center is not simply a storage area but the base for an information service. Materials held in the records center must be available for use. The records center should be designed to make the procedure for retrieving, issuing or consulting records as easy as possible. FILM Filmstrip Slide Cine Film MICROFORM 35mm roll film 16mm roll film Aperture Cards Microfiche Micro-Opaque Card  16 cabinet for special format records like Hanger cabinet or special storage for artistic media, maps, drawings map and drawings  17 Records are also regularly moved out of the records center, under the provisions of the disposal schedules. Records moved out comprise records transferred to the appropriate branch of the archival repository and records ready for disposal or destruction under controlled conditions. The records center should have facilities to allow users to attend at the records center and examine documents under certain conditions. For example :- controlled and supervised search room. suitable arrangements for visitors to reach the records center Car parks – records center’s own official vehicles, staff’s car and visitor’s cars  18 The records center should be able to control issue and replacement of records that are on loan to agencies. To carry these duties RC staffs should have offices – for records transfer, issue, return or consultation of records are recorded. Thus, these functions involve the movement of staff, materials and various requirements should be considered when determining what kind and amount of transport is required.  19 Communication and Technology ⚫ There must be easy and practical means of communication between the records centre and its users. ⚫ Means of communication in this context include not just physical access but also telephone, fax and local computer network links.  20 ⚫ Communications systems are required to: arrange for and facilitate the transfer of records from the agencies to the records center arrange for the transfer of records from the records center to the archival repository arrange for the disposal of records ready for destruction allow agencies to request records, to ask for statistical and other information. allow records center staff to check on the location and return of records that have been issued to agencies.  21 Staffing Requirement Within the records centre, there are four types of staff activity: 1) liaising with creator agencies and managing reference services 2) managing the holdings within the records centre 3) providing security, transport and housekeeping within the centre 4) liaising with the archival institution.  22 ⚫ The responsibility for tasks within these groups should be allocated to particular posts. ⚫ Suitable job descriptions should be prepared, regardless of the size or scope of the staff. ⚫ The records centre manager is responsible for reporting to the records and archives institution at agreed intervals.  Staffing Requirements Director Records Center Manager Liaison with Internal Security and Liaison with Records Offices Management Transport Archives 23  24 Records center should be adequately staffed: enough people to do the work efficiently. But the service should always be cost effective; there should not be too many staff. each staff should be given a set of tasks and responsibilities he or she is reasonably capable of carrying out. undertake a range of activities, from liaison with creating agencies to care of records and related administrative work.  25 Duties of Records Centre Staff liaising with creating agencies receiving records from creating agencies retrieving records on demand retrieving records for transfer to the archives or for disposal communications and technology management administrative duties  26 1. LIAISING WITH CREATING AGENCIES Records center staff need to be aware of the current situation within each of the user agencies, particularly in their records offices. The service begins with identifying which records should be transferred to the records center. Records staff should always be able to know and state the basic statistics of their branch of the service in relation to any particular creator agency.  27 The record staff should know: ✔ the overall bulk of records held in the records center for each department or office; ✔ the frequency of reference to the main series; ✔ the rate at which records are removed from the center according disposal schedules.  28 2. RECEIVING RECORDS FROM CREATING AGENCIES ⚫ When records are received in the RC, they should be accompanied by completed transfer lists. ⚫ RC staff are responsible for completing and filing these in accordance with agreed procedures. ⚫ Transfer lists, loans, issued, authority to destroy and proposal to transfer records to archival care should be filed appropriately. ⚫ Staff should review the files periodically to ensure they are kept in good order.  29 Staff should shelves boxes of transferred records in accordance with a plan. The plan should allow for both the accumulation of backlogged records (records that should have been transferred earlier but were not) and regular consignments of records that have been retired from the current system. All records should appear in the authorized disposal schedules. No transfer of records should be contemplated until there is a satisfactory and agreed disposal schedule.  30 3. RETRIEVING RECORDS ON DEMAND When staff in the creating office request records, these should be retrieved and issued in accordance with agreed procedures. Records center staff should track the movement of records issued to user departments and ensure that records are returned within the normal time. In some cases, records may be made available to authorized persons in the search room of the records center, under supervision.  31 Records center staff are responsible for retrieving the correct record, controlling its issue and return, supervising its use in the search room and ensuring its return to the correct location. Ideally, only one staff member in the records center should be in charge of the copying and reproduction of records. There may be a guideline that records should be issued in photocopy form and not in the original, wherever feasible, to protect originals from loss.  32 4. RETRIEVING RECORDS FOR TRANSFER TO THE ARCHIVES OR FOR DISPOSAL Records center staff will be responsible for identifying and preparing records for transfer to the archival institution or for destruction. This work involves maintaining disposal schedules, ensuring the appropriate and secure transfer of records and documenting all actions taken.  33 5. COMMUNICATIONS AND TECHNOLOGY MANAGEMENT Only one staff member should be responsible for the computer system, if one is used. This area of responsibility involves liaison with the appropriate officer in the records and archives institution. Tasks may include the choice of the hardware and software systems used. The choice of system should be in general agreement with government or corporate policy and civil service or organizational practice. Every effort should be made to standardize computer systems across the organization.  34 Any automated systems used should be standardized across the organization. The staff member responsible for computers will be responsible for the supervision of clerical and other work in data input, management of the databases, retrieval of information and compilation of statistics.  35 6. ADMINISTRATIVE DUTIES There should be adequate trained staff available to carry out cleaning and housekeeping work, enforce security procedures and drive and maintain vehicles needed for records center work.  36 Accommodation Requirement There must be accommodation for all of the processes of the records center, including the transferring process management of Records storage of records the provision of reference services staff facilities storage and maintenance of vehicles.  37 1. Transfer of Records ▪ The physical movement and transfer of records involves the following processes: ▪ receiving new consignments of records from agencies ▪ issuing records to agencies on request and receiving returned records from them ▪ transferring selected records to the archival institution. ▪ All these movements require the use of a loading bay. This area should be protected from the weather and should lead directly to a clean, secure work area.  38 2. Management of Records Suitable accommodation is needed for the following processes: preparing records for storage executing and maintaining control and retrieval system procedures (this includes checking transfer lists, filing lists in the appropriate places and completing the accessioning procedure) completing statistical information receiving and carrying out requests for information or records.  39 These processes need sufficient office space to allow for the use of boxes or cabinets in which to file the transfer lists and other forms in use. The records center's communications systems (telephone, fax, computer) will be sited here. Ordinary office facilities will be needed, including desks, filing cabinets (for filing correspondence with agencies), stationery and materials storage.  40 3. Storage of Records ⚫ The main purpose of the records centre is to hold records for the agreed time. ⚫ The bulk of space in the building should be devoted to storage.  41 4. Reference to Records o If authorized persons will be given supervised access to records, provision needs to be made for a records centre search room. o Generally the facilities offered should be similar to those available in the archival institution, though perhaps not as large. o There should be o desks or tables at which users may consult the records o a desk for the supervising officer (placed so that the officer can see the users) o shelves for reference material o access to a photocopier.  42 5. Facilities for Staff ⚫ Staff need suitable working and recreational accommodation, in accordance with the standards in effect within the government or organization. ⚫ At remote sites this may involve the provision of meals. Toilets and washrooms must also be provided and must meet appropriate standards.  43 6. Storage and Maintenance of Vehicles ⚫ If transport is provided by the records centre, such as to bring records to and from offices, accommodation will be needed for the vehicles, together with facilities for maintenance.  44 Authority, Service Levels and Costs The service offered by the records center and its staff form part of the larger records and archives institution which should be established on a firm statutory basis and managed in accordance with a records policy. Actions taken by the records center staff should have the authority of the records and archives institution and should follow procedures laid down by it.  45 The level of service offered should be the subject of specific regulations, procedures and agreements, which should cover such matters as :- a) the retirement of records from current systems b) the preparation of records for transfer c) the arrangement and transfer of backlog accumulations of records d) the provision of reference to records held at the records center e) the release and return of records used for reference purposes f) the destruction of records under the provision of the disposal schedule.