Fundamentals Of Records Center Management PDF

IMD237: FUNDAMENTALS OF RECORDS Chapter 6 CENTER Management of MANAGEMENT records in Records Center Transferring records to the records center Learning Objective Describe the main steps involved in accessio...

IMD237: FUNDAMENTALS OF RECORDS Chapter 6 CENTER Management of MANAGEMENT records in Records Center Transferring records to the records center Learning Objective Describe the main steps involved in accessioning of records in the records center including the: 1. Identification of the originating government or corporate office 2. Communications and transport 3. Transferring records to the records center Transferring records to the records center All records transferred to the records center must be easily accessible and must be managed according to the disposal instructions outlined in the records schedules.  Accessioning records in the records center When records are received at the records center they must be subject to precise control procedures. Records center staff advise records offices on how to apply disposal schedules and on how to arrange for the transfer of records from the offices to the records center. The records center should not ordinarily accept records that are not included on a disposal schedule. If such a transfer is requested, it must be agreed by the head of the records and archives institution or records center. If an office is having difficulty with its records, its staff can either visit the records center or telephone to request assistance.  Following are the steps involved in accessioning records in the records center. 1 - Identification of the originating government or corporate office 2 - Communications and transport 3 - Transferring records to the records center Identification of the originating government or corporate office The office that has originated or used records while they were still current retains a direct interest in what happens to them after retirement. Offices that have transferred records to the records center need to know where they are and how to access them. Equally, the records center staff must always know which office transferred any particular records and which office retains continuing responsibility for them. A good way to ensure that agencies keep track of their transferred records, and that the records center can keep track of which agencies have transferred records to it, is for the records center to allocate a code number to each records office. Example of a Register of Records Office Codes Date Code Name of Records Office /Agency Code Issued Number 1/1/99 Office of the head of the Civil Service 102 3/2/99 Land Registry principal office 103 Procedures in giving Office Code Numbers: Code numbers should be allocated serially, at the time when the first transfer of records is requested to be made by that office. No code number should ever be repeated. The records center should keep a register of code numbers. The code number should be written on each transfer list, disposal form and so on. When an office has been allocated a code number, this number should remain unchanged. If as a result of administrative reforms a particular records office is merged with another, the new records office should be given a new code number. The old one will remain in use to identify transactions that occurred and records that were created before the reorganization. Communication and transport Good communications and transport services are essential to the success of the records center and its services. If client agencies do not feel that they can communicate easily with the records center and can request their records and get them delivered rapidly and reliably, the records management service will not succeed. Communication systems must be kept operational at all costs. Client agencies must be able to request records for reference at any time during the normal working day. (There may need to be special requirements for access to records outside office hours) The records center staff must be able to communicate efficiently with agencies in order to provide the best service and encourage expanded use of the records center.  Transportation is a vital element in the records center's service. The following actions, for example, all require transportation. Records staff must be able to visit creator agencies in order to carry out surveys and liaise with records offices. Transport is required to transfer consignments of records to the records centre. Records issued for reference must be sent to the creator agencies and returned when they are finished with. Records destined for destruction must be taken from the records centre to the place of secure destruction. Records selected for permanent retention must be transferred to the archival institution.  Transferring records to the records center When an office asks to transfer records to the records center, the records center will send it an appropriate number of empty boxes and a supply of records center transfer lists. The records center should keep a record of the number of boxes and lists supplied, for purposes of stock control. The records center should prepare instructions on the proper method of preparing records for transfer.  These instructions would require office staff to : 1. Complete the list according to 9. Return the full boxes with three copies of the instructions completed records center transfer list inside each box, retaining a fourth copy for their own reference 2. Describe records appropriately, 10. Note that all copies of the transfer list should be making sure the action date column readable. has been left blank 3. Enter covering dates for records 11. If photocopiers are readily available, it may be enough to send one copy of the transfer list with the boxes. 4. Compare the contents of the box 12. If no photocopier is conveniently available, three with the transfer list good copies should be sent to the records center. 5. Ensure the records are clean and 13. If the transfer procedures are not carried out orderly without metal clips or properly, the records center may request that the office ephemeral additions staff visit the records center and revise the forms. 6. Sort the records they intend to 14. Alternatively, the boxes can be returned to the transfer into correct reference number records office for repacking. order. 7. Pack the records in the boxes 15. Information about the location number and action making sure the boxes are neither date is added by the records center staff. overfilled nor too tightly packed. 8. Temporarily numbered in sequence  On arrival, the records center staff then check to see that the number of boxes sent out is the same as the number returned. Boxes are costly and should not be left unused or diverted to improper purposes. They then enter initial details of the transfer in the records center accession register (see Records Centre Accessions Register). This ensures that there is a permanent record of the consignment. Records center staff place the boxes that make up the consignment in order, and deal with them in sequence. For each box they undertake the following steps: Check the records Prepare the boxes Determine the action category Store the records Distribute the transfer list Label the boxes Update the Location Register & Accession Register Checking the records 1. Remove the records centre transfer list from the box. 1. Check that the form has been completed correctly, with an adequate description of the contents, but with the box number, location and action date columns left blank. 1. Check that the contents are actually the same as those listed on the transfer list, the files are in order and have been properly prepared for transfer. Records should be clean and orderly, without metal clips or messy ephemeral additions. 1. If it appears that the records sent in the boxes are not the correct ones, or if they are not in order, or if they have not been prepared properly, the matter should be reported to the records centre manager. It is particularly important that the covering dates of the records transferred are entered on the transfer list. Preparing the boxes Each box should be marked in sequence with the next available box number. To find what this number is, consult the list at the front of the records centre location register. Carry on numbering in order. When each box in the consignment has been numbered, the numbers that have been used should be crossed off the list, so that the they will not be reused by mistake. Note that box numbers are not the same as location codes. A location code refers to only shelf space. Box numbers are never reused and always go in sequence from the start to the finish of each consignment.  The next consignment continues with the next box number. The purpose of the list in the front of the location register is simply to help keep track of the numbers used, to ensure that there are no gaps or duplications in box numbering. Location numbers are reused only when all the contents of the box at that location have been destroyed or transferred to the archival institution. The box numbers should be written on all copies of the records centre transfer list, in the appropriate column. Determining action category The approved list of disposal schedules should then be consulted. Look at the appropriate schedule(s) and decide what is the correct action category of these records, and the appropriate action date. 1. If the action category is ‘DESTROY’, this instruction should be entered in the action category space. The correct destruction date should be written into the appropriate column of each copy of the transfer list. There must be only one destruction date for each box, so take the date of the most recent record as the destruction date for the whole box. 1. If the action category is ‘REVIEW’, this instruction should be entered in the action category space. The correct review date should be entered in the appropriate column of each copy of the records centre transfer list. There must be only one review date per box, so take the date of the most recent record as the review date for the whole. 1. If the action category is ‘PERMANENT’, write on the transfer list the date on which the box is to be transferred to the Archives. Also write that the action is to transfer it to the archival institution. There must be only one transfer date per box, so take the latest date as the effective one for the whole box.  Note that no box should contain a mixture of records that have to be treated differently. For example, there a box should not contain some records to be destroyed, some to be reviewed and some to be transferred to the archival institution. If such a box is found, the records in it should be divided into the different categories and each group put into a separate box. Whenever changes like this are made, they should be recorded on all copies of the transfer list, and the matter brought to the attention of the office concerned. Storing the records The next vacant storage location is then found from the records center location register. As far as possible, it is best to keep consignments together in one block, because they should have a common action date. However, for the sake of economy, locations for the consignment may be chosen at random from among the shelf spaces that are vacant. In general, it is best not to allocate blocks of shelf space to particular agencies, as this wastes space and creates difficulties in the management of the records center.  If there is a shortage of shelf space, individual boxes may be given locations randomly; but it is important to be sure that any particular box (and the documents inside it) can be quickly identified. Boxes should be placed in the shelf spaces that correspond to their location codes. Their box numbers are then recorded in the records center location register alongside the correct location code. Records center staff should always be able to find the location code of any box from its number, and they should always be able to go straight to the shelf space from the location code. Distributing transfer list Three completed copies of the records center transfer list should be distributed as follows. 1. The first copy should go in the master transfers file. This file contains the transfer list, in a separate file for each transferring office, in the date order as received. Records office code numbers may be used to identify the file for the office of origin. 2. The second copy should go in the action dates file. This file holds the records centre transfer list in a single sequence by the action date, irrespective of the office of origin. 3. The third copy should go in the records office transfers file. This file holds forms to be sent back to the transferring records office or agency for retention as a permanent record for their use. Agencies will consult this form to find out the box number of any record they require. On receipt of this copy the record office should destroy the fourth copy they kept at the time of the transfer. Labeling the boxes It is also useful to attach a label to each box. This label should indicate the: originating office code number box number location code. For security reasons, it is important that these should be the only marks on the outside of boxes, so that unauthorized people cannot easily identify records, particularly sensitive or confidential files. If labels are unreliable, perhaps because heat or humidity prevent them from adhering to the boxes properly, the information should instead be written directly on the box. Updating Location Register The location register holds the following information: records office code consignment number box numbers location codes. The location column in the records center location register should contain a list of all the empty locations. If new shelves are added to the records center, the new locations must be added to the register.