 Records in the records centre are usually stored in their original folders. Simply straighten the papers and label boxes before placing them on the shelf. |
Records Management Programmes [by Laura Coles, 1988]
Records management is important to institutions, corporations, and governments, no matter what their size. Records management is the establishment of systematic controls over the creation, use, maintenance, and disposition of recorded information. Many archivists, particularly those in small archives, think of records management as a complex activity pursued by multinational corporations or large governments, not by a small municipality, the community hospital, or the school board. it is true that larger institutions often suffer more than smaller ones from inefficient record-keeping, backlogs of inactive records, and ineffective filing and retrieval procedures. However, establishing an adequate records management programme when an institution is small and manageable can help keep the organization's record-keeping practices from becoming complex and unwieldy over time.
Many archivists, especially those in religious, community, or museum archives, will probably never encounter records management programmes. However, archivists in corporations or governments may become involved in the care of the current records of their parent organization. They will need to understand what records management is and how it works, even if they act only as the recipient of the material and not as the instigator of the programme.
Records management helps an organization or government ensure:
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To succeed, a records management programme must have the full support of top management of the institution or organization. Formalize this support in a records management policy similar in scope and purpose to the archives policy (see Chapter 1). This policy is the most important element in establishing and maintaining a records management programme.
A records management policy will include:
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If the archivist wishes to include records management as part of other archival activities, a records management policy should be incorporated into the general archives policy.
A survey of all the records created by the organization is necessary. it will form the basis for all decisions for records retention and disposal.
When surveying the records, consider the following general questions:
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The answers to all these questions will give a good idea of what type of material is created in the department or office, how often it is used, and in what way. The object of such a survey is to find out how records management systems may be improved in order to dispose of unwanted and unused material in the office. At the same time, it serves to identify inactive records and potential archival material to be destroyed or transferred to the records centre.
In order to identify how records are created and for what purpose, an organizational chart should be drawn up during the process of surveying the records. Such a chart outlines the various positions in the office, the chain of command, and the functions and activities involved. The chart identifies the positions themselves, not the individuals holding the positions today. it will help show who is creating what records, what documents need to be brought into the records centre, which offices to contact-basically how the institution is organized and managed.
When surveying the records, it is important to prepare an inventory of the materials, identifying the different records created by each department, office, or group. It is not possible to examine each document individually; it is usually more useful simply to identify different record groups and series (see Chapter 4). Use the file titles and record names given by the department whenever possible and always meet with the people responsible for the files to confirm the accuracy of information, particularly concerning legal, financial, or other requirements. Whenever possible, the records manager should enlist the aid of a liaison person in the office to assist with the survey and help with the transfer of records later.
A listing of departmental records is essential for determining exactly what material is created and where it is kept.
Include the following information in any records management inventory:
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Appraising and classifying records
The next step is to appraise and classify the office records according to both their present functional value and their future archival worth. This involves outlining the types of records created by each department-correspondence, annual reports, minutes, interoffice memos, or financial statements and determining the value of the documents to the archives and to the office itself.
In addition to the appraisal criteria used for archival materials (discussed in Chapter 3), also consider the following primary and secondary values:
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After determining the value of the records for both the creating office and the archives, categorize or classify the records according to their use by the creator.
Records can be:
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Once the records have been appraised according to their current and future value and classified according to their use, a records retention and disposition schedule can be created. This schedule is the key document in any records management programme. it establishes a time table, regulating the life cycle of records from their creation to their final destruction.
A retention and disposition schedule serves to:
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The schedule states the length of time records will be kept and when they will be destroyed or transferred to the archives.
A records management committee can participate in all records scheduling decisions. Such a committee (similar to the archives committee or advisory board discussed in Chapter 1) might include those knowledgeable about the operation of the company, such as heads of the personnel, administration, finance, or legal departments. It will likely also include any office or records managers and the organization's archivist. This group will meet regularly to decide which records can be destroyed and when, to help ensure regular transfers of records to the records centre, and to generate support for the work of the records manager.
Once the organization's records have been surveyed, classified, and scheduled, the records manager can begin to bring inactive records into the records centre. Records transfers are a joint activity between the records manager and the department involved. Complete a transfer form for each new accession. Records are boxed in standard size boxes, not necessarily of archival quality but adequate for several years' storage. Records are usually transferred periodically, perhaps once or twice each year. All records sent to the records centre should conform to the retention and disposition schedule. For example, no material should enter the records centre that was destined for destruction six months before. The records manager will encourage the department to destroy useless records regularly while ensuring that important records are not disposed of by mistake.
Once records are brought into the records centre, it will be necessary to keep accurate and systematic records of what has arrived and where it is kept. Boxes or files of departmental records need not be arranged as archival material would, but the papers in file folders may be flattened and straightened. Make sure all the files have labels identifying the contents. Give each record series on the schedule an accession number, with the prefix RM for records management, and each box in the accession will be numbered, such as box 1 of 4 or box 5 of 5. Label each box with the records management accession number and the box number. Add the department name if you wish.
Records management finding aids need not be as comprehensive and detailed as archival finding aids, as much of the material will eventually be destroyed and those records scheduled for transfer to the archives will be arranged properly later. A basic file list (described in Chapter 5) is usually an adequate finding aid for materials in the records centre. This finding aid will include the name of the department, the contact person in the office, and a list of box and/or file titles. Maintain and update this file list regularly and send a copy of each finding aid and significant updates to the transferring office if they wish it. in addition, the finding aid can be made available to researchers in the archives. However, bear in mind that the records are the property of the organization, and researchers may have to obtain permission from the creator to use any materials.
In a records centre, a storage and retrieval service for the departments is provided. The records manager may be able to give departments boxes in which to pack the material, which can then be picked up or delivered to the records centre. However, the records manager may have to assist the departments with packing and transferring. A file retrieval service must also be provided for the departments. Monitor this service careful ly to determine how often files in the records centre are used and by which departments. The standard guideline for reference is one request per cubic foot per month. if a particular department requests records more often than this, perhaps the records are still active and ought to be retained in the department for a longer time.
Eventually, a records management programme will benefit the archives as more and more valuable documents are transferred to the archives from the records centre-with unneeded materials regularly destroyed and with basic finding aids already prepared. The ultimate goal of the archives is to ensure that materials of historical value created by an organization are preserved for future use. Records management is one of the best ways to reach that goal.
Records in the records centre are usually stored in their original folders. Simply straighten the papers and label boxes before placing them on the shelf. |