Week 13

IMR 454
Management of Records Repository

EFFECTIVE RECORDS
MANAGEMENT PROGRAMME

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 Content
1. Introduction
2. Effective records management program
1. Creation of records
2. Storage and retrieval
3. Records maintenance
4. Transfer of records
5. Disposition of records
3. Records Access and
4. Use of technology
5. Archival records
6. RM integration

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 What records should be created?

• Records should be created when there is a need to remember the details

of an event, decision or action such that anyone needing recourse to the
facts.
• Records should be created to:
– Provide evidence of policy
• Provide evidence of decisions
• Provide evidence of actions/activity
– Provide evidence of compliance with rules, regulations and legislation
appropriate to the organizational context
– Inform colleagues of what has been done or decided (and serve as a
reminder later)
– Act as a reminder of how something has been done
– Track progress of a project or process

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 Cont…
• Records are sometimes created unnecessarily.
This happens when:
– There is no need for evidence that something has
been done
– A record duplicates evidence or information in
one or more other records
– A redundant duplicate of a record is created (for
example via a multiple part form-receipt)

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 Cont…
• Each organisation or authority must decide for
itself what records need to be created and
maintained depending on the legal and
regulatory environment and the precise
nature of its business.

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 2. Effective RMP
 Records are a basic tool of government administration.

 Records provide information for planning and decision making, form

the foundation for government accountability, and are often subject
to specific legal requirements

 Records are essential for effective and efficient administration, but if

poorly managed they can become a liability, hampering operations
and draining resources.

 An effective records management program helps an organization get

the most out of its records. It also helps limit costs and the risks that
can come with poorly managed records.

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 Cont…
• An effective records management program has certain
characteristics or attributes;

• The New York State Archives has identified seven such

attributes of an effective records management program.

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 Creates

policy and
Retains
procedure

promotes
and Stores
supports

Uses Retrieves
1) creates the records it needs, and none
that it doesn’t.

• Records are efficiently created in the normal course

of business for all functions sufficient to satisfy legal,
fiscal, administrative, and other recordkeeping
requirements.
2)retains the records needed as essential
evidence and gets rid of obsolete records.

• Records are retained and usable for as long

as required for legal or business purposes, and
then efficiently disposed of or preserved as
archives to support secondary uses.

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3)stores its records—especially archival
records—safely and securely.

• Records are stored and maintained in a safe,

secure, cost-effective fashion to support
retention, access, and archival preservation
where applicable.

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4)retrieves information quickly through
efficient access and retrieval systems.

• Records systems provide effective and

efficient retrieval and access to records, to
support use by the creating organization and
by the public as appropriate under law.

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5) uses the right information technology for
the right reasons.

• Appropriate uses are made of information

technology to store, retrieve, make available,
and use records.

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6) promotes and supports the use of archival
records as a community resource.

• Appropriate secondary use of records by

public and other entities is supported and
promoted.

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7)recognizes through policy and procedure that
records management is everyone’s job.

• Ongoing records management goals and

priorities are integrated through the
organization and its operations as part of the
normal course of business.

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 Records creation
 Many records management programs manage existing
records well. Unfortunately, records management often is not
effective during the time that records are being created.

 This can lead to redundant records, lack of clearly identified

official copies, and insufficient records for audits or litigation.

 An effective records management program is one that creates

all the records it needs, and none that it
does not need.

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 Cont…
• Here are some indications of effective records
creation:
1. Records are sufficient for audits.
2. Unneeded records and copies are kept to a
minimum.
3. Official copies of records are identified.
4. Records are available for litigation.
5. Archives guidelines and other professional
standards are used in records creation.
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 Storage and Retrieval…
• One sure sign that an organization has an
effective records management program in
place is that it stores and maintains its records
securely and efficiently.

• Cost-effective, secure storage systems that

provide quick and rapid retrieval will help
ensure the ready availability of records in case
of litigation and audits, as well as for future
reference use. 18
 Cont…
 Some indications that a good storage program
is in place include:
1. Inactive records are stored off-site in an in-house
or contracted records center.
2. Proper shelving is used to store records.
3. Electronic data backup procedures are in place
and are routinely followed.
4. Disaster preparedness plans are in place.
5. Micrographics standards are followed.

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 Cont…
6. Microfilm masters and computer backups are stored
securely offsite.

7. Fire prevention systems are in place in storage areas.

8. Adequate environmental controls exist in storage areas.
9. Security rules and procedures are in place and followed.
10. Recording format standards are complied with.

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 Cont…

• Records may only be seen in the reference room of the records

center, under the supervision of records center staff and subject
to appropriate regulations.

• Visitors must give prior notice of their intention to come to the

records center to consult records.

• On arrival, visitors should record in the attendance register their

name, position in the organization and research purpose.
 Access and Retrieval

• Organizations create, retain, and preserve records so

that they can be used. If a user cannot locate a
document, it might as well not exist.

• As such, an effective records management program

should have in place systems—manual or
automated—that can locate and retrieve records in a
reliable and timely fashion to meet the needs of
users.

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 Cont…
 Some signs that a program possesses this
attribute include:
1. Satisfactory filing and locator systems with
documented policies and procedures.
2. Finding aids, such as indexes, are prepared and
used.

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3. Subject matter lists to meet Freedom of
Information Law (FOIL) requirements are prepared
and used.
4. Policies and procedures regarding access
restrictions are developed and in use.
5. Filing equipment is used appropriately.
6. Local area network (LAN) policies and procedures
are developed and in use.

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 Retrieval Procedures

1. Receive issue form

2. Consult location register
3. Write location code on form
4. Take issue form to shelf and identify box
5. Take out record
6. Replace with cardboard marker
7. Clip top copy of issue form to box
8. Attach sticker to record
9. Dispatch record
10. Get signatures on second copy of issue form
11. File issue forms in issued out index and issues control index
 Records Maintenance
• Systematic filing and classification system
• Proper equipment
• Work & staff Schedule
 Transferring records
• The action dates file can be used to identify records to be transferred to the
archival repository.
• The records center disposal form may be used to notify the office of the
proposed action.
• These boxes should be removed and stacked in the appropriate space near
the loading bay for removal.
• The contents of the boxes should be checked, to ensure that physical
preparation for transfer has been done. This means that all ferrous pins, clips
and so on have been removed and that the records are clean and in order.
• All records transferred must be listed.
• The archival institution will likely use an Accession Form, and it may ask the
records center to complete this form when preparing the records for
transfer.
 Transferring records
• The second copy of the transfer list should be removed from the action dates
file, amended to indicate when the records were transferred to the Archives
and placed in a ‘Records Transferred To Archival Institution’s file.
• The originating office must be notified of the change in the status of the
records, by sending them a copy of the amended transfer list.
• Once materials are sent to the archival institution, they become archives and
are subject to the regulations that govern the archival facility and its
holdings.
• Requests for access to archives are addressed to the archival institution, not
to the records center.
 Disposition of records
 is key to an effective records management program. It
ensures that records are present when needed for
litigation, audits, day-to-day business purposes, or
historical research, but that unneeded records do not
take up costly storage space.

 Regular and systematic disposition of records

according to a State Archives retention schedule
provides evidence that records which no longer exist
were not destroyed to avoid their use as evidence in
court or to evade Freedom of Information requests.

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 Cont…
• Some indications that a good retention
program is in place include:
1. Archival records are identified early in their life
cycle.
2. Retention schedules are adopted and used in the
normal course of business.
3. Office retention schedules are developed and
used.
4. Records are systematically disposed of.

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 Cont…
• Electronic records are retained and disposed of
according to retention schedules.

• Plans are in place to ensure that electronic records

continue to be accessible following technology
changes.

• Disposition is routinely documented.

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 Disposal of records
 Disposal of records includes destruction of obsolete files and transfer
of records of enduring value to the archival institution.
 The records centre staff facilitate the authorized and timely
destruction of records that are no longer needed.
 Staff may also take part in the process of identifying records that do
have archival value (appraisal)
 No records should ever be destroyed without written and specific
authority.
 In the case of records scheduled for destruction, this authority comes
from the disposal schedule.
Action Date & Review Procedures
• All records transferred into the records center must be
transferred out of it at the appropriate date.

• The records center staff are responsible for ensuring that

disposal procedures are activated and carried through at the
appropriate time.

• The action dates file contains the second copies of the transfer
lists, arranged in order of the dates of proposed action.
 Action Date & Review
Procedures…cont
• It is a good practice to keep a noticeable marker, such as a colored
piece of cardboard, inserted in this file at the current date, so that
records center staff can turn at once to the records coming up for
action.

• Records are categorized as followed : for destruction, transfer to

the archival institution and review.

• Records scheduled for review are those that are impossible to

evaluate for disposal at an early stage in their life.
 Action Date & Review
Procedures…cont
• Usually they are general types of record, such correspondence,
which may include information on a range of topics, from the
mundane to the critical.

• These general records have value is clear from the beginning,

such as
– outine financial papers, which may only be kept for
audit purposes,
– signed minutes of high-level committees, which
must be kept permanently.
 Action Date & Review Procedures …
cont
• The appraisal process should ensure that only a small
percentage of records are scheduled for review.

• The records and archives institution is responsible for ensuring

that reviews are carried out on time and to a satisfactory
standard.
 Action Date & Review Procedures …
cont
The review procedure may vary, depending on
1. Nature of the records
2. Age of the records
3. Infrastructure for records management
4. Resources of the records and archives institution &
the creating agencies.
 Action Date & Review Procedures …
cont

• The staff of the creating office or records center may conduct

the review by examine the records file by file and decide which
files should be destroyed, transferred to the archival institution.

• The records center manager should be notified if it is decided to

retain records beyond their review date. The archival institution
should be informed if it is decided to transfer records there.
Action Date & Review Procedures …
cont

The reasons why staff of records center may

have to review:
1. When there is no records management capacity in
the creating agency
2. When the creating office no longer exists
3. No obvious successor
4. When there are no officers in the creating agency
qualified to make disposal decisions.
 Action Date & Review Procedures …
cont
Advantage of Review by Creating Office
1. The most detailed knowledge of the contents and use of the records are
able to make decisions about their continuing value.
2. This advantage is particularly important when reviewing recent records,
since office staff will understand better than records office staff the
purpose and nature of the materials.

Advantage of Review by Records Center

1. The review process is consistent between agencies. The continuing value
of the records generated by one office can be considered in the context
of records generated by other agencies.
2. The records center staff are sufficiently experienced; if not, they should
work under the close supervision of senior staff.
 Action Date & Review Procedures …
cont

Disadvantage of Review by Creating Agencies

Disadvantage of Review by Records Center

1. That reviews are time-consuming and will absorb
the resources of the records center and records and
archives institution.
Action Date & Review Procedures …
cont

The consequence of delaying review:

1. A backlog of review work will rapidly grow
2. The review date on the copies of the records
center transfer list must be changed (master
transfer lists file & the action date file)
 Action Date & Review Procedures …
cont
Review procedures by the records center.
1. Consult action dates file
2. Select files ready for review
3. Identify boxes
4. Remove boxes
5. Carry out review
5.1 If records are to be retained, notify creating office
5.2 If records are to be transferred to the archival institution, notify
archival institution and creating office
5.3 if records are to be destroyed, notify creating office
 Action Date & Review Procedures …
cont
6. Send records center notification form to creating
office
7. Check if reply received
8. If reply received, carry out disposal action
9. Amend master transfers file
10. Amend action dates file
 Scheduled destruction of records

• In principle, the legislation or policies governing records

authorize the records center to destroy scheduled records when
the action date arrives.

• When records are ready for destruction, the records center

should notify the creating office and receive confirmation.

• It is generally good practice for the records center staff to notify

the office responsible for transferring the records of their
imminent destruction (see Records Center Disposal Form)
 Cont…
 The records center should keep a duplicate of the form on an
‘authority to destroy’ file, and note the date by which a reply
should be received.
 If the signed disposal form is not returned with a reply within
one month of the dispatch date, a copy with a reminder
should be sent.

 If a signed form is not received in response, the matter has to

be reported to the records center manager.

 When the form is returned from the transferring office duly

signed, the records center is authorized to carry out the
destruction.
 Scheduled destruction of records
Step to Destruct
1. Review the location register and identify the
location of the boxes to be destroyed

2. Remove these boxes and stack them in the loading

bay area.

3. Destruction should be carried out in a controlled

manner. Records are managed by destroying whole
boxes, not individual files (If a box still contains
records that must be kept, the whole box should be
retained)
 Scheduled destruction of records
4. The location register entry for the destroyed boxes should now be
crossed out and the new empty locations noted in the location column.
These locations are now ready to be used for a new set of transferred
records.
5. The entry for the box on the relevant list in the master transfers file
should be crossed out and stamped with a ‘boxes destroyed’ stamp, with
the date of destruction.
6. A copy of the amended transfer list should be sent to the creating office
with instructions to destroy superseded copies. The entry for the box in
the action dates file should be crossed out.
 Archival records
 An important sign of an effective records management program is the
preservation of archival records and the promotion of their appropriate
use by the public.

 Most records lose all value when the purpose for which they were created
has been realized.

 However, a small percentage hold value beyond their original purpose—

for historical or genealogical research, exhibits, publications, teaching
aids, long-term legal documentation, or other activities.

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 Cont…
• These archival records can be useful to the public, other
governments or agencies, teachers, writers, and other people
or groups that require documentation in their work or
avocations.
• Some indications that this component of records management
is in place include:
– Public outreach programs exist.
– Records reference use areas are available for the public.
– Policies and procedures are in place for use of records by the public

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 Cont…
• Information sharing with other governments or organizations
is done to develop and distribute finding aids so access to
archival records is improved.
• Records are used for exhibits and education.

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 RM integration
It exists when:-
• Records management policies and procedures are in place
and are updated regularly.
• Records management is integrated into all policies where
applicable.
• Records policies and procedures are routinely and
consistently communicated to staff.
• A disaster preparedness plan is in place and is reviewed
regularly.

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 Cont…
• A records management advisory council is appointed
and active.
• Local records management legislation is in effect.
• Records management activities receive regular and
adequate funding beyond grants.
• A records management plan is in place and is
followed.

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 Cont…
• Records management staff are hired and retained.
• Staff frequently attend workshops, professional
conferences, and other educational events.
• A records management officer is appointed at the
appropriate level in the organization.

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THE END

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