IMR 454

Management of Records Repository

RECORDS CENTER REQUIREMENTS:

STAFF, PROCEDURES AND
EQUIPMENT
 Learning outcomes

Procedures

Staff Equipment

Records
center
requirements
 STAFF
 Managerial concepts
 Duties and responsibilities
Staff
Managerial concepts
 Understand that good information management is essential to agency business
and government accountability
 Have sufficient understanding of the importance of records and accountability
to make judgements where situations are not explicitly covered in policies and
procedures
 Know what their work group and agency information and records management
policies and procedures are
 Follow these policies and procedures to document and capture evidence of their
work to the specified standards
 Use records and information to meet agency obligations
 Encourage their colleagues to do likewise
Staffing structure
Director of
Records
Administration

Records
Center
Manager

Liaison with
Internal Security and Liaison with
Records
Management Transport Archives
Officer
Staff responsible:
Senior management
 Includes the head of an agency, members of the executive, the
Chief Information Officer, senior executives and managers.
 Recognise the importance of information and records
management to their agency
 Help the program to succeed by
 endorsing policies and procedures
 directing the agency staff to use those facilities available to them
 allocate roles and responsibilities to agency staff
 ensuring that staff understand their roles and responsibilities
 making sure that staff are fully trained in the application of those
facilities
Cont…
 Provide appropriate resources for all aspects of the program.
 sufficient numbers of skilled people
 appropriate information management infrastructure within the agency to ensure the
program can run effectively
 Seek and act on the advice of those skilled people when required
 Foster the establishment and maintenance of working partnerships
among senior managers, information and records managers,
and information and communication technology staff in order to
develop, review and implement business technology systems that
support the creation and management of authentic and reliable
records
Staff Responsible:
Information and records management (IRM) staff
 Includes information and records centre managers, records
manager, knowledge managers, archivists and information analysts
 Gaining appropriate qualifications in the field and keeping up to
date with new developments
 Understand the strategic and regulatory environment of
information management
 Analyse agency business functions, identify information
management requirements, assess risks
 CONT…
 Influence and persuade stakeholders to incorporate information and records
management requirements
 Integrate information management expertise and strategic business skills to develop
policies, standards and systems to support business outcomes
 Ensure that adequate documentation, training and advice on information
management,
 Work cooperatively with ICT professionals to design, implement and improve the
records management capability, information architecture and accessibility of
information within business systems
 Support and train agency personnel at all levels
Staff Responsible:
Information and communication technology (ICT) staff
 Includes systems analysts, business analysts, web content developers,
application developers and database administrators
 Responsible for creating and maintaining the technological infrastructure
which supports the agency
 Understand that applications and systems need to have appropriate
functionality for capturing and managing the evidence of agency business
 Work cooperatively with IRM professionals to design, implement and
improve the records management capability, information architecture and
accessibility of information within business systems
 Consider the significant risks involved if records are not managed properly
for as long as is required
 Provide input to strategic frameworks for managing information across the
agency
Duties and responsibilities
Four types of staff activities:
 Liaising with creator agencies and managing
reference services
 Managing the holding within the Records centre
 Providing security, transport and housekeeping
within the center
 Liaising with archival institution.
Duties and responsibilities:
Records Manager

 Records Manager: Functions

 Develop, install and administer the organization records
management program in accordance with established
policies, including the retention, protection and
disposition of reports, forms, correspondence and other
records.
Duties and responsibilities:
Records Manager

Records Manager Responsibilities

1) Organization
 Establish procedures for retention and destruction of all classes of
records on a departmental and organization wide basis

 Design and revise forms and procedures pertaining to

interdepartmental and intradepartmental projects

 Coordinate problems concerning records, files, messenger service and

incoming mail
Duties and responsibilities:
Records Manager
Records Manager Responsibilities
2) Departmental
 Plan, develop, improve and modernize records availability and service
capabilities

 Maintain and control all records, including files, index card, business
registers, policy samples, microfilm, and items stored by other
departments

 Delegate authority through supervisors or directly to specialized

personnel for specific projects

 Prepare department and organization wide manuals

 Duties and responsibilities:
Records Manager

Records Manager Responsibilities

3) Specialized
 Creation of system, procedures and techniques for filing materials
of all types
 Selection of appropriate supplies and equipment for active and
inactive record keeping system
 Use of automated and mechanized filing and information retrieval
system
 Use of microfilming systems and equipment
 Development of retention and disposition schedules
 Organization of records centers and archives
 Selection of methods for safeguarding records
 System/
Records
Analyst

Reports Analysts

Form Analyst

Active Records Supervisors

Records Center Supervisor

Operating Personnel

Records Center Clerk

Duties and Responsibilities: Records
Management Supervisors
 Records Management Supervisors : System/ Records
Analyst
 Studies existing systems and procedures used in creating,
processing and distributing records
 Evaluate records to determine their usefulness and estimated
cost throughout their entire lifecycle of records
 Make recommendation for changes and improvements in
managing organization's records
Duties and Responsibilities: Records
Management Supervisors
 Records Management Supervisors : Reports
Analysts
 Determines the need for each report used by the organization
 Recommend improvements in format and style of writing or
reports
 Elimination and consolidation of reports
 Improvement in distribution procedures
 Duties and Responsibilities: Records
Management Supervisors

 Records Management Supervisors : Form Analyst

 Determines the need for each form used by the organization

 Makes recommendation concerning elimination, duplication and

overlapping subject content

 Design forms and form letters and develop procedures and techniques
covering the preparation, standardization, use and control of forms and
form letters

 Evaluates forms on the basis of necessity, design, cost, completeness,

clarity and use
Duties and Responsibilities: Records
Management Supervisors
 Records Management Supervisors : Active
Records Supervisors
 Maintain uniform filing systems and procedures throughout the
organization
 Assume responsibility for the correct coding, cross filing and
reference procedures
 Analyze reference requests and prepare records usage reports
 Recommend revision of retention periods for active records
 Inventory and evaluate records periodically to ensure the
transfer of inactive records and the destruction of obsolete
records
 Duties and Responsibilities:
Records Manager
 Issue requests for storage equipment for active records
 Supervise the preparation and transfer of records to
inactive storage
 Develop more efficient and economical methods of
records maintenance
 Assist in training programs for employees
 Recommend the hiring, promotion and transfer of
active records personnel
 Duties and Responsibilities:
Records Manager
 Records Center Supervisor
1. Maintain a control card index file to facilitate ready reference to all records
housed in the record center
2. Initiate and maintain reference control forms
3. Analyze rate of reference to records and make recommendations for changes
in retention schedules
4. Make adequate provisions for maintaining and safeguarding all inactive
records
5. Coordinate transfer of records from active records areas to the record center
6. Arrange for the pickup and transportation of records
7. Supervise the operation of microfilm equipment
8. Arrange for removal and destruction of records from the records center
upon proper authorization
9. Supervise the destruction of obsolete records
 Duties and Responsibilities:
Records Manager
 Operating Personnel
1. Communicate with others orally and in writing
2. Handle and process records
3. Work with names, titles of documents and numbers
4. Operate some type of office machine
 Duties and Responsibilities:
Records Manager
 Records Center Clerk
1. Check in records for inactive storage
2. Check record carton contents against shipping transfer form
3. Verify correct identification and location of inactive records
4. Assign carton location number to records before storing
5. Move records to assigned locations
6. Provide reference information upon request to authorized
personnel
7. Maintain reference and control forms
8. Follow up records that have been removed to ensure adequate
control
9. Prepare documents for microfilming
10. Operate microfilm equipment
 PROCEDURES IN
RECORDS REPOSITORY
Procedures in records repository
 There are a few procedures that should be considered in
managing records in Records centre which:
1. Liaising with records offices
2. Transferring records to the records centre and accessioning
records
3. Retrieving and using records held by records centre
4. Disposing of records, including destruction or transfer of
records to the archival institution
5. Measuring and reporting performance
Procedure:
1. Liaising with records offices

 Records centre staff should be familiar with the records

office officers, it procedures and current situation.

 Active liaison between the two officers is necessary, so

that records can be removed from records office and are
deposited to the records centre, transferred to the
archival institution or destroyed as required by the
disposal schedule.
 Procedure:
2. Transferring and accessioning records

 There are two types of disposal schedule:

 general disposal schedule which covering all administrative records common to the
organization as a whole
 agency disposal schedule which is covering those records specific to particular
agencies.
 Records officer should issue this schedule relating to their own agency as
well as with copies of relevant general schedules.
 They are responsible for seeing that closed files are transferred to the records
centre at proper time.
 Records Supervisor will notify if there are specific reasons why records
should be retains for certain period other than those identified in the disposal
schedule.
Procedure:
2. Transferring and accessioning records
 Once records have been transferred, records centre will holds
copies of all disposal schedules and records centre staff are
responsible for carrying out all required procedures such
retrieving records when it requested, reviewing files if required,
transferring files to archival institution or destroying obsolete
records.

 Some records may be schedules for destruction within one year or

less of their creation. These records should not be transferred to
the records centre. Where else, it should be destroyed by the
records office under the secure condition.
Procedure:
2. Transferring and accessioning records
 When records are received at the records centre, records centre
staff should not simply accepts records that are not included on a
disposal schedule.
Procedure:
2. Transferring and accessioning records
There are following steps involved in accessioning records in the records
centre:
a) Identification of the Originating Government or Corporate Office
b) Communication and transport
b) Transferring records to records centre
 Checking the records
 Determining the action category
 Preparing the boxes
 Storing the boxes
 Distributing the transfer lists
 Labelling the boxes
 Updating the boxes
 Updating the location register
 Procedure:
2. Transferring and accessioning records
Accessioning records in the Records center
 done through accession lists or better known as transfer list –
list of records transferred to record center by a transmitting
office
 usage of prescribed form to ensure uniformity and
completeness
 prepared with a minimum of two copies : one copy sent in
advance to records center and one retained in the office
 a separate form for each records series preferable for easy
control
Aspects to be concerned in records
transfer process
1. Transfer List Content
 office identification
 official name of records series
 span of time covered by records – important for
identification and disposal purposes especially financial
records to indicate the age of the records
 temporary number of carton in which records are placed –
identification purposes until carton is assigned permanent
number
 retention schedule number
 destruction date
Aspects to be concerned in records
transfer process
2. Transfer Approval
 when transfer list is received by records center, it will be
reviewed for completeness, continuity and eligibility
 completeness check will make sure that all items on
transfer list are furnished:
 correct name of records listed
 sub-details is sufficient for retrieval
 Aspects to be concerned in records
transfer process

 continuity check – reviewing past accessions of records series to verify prior

records have been received [oldest records accessioned first]

 eligibility check – checking the items on the transfer list against the retention
schedule to determine if they are eligible for records center storage
Aspects to be concerned in records
transfer process

3. Pick-ups
 when transfer list is approved, shipment schedule
for pick up will be determined
 pick-up procedure may vary depending on:
 location of records center – daily basis if located in the
same building or weekly basis or as scheduled if
located distance away
 organizational structure
 Aspects to be concerned in records
transfer process

4. Space Assignment
 when records are received – it is placed in staging or processing area–
check against transfer list for space assignment
 space numbers are assigned and written on carton in processing area –
using complete and current register of space vacancies
 Aspects to be concerned in records
transfer process

5. Indexing Methods
5.1 Control Card System
 consist of ledger sheet or card for every records series held in records center
 kept in departmental or retention schedule order, alphabetical order by record
series, title or numerical order by title codes
 each transaction is posted to these cards from the transfer list
5.2 Transfer list system
 both department and record center maintain copies of transfer list
 lists are searched to secure the space number assigned to the given records
 system well if transfer list is limited to one series per sheet
5.3 Control Card
 combining the 2 systems involve maintaining an index to the transfer list
which contain multiple series of records
Procedure:
3. Retrieving and using records held by records centre
 Basically, records centre facilities is not available to the public. Public
access to documents is provided only by the archival institution, subject
to statutory provisions
 The facilities in records centre is distinguished by two segments:
 Providing access to records
 Issuing a Records by post
 Responding to a telephone or fax request
 In-person request Records
 Retrieval procedures
 Consulting records in the Records centre
 Access to personnel records and other special classes
Procedure:
3. Retrieving and using records held by records centre

1. Search and Charge Out Procedures

 records request via telephone, fax, manual (Records Centre Request Form)
 charge out procedures - making record's loan (Records Centre Issue Sticker)
 2 purposes - to keep track of the records while it is out - to ensure its return
 form completely in triplicate containing:
 name, phone number and location of the requestor
 name and full description of records
 space number and date
 1st copy - replace the record in the file
 2nd copy - attached to records as routing slip
 3rd copy - placed in suspense file for follow up if required
 Procedure:
3. Retrieving and using records held by records
centre

2. Follow Up Procedures
 Records should be returned within the specific time after charging
out
 If not, reminder will be sent to requestor (Records Centre
Reminder Form)
 If extension needed, charge out form should be refilled and the
whole process repeated
 Procedure:
3. Retrieving and using records held by records
centre

3. Refilling
 process of filling records that have been charged out

4. Inter-filling
 placing of documents into containers previously sent to records center - may be
new documents required to complete a unit
Procedure:
4. Disposal
 Records centre staff facilitate the authorised and timely destruction of records
that are no longer needed for ongoing business and that have no value

 Staff may also take part in the process of identifying records do have archival
value (appraisal process) and ensure that these are transferred to the archival
institution

 never been destroyed without any written and specific authority that based
upon the procedures laid down on legislation
Procedure:
4. Disposal
 In disposing records, there a few process or action that needs to be
taken such:
o Action date and review procedures
o Schedules destruction of records in the records centre
o Transferring records to the archival institution
 Procedure:
4. Disposal

Disposal from Records Center

 records manager is the custodian of records not the owner -
final approval from the owner needed before records are
destroyed.
 Procedure:
4. Disposal

Disposal system
accession process noted the date of destruction on transfer list
 a copy of list will be file in suspense file by the earliest destruction date shown
 transcribe to destruction authorization form
 sent to originator for approval and received form
 list space numbers covering records approved for destruction on cards
 arrange card in numerical order
 removed records from the shelves
 take records to disposal area until scrap or shred
Procedure:
5. Measuring and reporting performance
 The records and archives institution must always be able to
account for its operations and their costs
 able to identify measurable benefits to the government
 take care to quantify its work
 compile statistics for each of the following categories of
information:
 number of boxes accessioned to the records centre
 number of boxes destroyed by the records centre
 number of scheduled files destroyed in records offices
 number of files transferred to the archival institution
 number of records issued on loan to agencies
Procedure:
5. Measuring and reporting performance

 use the figures for monitoring and planning purposes.

 should include the following:
 performance of procedures for the retirement and transfer of
semi-current records from the records office, and their
accessioning in the records centre
 performance of procedures for the retrieval, issue and return,
and provision for use of records or information from the
holdings of the records centre
 performance of procedures for the orderly and appropriate
disposal of records from the records centre, either by
destruction or transfer to the archival institution.
Procedure:
5. Measuring and reporting performance

Reference Analysis
 valuable procedure - should be done at least manually
 when there is obvious change in work flow patterns
 analysis enable records manager to know:
 how many reference are made for any given records series
 the age of records being referred
 number of records that cannot be located or charged out
 who uses the records center
 when the records are used
 how old records are when they ceased to be used
 where 'high activity' records are located in records center
Reference Analysis File
 designed to accommodate data in functional manner arranged by:
 records series - to determine the number of searches, time
span of records searched, the number of can't find, charge
out and source of request
 user or owner of records - to determine the types of records
used, age of records used, number and frequency of request
and number of follow up required
 date - to determine the source of requests and periods of high
and low activity on a particular records series
 space number - to determine the high and low activity areas
used in records center
EQUIPMENTS
EQUIPMENT
 The most common types of equipment used in records
centre are upon steel shelf and cardboard container
 records centre because of is considered efficient and
economy
 It is relatively inexpensive
 It affords excellent use of space
 It does not ordinarily require the unpacking of records before
they are accessioned
 It simplifies disposal
Cont…
 The systems will work well if the following conditions are
prevailing:
 The standard records centre carton can be used for most
records
 shelving is standardized
 retrieval rate is low
 Interfiling is minimal
Types of equipment: Carton

 The records centre carton has been standardize so that it holds

letter-size documents placed in one direction and legal-size
document in the other.The carton measures such:
 on the inside 15 inches deep
 Figure 4: Standard Records Centre Carton with Shoe Box-type Lid
 12 inches wide 10 inches high
 It occupied 12.5 inches wide by 16.5 inches of shelf space because of its cap
Cont…
 special and nonstandard containers, such designated to hold the
entire content of one file drawer simplifies indexing and expedites
transfer of records to the records centre
 For example engineering roll drawings are usually stored in long.
Squared cartons measuring 4 by 4 by 40 inches, with length
varying according to the drafting standards of the organization.
 Types of equipment: Shelving

 The type of shelving that most commonly used is fairly standard industrial-type
shelving such:
 Basically each shelving unit consist of four 13-gage round-edge angle-upright posts, drill
with holed every inch so that they can be fastened to the shelves at the selective interval.
 The 18-gage steel shelves also have a holes drilled on each corner, they are fastened to the
uprights with ½ inch stove bolts and nuts.
 The height of shelving unit can rise to approximately 14 feet without the need for catwalks,
because this height can be safely reached with ladders.
Types of equipment: Shelving Size

 The shelving is normally steel, is constructed so that it will

accommodate the standards record centre carton with economy
and fully use the available floor space.
 Shelves of a unit normally measures 30 inches in depth and 42 inches in
length, which accommodate 6 standards carton in a single layer.
 Standard shelf sizes vary in length in 16-inch increments such 24, 30, 36, 42
and 48 inch. The width that vary 3-inch increments, up to 18 inches and 6-
inch increments, from 24 to 36 inches such 9, 12, 15, 18, 24, 30 and 36
 Types of equipment

 As an alternative to the shelf-carton method, the interlocking, drawer-

type transfer case is sometimes used
 This case approximates the size of the standard letter-size file drawer and
is in fact a metal or fiber box with sliding drawer
 The advantage of the transfer case is that can be used in much the same
manner as a file cabinet, while its modular design gives it flexibility and
mobility.
 disadvantages are the difficulties in accessions and disposal in the records
centre which cases is very heavy when full
 Types of equipment: Peripheral Equipment

 For the process for shelving and transfer cases, the

records centre requires other types of equipment such
as:
a) Ladders
 It is designed like a movable stairway, with handrails, a platform
at the top for placing carton and spring wheels that make the
ladder stationary when it use.
b) Hydraulic lifts
 Large centre with high stacks may require a mobile
hydraulic lift or fork-lift truck where beneficial in
accession and disposal work. It is used to lift pallet
of records centre carton within the centre and up to
higher shelves.
c) Three-sided stock trucks
 At least one four wheel, three-sided stock
truck is required to push loads of records
cartons from various offices to the records
centre and to various point in the records
centre
d) Cart
 Carts are use for reference and interfile work in the record centre stack Ares and are
small enough to manoeuvre between the rows of shelving.
e) Fire Extinguishers and hoses
 Fire extinguishers must be approved by
local code and should be available at
each alarms-striking station and at
reasonable intervals throughout the
stack and staging areas. Interior hose
station should be provided so that a
stream of water can be reaching any
part of the stack areas.
 Motor truck vehicle
 Truck will require making pick-up and deliveries. The truck must be covered
and should have a cargo area large enough to hold 200 cartons. This vehicle
may be used on a pool arrangement