Key Activities in

Records and Archives

Management

Week 8

OVERVIEW

1.0

Registry and
its functions

2.0

Organising
and
controlling
records in
the office
environment

3.0

Providing
physical
protection
for
records

4.0

Managing
Records
Center

5.0

Managing
Archives

1.0 Registry and its function

A traditional registry has the following functions:
Basically, a registry is expected to house the entire
series records kept in a particular department, and
have intellectual control over the records.

A registry has the function of officially dispatching and

receiving all letters. It registers all letters received
from both internal as well as external sources.
Incoming letters are stamped received on a
particular date. The date of receipt and the name of
the sender is entered into a register.

Cont.
A registry monitors the movement of records or files.
This ensures that all file movement is properly
recorded, and those borrowing or keeping a particular
file returns it to the registry at the right time.

A Registry ensures that the action to be taken on a file

is brought to the attention of the staff concerned.

A registry keeps track of all the 3 phases of the record

life cycle

Cont.
A registry keeps track of all the 3 phases of the record
life cycle. Based on this knowledge, the registry is
able to carry out the following activities:
- Physically segregate the files according to the 3
phases of records life cycle and
- Prepare an updated list of files to be destryoed.

Centralised VS Decentralised
There are 2 types of registry:
Centralised Registry & Decentralised Registry
Centralised Registry
Centralised registry means the control comes from one
location (e.g. Main registry) to control the following
components:
- The records system
-The records staff
- The allocated space for the registries
- The records equipment and supplies

Cont.
These components will govern the classification, use,
- care custody and the final disposition of the records.
When there is effective centralised control, then the
physical decentralisation of the files to their most
servicable location becomes possible and practical

cont
The advantages of centralized registry
There is intellectual control over the records created
because a uniform policy direction, centralized mail
operations, centralized messenger services, uniform
the description, uniform file operations, uniform
scheduling and disposal standards and practices.
There is control over records creation in accordance
with a file design. This would ensure that records will
not be duplicated.
Standard procedures on record management will be
in place.

cont

In a central registry, the keeping of records can

evolve into a specialized activity. The records
manager who is in charge will benefit form the
experience of working in a centralized registry.
There is savings in terms of manpower and
equipment.
There is a clearly understood responsibility on the part
of central registry for good records management.
Confidentiality of information is more easily
safeguarded
Information hogging will be difficult

Decentralised Registry
These are various units or division within a department
(normally al large department) that have their own small
registry units. This means that the various registries will
have their own records systems, records staff, allocated
space for the registries and record equipment and
supplies. As a result, the classification scheme, use, care
and final disposition varies in practice.
The advantage of a decentralized registry are:

Easy access to information and faster retrieval also

speedier decision making
Savings in labour and expensive equipment

1.0 ORGANISING AND

CONTROLLING RECORDS
The first step in managing records throughout their life
cycle is to organise and control records at the point of
creation and use: as current records.

The purpose of managing current records is to ensure

efficiency and economy in office operations, to control the
creation and use of information and to protect valuable
information against loss or damage

The steps involved in organising and

controlling current records

1.1
1.2
1.3
1.4
1.5

Analysing and restructuring records

systems
Maintaining records systems
Developing and implementing
classification systems
Developing and implementing records
schedules
Appraising records and retaining those
with continuing value while disposing of
non-current records.

1.1 Analysing and restructuring

records systems
Business systems analysis does not just examine and improve day-to-day
office systems; rather, it serves to enhance the entire operations of an
organisation, clarifying goals and determining responsibilities.

Records systems how information is created, filed, retrieved and disposed

of can be significantly affected by changes in systems and processes.

The records manager in an organisation can offer significant input to

business systems analysis. He or she can comment on the effect of systems
re-engineering on records keeping, ensuring that records are managed
efficiently and according to legislative or policy requirements.

The records and archives institution may choose to undertake its own
systems analysis of the functions of its own agency. For example, the
archival institution may revise processes such as receiving records from
creating agencies, documenting transfers, assessing records for
conservation requirements or providing reference services.

1.2 Maintaining records

systems
maintaining control over the documentation used to
record the creation, use and disposal of current records,
such as registers and logs

systematically managing the creation and handling of

records, such as correspondence, mail and forms

managing the creation and use of files

ensuring the regular transfer of records from current to
semi-current storage and the destruction of obsolete
records.

1.3 Developing and implementing

classification systems
Classification: The process of identifying and arranging records and
archives in categories according to logically structured conventions,
methods and procedural rules represented in a classification system.

File classification system: A predetermined logical scheme for the

physical and intellectual arrangement, storage and retrieval of files.

File: An organized physical assembly (usually within a folder) of

documents grouped together for current use or in the process of
archival arrangement because they relate to the same subject,
activity or transaction. Note: A file is usually the basic unit within a
record series.

Cont
There are four main types of classification systems used for the
arrangement of series of files within government. The four types are
1.
2.
3.
4.

function or activity, reflecting the work of the agency

hierarchical, reflecting administrative structures
keyword or theme, reflecting functions or subjects within a hierarchy
alphabetical.

Coding is used to represent any classification system, by replacing

file titles with numerical or alphanumerical codes
. ADM/P&E/APP

= Administration: Productivity and Efficiency:

Staff Appraisal
. ADM/P&E/COM = Administration: Productivity and Efficiency:
Computerisation
. ADM/P&E/EFR = Administration: Productivity and Efficiency:
Efficiency Reviews

1.4 Developing and

implementing records schedules
The next step in managing current records is to develop a disposal schedule,
sometimes called a retention and disposition schedule or list

Disposal schedule: The control document recording appraisal decisions and

prescribing disposal action. Also known as disposal list, disposition schedule, records
schedule, retention schedule, retention and disposal (or disposition) schedule or
transfer schedule.

Retention period: The length of time, as provided for by legislation, regulation or

administrative procedure or based upon an estimate of the frequency of continuing
use, that records should be retained in an office or records centre before they are
transferred to an archival institution or otherwise disposed of.

Disposal date: The date on which actions specified in a disposal schedule should be
initiated.

Destruction: The disposal of documents of no further value by incineration,

maceration, pulping, shredding or another secure method.

Cont

CLASSES OF DOCUMENTS

PERIOD AFTER
WHICH
DOCUMENTS
MAY BE
DESTROYED

1. Appropriation Accounts documentation

FY + 9 years

2. Payments vouchers

FY + 6 years

3. Cash Account vouchers

FY + 2 years

4. Receivable Order documentation

FY + 2 years

Sample Records Retention and Disposal Schedule

Source: Public Record Office, UK. PRO Manual of Records Administration, annex to s. 3.2.

1.5 Appraising and

Disposing of Records

Primary value: The continuing utility

of records or archives, by virtue of
their contents, for the transaction of
the business that gave rise to their
creation.

Secondary value: The enduring value

that records or archives possess, by
virtue of their contents, for purposes
other than the transaction of the
business for which they are created.

Cont

The primary value of records can be further

subdivided into three categories
Operational value
Legal Value
Fiscal (Financial) Value

The secondary value of records can also be

divided in categories
Evidential value
Informational value
Intrinsic value

Cont..

Once

records have been classified and

scheduled and appraisal guidelines have been
established, they may be disposed of.

Current records will become semi-current,

archival or obsolete.

Disposal involves sending records from the office

to the records centre or the archival repository or
destroying them under secure conditions if they
are obsolete.

2.0 PROVIDING PHYSICAL

PROTECTION FOR
RECORDS

Preservation is a crucial element in an Integrated Records

Management Programme. If records are not well protected
physically throughout their life cycle, they will not survive long
enough to serve their administrative and cultural purposes, as
evidence and information of present and past activities.

Preservation: A term referring to the passive protection of

archival material in which no physical or chemical treatment to
the item occurs.

Conservation: The intrusive protection of archival material, by

the minimal physical and chemical treatments necessary to
resist further deterioration, which will not adversely affect the
integrity of the original

Cont

The key steps in providing physical protection for

records include
implementing and maintaining preservation measures
developing and testing emergency plans to protect
records
controlled temperature and humidity
controlled lighting
adequate shelving for all records
adequate storage containers, such as boxes and file
folders
secure access to storage areas to prevent loss or
damage to records

3.0 Managing Records in

Records Centres
The next key step in the management of records throughout
their life is the management of semi-current records, which are
usually cared for in separate records centres.

The steps involved in managing records in records centres

include
3.1 Developing and maintaining offsite facilities
3.2 Transferring, storing and retrieving records according
to disposal schedules
3.3 Disposing of archival or obsolete records.

3.1 Developing and maintaining

offsite facilities

Records centre: A building or part of a building designed or

adapted for the low-cost storage, maintenance and
communication of semi-current records pending their ultimate
disposal.

The functions of the records centre are to

receive and administer all records, in whatever format, that are
retired from current records systems
provide a reference service based upon the records
dispose of all records held in accordance with disposal
schedules.

The records centre must be capable of holding all the records

that are eligible for it (including records in specialised media)
and providing a dependable retrieval service for them.

3.2 Transferring, storing and retrieving

records according to disposal
schedules

The records centre is not the place for permanent retention of

records. No records should be transferred to the records
centre unless appraisal has taken place and there is a
disposal date attached to the records.

The appropriate action may be to destroy them, review them

or transfer them to the archival institution. These actions are
indicated in the disposal schedule, which is the authoritative
official record.

Once the records centre receives records, it provides highdensity, low-cost storage, retrieving records on the request of
creating agencies and providing access to those records. As a
rule, records in records centres are not available to the general
public.

3.3 Disposing of archival or

obsolete records

It is the job of the records centre staff to identify and

dispose of records ready for destruction or transfer to the
archival institution.

No records are destroyed without written and specific

authority, based upon procedures laid down in the ruling
legislation.

In the case of scheduled records, authority for destruction

or transfer to the archival institution comes from the
disposal schedule.
Responsibility for carrying out
disposal procedures lies with the records centre staff.

4.0 Managing Archives

The management of archives takes place in the last phase of
the records life. Archives management is concerned with the
care, custody, description and retrieval of records once they
have been transferred to the archival agency.

Once records are selected and transferred to the archival

repository, they become archives in the formal sense and are
covered by specific legislative provisions, policies or
guidelines.

The steps involved in managing archives include

4.1 acquiring and receiving archives
4.2 arranging and describing archives according to archival principles and
practices
4.3 providing public access to archives.

4.1 Acquiring and receiving

archives

The archival institution should have a plan for acquiring

archives from its sponsor agency.

It should be able to determine the quantity and nature of

materials to be transferred each year so that it can allocate
appropriate space and resources to their receipt and
management.

Archives must be transferred according to disposal schedules.

Preparing archival materials for transfer and accessioning
involves a series of procedures, which are performed either by
the archives staff or by the records office or records centre
staff, as appropriate.

Cont
These procedures include

appraising records according to the appropriate disposal schedule

cleaning and tidying records to be transferred to archival care
inserting dummies to replace missing or withheld items
labelling items with dates and reference numbers
boxing records
listing records
completing an accession form.

4.2 arranging and describing archives

according to archival principles and
practices

Arrangement:

The whole process of analysing the

organisation of sets of archives, whereby their provenance and
original order are understood and the archives are set into
groups, series and items in an order that preserves and
reflects that understanding.

Description: The process of capturing, analyzing, organizing,

and recording information that serves to identify, manage,
locate and explain archives and the contexts and records
systems that produced them.

4.3 Providing public access to archives.

The next step in managing archives is to ensure they are

available for public use, either by members of the government
or corporation or by citizens or others wishing to do research
The reference room of an archival institution is the contact point for
anyone who wishes to find out about holdings, by correspondence, by
telephone or in person.
Reference staff should reply to correspondence and telephone
enquiries accurately, promptly and politely and make researchers feel
welcome.
Search room: The area in an archival repository open to users for the
consultation of archives and the finding aids that relate to them. Also
known as a reading room.

Cont
Strict enforcement of the rules and protecting the archives by correct
handling deters people from misusing documents and even from
potential criminal action
The tracking procedure allows them to be controlled at all times when
they are out of place, facilitates their replacement in the correct location
and provides a record of which documents have been seen.
Many archival sources are held in the form of microfilm. In general, it is
best to have procedures that will allow users to do as much of the work
of selecting the material they want and setting up the microfilm
themselves as possible.

Thank You !

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