Functional design of records center
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The document discusses the key considerations for establishing and managing an effective records center, including administrative structure, site selection, pilot projects, services offered, records formats, cost recovery, and necessary policies. It outlines the functions of receiving, storing, and disposing of records according to schedules. Details are provided on staffing needs and responsibilities, facilities and equipment required, and importance of service levels, costs, and authority structure. The records center is positioned as an important part of the overall records management system.
Functional design of records center
- 1. Records Center Management: people, procedures and equipment requirements. 1
- 2. 1. Establishing an administrative structure. 2. Collecting information about records systems. 3. Deciding on a physical site for the records centre. 4. Constructing or adapting a building for use as a records centre. 5. Conducting a pilot project to manage the records of selected agencies. 6. Establishing a full records service. 7. Caring for records in different formats. 8. Determining a plan for costing services. 2
- 3. Functions of Record Centers :- 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 and plans. 3
- 4. Records centre will exist within the structure of the organisation’s records and archives institution, as a branch of the archival facility. The records centre serves as one of the principal instruments of the records and archives institution and is an important element in a government’s or business’s capital investment programme. It is important that the organisation should make proper use of the records centre and that records centre policies be clear and appropriate. 4
- 5. When planning a records centre, decisions have to be made on the following policy issues: ◦ centralisation ◦ location ◦ means of transport ◦ communications and technology ◦ staffing ◦ accommodation ◦ authority, service levels and costs. 5
- 6. one records centre or several? The best control may be achieved when there is one single records centre, under a unified management. 6
- 7. However, local circumstances must be taken into account. For example :- In a country where records are scattered, or decentralized administration (provisional or regional governments), or geographically impossible. 7
- 8. Based on the structure and needs of your organisation, give three advantages and three disadvantages to centralising a records centre for your organisation. Then give three advantages and three disadvantages to decentralising the records centre. (Your advantages and disadvantages for each will no doubt include similar points.) Which way would you suggest is best? 8
- 9. Should the records centre be on the central site or at a remote site? The advantage of locating the records centre close to the creating agencies is that transfer and retrieval of records is facilitated. 9
- 10. The principal disadvantage of a central location is cost Records centres are essentially bulk warehouses, and this type of accommodation is usually best provided in industrial estates or in low-cost areas away from the main urban or business centres. 10
- 11. The classic model records centre is a free- standing building situated not too far from the main record-creating agencies but in an area that allows for minimum capital and recurrent costs and convenient communications. 11
- 12. How will the records be transferred, disposed of and retrieved? Records that are retired from current systems should be transferred to the records centre regularly. In general, agencies should be encouraged to make smaller transfers more frequently rather than larger transfers less often. However, difficult transport arrangements may make this impractical. Suitable transport arrangements will always improve the efficiency of the service. 12
- 13. The records centre should have accommodation and equipment to facilitate large transfers of records :- ◦ weather-proof loading bay, adequate parking ◦ space for large vehicles ◦ a working area where transferred materials can be cleaned and checked before being placed on shelves. 13
- 14. The records centre should also be able to receive, store and retrieve records in non-typical formats. The records centre is not simply a storage area but the base for an information service. Materials held in the records centre must be available for use. 14
- 15. Records are also regularly moved out of the records centre, under the provisions of the disposal schedules. 15
- 16. The records centre should have facilities to allow users to attend at the records centre and examine documents under certain conditions. For example :- ◦ controlled and supervised search room. ◦ suitable arrangements for visitors to reach the records centre ◦ Car parks 16
- 17. Apart from the physical transport of materials and people, there must be easy and practical means of communication between the records centre and its users. Means of communication in this context include not just physical access but also telephone, fax and local computer network links. 17
- 18. Communications systems are required to 1. arrange for and facilitate the transfer of records from the agencies to the records centre 2. arrange for the transfer of records from the records centre to the archival repository 3. arrange for the disposal of records ready for destruction 4. allow agencies to request records, to ask for statistical and other information about the working of this aspect of the records and archives institution or to obtain information on the presence or absence of records 5. allow records centre staff to check on the whereabouts and return of records that have been issued to agencies. 18
- 19. Within the records centre, there are four types of staff activity: ◦ liaising with creator agencies and managing reference services ◦ managing the holdings within the records centre ◦ providing security, transport and housekeeping within the centre ◦ liaising with the archival institution. 19
- 20. The responsibility for tasks within these groups should be allocated to particular posts. Suitable job descriptions should be prepared, regardless of the size or scope of the staff. The records centre manager is responsible for reporting to the records and archives institution at agreed intervals. 20
- 21. Director Records Center Manager Liaison with Records Offices Internal Management Security and Transport Liaison with Archives 21
- 22. Records centre should be adequately staffed. Adequate staffing means that there should be enough people to do the work efficiently. But the service should always be cost effective; there should not be too many staff. Further, each staff member should be given a set of tasks and responsibilities he or she is reasonably capable of carrying out. Records centre staff must undertake a range of activities, from liaison with creating agencies to care of records and related administrative work. 22
- 23. Duties of Records Centre Staff liaising with creating agencies receiving records from creating agencies retrieving records on demand retrieving records for transfer to the archives or for disposal communications and technology management administrative duties. 23
- 24. LIAISING WITH CREATING AGENCIES Records centre staff need to be aware of the current situation within each of the user agencies, particularly in their records offices. The service begins with identifying which records should be transferred to the records centre. Records staff should always be able to know and state the basic statistics of their branch of the service in relation to any particular creator agency. They should know the overall bulk of records held in the records centre for each department or office; the frequency of reference to the main series; and the rate at which records are removed from the centre according disposal schedules. This information enables the records and archives institution to draw up and carry out its plans of action. 24
- 25. RETRIEVING RECORDS ON DEMAND When staff in the creating office request records, these should be retrieved and issued in accordance with agreed procedures. Records centre staff should track the movement of records issued to user departments and ensure that records are returned within the normal time. In some cases, records may be made available to authorized persons in the search room of the records centre, under supervision. Records centre staff are responsible for retrieving the correct record, controlling its issue and return, supervising its use in the search room and ensuring its return to the correct location. Ideally, only one staff member in the records centre should be in charge of the copying and reproduction of records. There may be a guideline that records should be issued in photocopy form and not in the original, wherever feasible, to protect originals from loss. 25
- 26. RETRIEVING RECORDS FOR TRANSFER Records centre staff will be responsible for identifying and preparing records for transfer to the archival institution or for destruction. This work involves maintaining disposal schedules, ensuring the appropriate and secure transfer of records and documenting all actions taken. 26
- 27. COMMUNICATIONS AND TECHNOLOGY MANAGEMENT Only one staff member should be responsible for the computer system, if one is used. This area of responsibility involves liaison with the appropriate officer in the records and archives institution. Tasks may include the choice of the hardware and software systems used. The choice of system should be in general accord with government or corporate policy and civil service or organisational practice. Every effort should be made to standardise computer systems across the organisation. 27
- 28. Any automated systems used should be standardised across the organisation. ◦ The staff member responsible for computers will be responsible for the supervision of clerical and other work in data input, management of the databases, retrieval of information and compilation of statistics. 28
- 29. ADMINISTRATIVE DUTIES In addition, there should be adequate trained staff available to carry out cleaning and housekeeping work, enforce security procedures and drive and maintain vehicles needed for records centre work. 29
- 30. There must be accommodation for all of the processes of the records centre, including the transfer, management and storage of records, the provision of reference services, staff facilities and storage and maintenance of vehicles. 30
- 31. Transfer of Records The physical movement and transfer of records involves the following processes: ◦ receiving new consignments of records from agencies ◦ issuing records to agencies on request and receiving returned records from them ◦ transferring selected records to the archival institution. All these movements require the use of a loading bay. This area should be protected from the weather and should lead directly to a clean, secure work area. 31
- 32. Management of Records Suitable accommodation is needed for the following processes: ◦ preparing records for storage ◦ executing and maintaining control and retrieval system procedures (this includes checking transfer lists, filing lists in the appropriate places and completing the accessioning procedure) ◦ completing statistical information ◦ receiving and carrying out requests for information or records. 32
- 33. These processes need sufficient office space to allow for the use of boxes or cabinets in which to file the transfer lists and other forms in use. The records centre’s communications systems (telephone, fax, computer) will be sited here. Ordinary office facilities will be needed, including desks, filing cabinets (for filing correspondence with agencies), stationery and materials storage. 33
- 34. Storage of Records The main purpose of the records centre is to hold records for the agreed time. The bulk of space in the building should be devoted to storage. 34
- 35. Reference to Records If authorised persons will be given supervised access to records, provision needs to be made for a records centre search room. Generally the facilities offered should be similar to those available in the archival institution, though perhaps not as large. There should be ◦ desks or tables at which users may consult the records ◦ a desk for the supervising officer (placed so that the officer can see the users) ◦ shelves for reference material ◦ access to a photocopier. 35
- 36. Facilities for Staff Staff need suitable working and recreational accommodation, in accordance with the standards in effect within the government or organisation. At remote sites this may involve the provision of meals. Toilets and washrooms must also be provided and must meet appropriate standards. 36
- 37. Storage and Maintenance of Vehicles If transport is provided by the records centre, such as to bring records to and from offices, accommodation will be needed for the vehicles, together with facilities for maintenance. 37
- 38. Authority, Service Levels and Costs The service offered by the records centre and its staff form part of the larger records and archives institution, which should be established on a firm statutory basis and managed in accordance with a records policy. Actions taken by the records centre staff should have the authority of the records and archives institution and should follow procedures laid down by it. 38
- 39. The level of service offered should be the subject of specific regulations, procedures and agreements, which should cover such matters as :- ◦ the retirement of records from current systems ◦ the preparation of records for transfer ◦ the arrangement and transfer of backlog accumulations of records ◦ the provision of reference to records held at the records centre ◦ the release and return of records used for reference purposes ◦ the destruction of records under the provision of the disposal schedule. 39