Records Management and Leadership

1. IMR 452
WEEK 6
STAFFING AND PERSONAL MANAGEMENT

2. RECORDS CENTER: STAFFING
REQUIREMENT
 Within the records center, there are four groups of
staff activity:
o liaison with creator agencies and management of
reference service
o management of the holdings within the records
center
o security, transport and housekeeping within the
center
o liaison with the archives

3. RECORDS CENTER: STAFFING
REQUIREMENT
 STAFF DUTIES
o liaising with creating agencies
o receiving records from creating agencies
o retrieving records on demand
o retrieving records for transfer to the archives
or for disposal
o administrative duties

4. TRANSFER OF RECORDS
 The physical movements and the transfer of
records to Records Center involves the
following processes:
o the receipt of new consignments of records
from agencies
o the issuance of records to agencies on request
and the return of records from them
o the transfer of selected records to archives

5. TRANSFER OF RECORDS
o entries to register of the movement of records
to and from records center includes:
 user name
 records title
 reference number
 date taken/date return

6. MANAGEMENT OF RECORDS
 preparing records for storage
 executing and maintaining control and retrieval
system procedures – check transfer lists, filing lists
and complete accessioning procedure
 completing statistical information
 receiving and carrying out requests for information
and records
 implementation of retention and disposal schedule

7. MANAGEMENT OF RECORDS
 Dealing with preparing records for storage,
certain procedures should be followed by the
records staff and creating agencies.
 Both creating agencies and records center
must play important role to ensure all records
are transferred in safe condition and well
maintain stored in the records center.

8. PROCEDURES
 Accession
 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

9. PROCEDURES
 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

10. PROCEDURES
 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

11. PROCEDURES
 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

12. PROCEDURES
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
o either mail or messenger of the department handle or
records center personnel

13. PROCEDURES
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

14. PROCEDURES
Indexing Methods – 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

15. PROCEDURES
Indexing Methods
 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

16. PROCEDURES
 Control Card
 combining the 2 systems involve maintaining
an index to the transfer list which contain
multiple series of records

17. PROCEDURES
 Search and Charge Out Procedures
 records request via telephone, fax, manual
 charge out procedures - making record's loan
 2 purposes - to keep track of the records while
it is out - to ensure its return

18. PROCEDURES
 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

19. PROCEDURES
 Follow Up Procedures
 records should be returned within the specific
time after charging out
 if not, reminder will be sent to requestor
 if extension needed, charge out form should
be refilled and the whole process repeated

20. PROCEDURES
 Refilling
 process of filling records that have been
charged out
 Inter-filling
 placing of documents into containers
previously sent to records center - may be
new documents required to complete a unit

21. PROCEDURES
 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

22. PROCEDURES
 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

23. PROCEDURES
 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

24. PROCEDURES
 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

25. PROCEDURES
 Disposal from Records Center
 records manager is the custodian of records
not the owner - final approval from the owner
needed before records are destroyed

26. PROCEDURES
 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

27. PROCEDURES
 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

28. Thank you