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Derek Charman
1. INTRODUCTION
1.1 The basic terminology of any field of activity undergoing significant change is essentially unstable. This is particularly the case of records management and, to a lesser extent, of archives administration. Because the basic terms now in use have acquired a variety of meanings in different contexts and countries, this introduction indicates the particular meanings assiged to the terms used in this study. The definitions, in turn, are based upon those proposed in a glossary prepared by a working group of the International Council on Archives and scheduled for publication in 1984.
1.2 A record may be defined as 'recorded information, regardless of form or medium, received and maintained by an agency, institution, organisation or individual in pursuance of its level obligations or in the transaction of business of any kind". This includes "any paper, book, photograph, microfilm, map, drawing, chart, magnetic tape or any copy or print-out thereof".
1.3 Records management may be defined as "that area of general administrative management concerned with achieving economy and efficiency in the creation, maintenance and use, and the disposal of records during their entire life-cycle". The life-cycle of a record is its progression from creation to final disposal. It includes the following phases:
1.3.1 Current records - records that are regularly used for the current business of an agency, institution or organisation and continue to be maintained in their place of origin or receipt (sometimes called 'active' records);
1.3.2 Semi-current records - records that are required so infrequently for current business that they should be transferred to a records centre pending their ultimate disposal (sometimes called 'semi-active' records);
1.3.3 Non-current records - records no longer required for current business which should be with destroyed or transferred to an archival repository (sometimes called 'inactive' records);
1.4 Archives are non-current records preserved by the organisations responsible for their creation, or by their successors in function, or by an appropriate archives service, because they are of permanent value.
1.5 Numerous activities can be included within a broad definition of records management, such as word processing and the management of correspondence; the management of forms, reports, and directives (e.g. standing instructions and technical manuals); files classification and management, including the use of ADP, EDP and microform systems for the storage and retrieval of information; mail management; office machines and supplies management; centralised microform operations; records centre operations; vital records and archives preservation programmes. Although it is possible to develop a records management programme by concentrating on any one of these elements, the key elements of a comprehensive programme are the records survey and the records schedule which determine the retention and disposal of records. The basic information obtained by these means will greatly facilitate the development of improvements in records creation and maintenance and in particular, a records survey is an essential preliminary for the improvement of filing systems, which are the basis of good paperwork management.
1.6 A records survey has been defined as "the gathering of basic information about records regarding their quantity, physical form and type, location, physical condition, storage facilities, rate of accumulation, use and similar data for the purpose of planning acquisition and disposal programmes, microfilming operations, new facilities and related archival activities". To this definition, which relates the survey solely to archival activities, should be added the purpose of better records management within the offices where the records were created.
1.7 A records schedule is a document describing the records of an organisation and authorising all the actions to be taken for their disposal. These include microfilming; file-breaks; their transfer to a records centre when they are semi-current, pending the completion of their periods of retention; and their destruction or transfer to an archival repository when they are non-current, generally after a specified period (30 years after their creation in the case of the public records of Great Britain).
1.8 It may be argued that surveys and schedules are elaborate ways of achieving what is, after all, a simple purpose, the destruction of records or their transfer to archives. In reality the situation is quite otherwise. Where inadequate records schedules or none at all exist, the disposal of records will be unplanned and chaotic. Records will be retained in expensive office accommodation when they are semi- or non-current and even where basement or other holding areas exist, they are likely to be occupied by non-current records which should have been destroyed long since, thus effectively preventing the transfer of records from office accommodation. It has been noted:
"unplanned retirement, unfortunately, is very widespread. It usually consists, initially, in the relegation of non-current records to out-of-the-way space in cupboards, corridors, attics, cellars and the like, in order to free office space for the latest current records. Then, when there is no remaining spare space even in the attics and cellars, and yet more space is required in the operating offices, the agency authorities often decide to destroy a greater or lesser part of the older records, usually on an arbitrary basis. The tendency toward this kind of thoughtless destruction has been greatly exacerbated by the typically greatly increased rates of records production in recent decades".
1.9 The advent of microforms and more recently of the silicon chip has persuaded some organisations that the paper mountain can be reduced, if not eliminated altogether, through miniaturisation or electronic data processing. Much time and money has been wasted in the past in microfilming records which should have been destroyed, if proper records schedules had been in effect. The assumption that it will be unnecessary in the future to pay much attention to the elimination of useless information, because of the falling cost and increasing capacity of computer memories, is quite as dangerous, in that it can lead to the retention of useless information and the consequent overloading of computers, The end result will be that action equivalent to that already noted will be taken by agency authorities to destroy a greater or lesser part of the older data, usually on an arbitrary basis. The use of records surveys and the development of records schedules is, therefore, essential, whether the intention is the better management of paper records, the introduction of microforms and data processing or, as should be the rule in these times, to determine the optimum use to which all three forms of record should be put, bearing in mind the need for the long term retention of some records on paper, although they may have been created in machine readable form.
1.10 The objectives of a records survey are, therefore, firstly to ensure' that records schedules are comprehensive and include all records and all forms of record and, secondly, to assist in the development of better systems of records management, without which records schedules may lose much of their value. The objectives of a records schedule are to plan the life of records from the time of their creation or receipt, to the completion of their life-cycle, either by destruction or preservation as archives. The advantages of a records schedule are that it:
1.10.1 Saves time by reducing the volume of records which must be searched -for information;
1.10.2 Saves space by removing from the office records no longer in current use;
1.10.3 Avoids additional costs for the purchase of storage equipment and the acquisition of floor space for records storage;
1.10.4 Promotes efficient control over records;
1.10.5 Identifies the valuable records for archival preservation.
The results of a records schedule are, therefore, fewer records, better records, more efficient records and more economical records
1.11 The Study and Guidelines are primarily designed for organisations with no records management function, but which may or may not have an established archives service. The practice recommended is based on that first developed by the National Archives and Records Service of the United States of America, which has since been adapted for use by non-governmental organisations, including businesses, and has been introduced in a modified form into other English speaking countries. However, recommendations do not always coincide precisely with American practice, as they derive in part from the author's own experience in establishing archives and records management services, both in government and in commerce and industry. In particular, reference will be made to Canadian, Australian and British practice where it is relevant.
1.12 Differing administrative and archive traditions as well as lack of a uniform terminology and the fact that English records management texts are not readily available in other languages, may be on reason why these techniques are not better known internationally. They are, however, capable of universal application, regardless of language differences.
10. GUIDELINES
10.1 Records Management is concerned with achieving economy and efficiency in the creation, maintenance and disposal of records throughout their life-cycle, which can be divided into three phases, current, semi-current and non-current. Archives are non-current records preserved because they are deemed to be of long term or permanent value (1.3, 1.4).
10.2 A Records Survey is the process of gathering basic information about records, their quantity, physical form, type, location, physical condition, storage facilities, rate of accumulation, use and similar data, for the purpose of planning acquisition and disposal programmes, microfilming operations, new facilities and related archival activities. (1.6).
10.3 A Record Schedule is a document describing the records of an organisation, showing all the actions to be taken for their disposal, including microfilming, file-breaks and destruction or preservation as archives, after the completion of a specified retention period. (1.7).
10.4 The Objectives of a Records Survey are to ensure that records schedules are comprehensive and include all forms of records and to assist in the development of more efficient systems of record keeping and information retrieval. The Objectives of a Records Schedule are to plan the life of a record from the time of its creation or receipt to the completion of its life-cycle, either by destruction or preservation. (1.10).
10.5 The application of records schedules saves time by reducing the volume of unessential records which must be searched for information; saves space by removing records no longer in current use from office accommodation; avoids costs for the purchase of additional space and filing equipment; promotes efficient control over records. (1.10).
10.6 Organisations intending to embark upon a programme of records surveys and schedules, should be prepared to establish a records management unit, employing specialist staff, to develop systems for the conduct of records surveys and schedules; to train their own and agency staff to operate the systems; to provide a consultative service on records management systems for agencies and departments; to provide other services as may be required by the new systems, such as records centres and microfilm bureaux (2.1, 2.6).
10.7 Where there is a shortage of experienced professional records managers from whom to select a suitable head for the records management unit, an outside consultant may be employed to establish it and to undertake the initial training of the staff. Once the unit has been established, suitable training courses should be provided for professional staff.
10.8 The role of the records management unit should be defined by administrative regulation or by legislation, to give the head of the unit sufficient authority to inspect the records of all agencies with a view to surveying and scheduling their records and prohibiting the destruction of records in advance of a survey. Responsibility for implementing the survey should rest with the head of the agency, but responsibility for the work of the survey and for approval of the schedules should rest with the head of the records management unit. Agencies should appoint officers to liaise with the records management unit (2.7).
10.9 Where the records management unit is part of the archival organisation, responsibility for the final approval of records schedules may be delegated to the head of the unit by the chief archivist. If the unit is independent of the archives, machinery should be established to ensure that schedules are submitted for final approval by the chief archivist.
10.10 A records survey falls naturally into three stages:
10.10.1 Preparation, when agencies are notified that a survey is being initiated and a preliminary investigation of the records of the agency is carried out;
10.10.2 Inventory, when details of the records series held by each agency unit are obtained;
10.10.3 Appraisal, when the records series identified during the inventory stage are evaluated to determine appropriate retention periods for them (3.1 - 3.4).
10.11 The Preliminary Investigation is designed to identify the volume of records held by each agency unit, their location and the equipment and floor space occupied, in order to plan the preparation of the inventory. The investigation should be carried out by a qualified team headed by a records analyst working under the supervision of the records management unit. A questionnaire for the guidance of the unit team can be of value in ensuring that all the information essential for the preparation of the inventory is gathered. (3.6, 3.7).
10.12 The core of a records survey is the inventory of the records series in the custody of each agency. A Records Inventory is a complete listing of the records of an agency, by series or category, with sufficient supporting information to enable an informed appraisal and evaluation to be made. A Records Series is a body of records arranged in a particular order (numerical, chronological or alphabetical), or arising from a specific activity or purpose, and filed and used as a unit. The inventory should be carried out by the same team that carried out the preliminary investigation. (4.1 -4.3).
10.13 Once the inventory has begun, no records should be destroyed or removed without the knowledge of the team. The quality of the inventory will depend on the accuracy with which records series are defined and titles are allocated. (4.4, 4.5). Some series will require special consideration, such as cartographic records, microforms, magnetic tapes and audio-visual records. (4.6 - 4.8, 9.1 - 9.4). There are advantages to be gained from starting the inventory on non-current records in storage areas. The progress of the inventory should be monitored to ensure that no items are overlooked. (4.8, 4.9).
10.14 If the inventory is sufficiently detailed, it can be used to identify records management problems and lead to the introduction of alternative systems of record keeping. It should, therefore, be reviewed and updated annually. (4.11).
10.15 On the completion of the inventory, the forms should be sorted into alphabetical order of records series for appraisal. The data derived from the inventory forms can, with advantage, be keyed into a data management program on a microcomputer for the preparation of draft records schedules. (4.12, 4.13).
10.16 Appraisal is a basic archival function of determining the eventual disposal of records based upon their current and future administrative, fiscal and legal uses and their evidential, informational and research values; sometimes referred to as evaluation or selective retention. It takes place at two levels. At the first level, a provisional evaluation of each series and a recommended retention period must be submitted to the agency unit to enable agency staff to determine how long they will need to retain it for business purposes; at the second level, the archives service must determine which of the records series have archival value and should be retained. (5.1 - 5.11).
10.17 When a provisional appraisal of each series of records by the records analyst has been completed, his recommendations should be incorporated in a Records Retention Authorisation specifying the period that the records in each series are current and should remain in the originating office; the point at which they become semi-current and should be transferred to a records centre for further retention; the ultimate disposal of the records when they are non-current, either by destruction or transfer to archives. (6.1, 6.2).
10.18 The Records Retention Authorisation should also specify records vital to the survival of the organization for the purpose of disaster planning; records series too bulky for complete retention and the method of sampling to be employed to preserve a representative selection; records series which may be converted from one medium to another, e.g. paper to microfilm, to improve the speed and efficiency of retrieval and to save space; records series subject to restrictions on access. (6.3).
10.19 The Records Retention Authorisation should be submitted to the agency, to the archives service and, where appropriate, to other agencies, such as legal, financial and administrative for approval. As soon as the final approvals have been received, records already time-expired should be destroyed; semi-current records should be transferred to a records centre; records identified as archives should be transferred to the archives and continuing records series should be incorporated into a records schedule. (6.4 - 6.6).
10.20 Records Schedules are the responsibility of the head of the records management unit. They are of two types; general schedules based upon inventories of several offices performing substantially the same work, but not always using the same terminology or keeping records in exactly the same way; agency schedules based on an inventory of a single agency, which will have records series not common to other agencies and will incorporate retention periods taken from general schedules (7.1 - 7.4).
10.21 Agency schedules will contain substantially the same information as the approved final version of the agency records retention authorisation, with the exception of information justifying the agreed retention periods and non-current series which have been destroyed or transferred to archives. Schedules should be reviewed annually in the light of changes in organisation, record keeping practice, legal or other retention criteria, the creation and cessation of records series and changes in office technology (7.4 7.8).
10.22 It should be the responsibility of agency staff to apply general and agency schedules as records pass out of current use. This implies the regular review of filing systems to identify semi-current and non-current records which are due for transfer to the records centre for a further period of retention until their final disposal, or for immediate destruction, or for direct transfer to the archives. (8.1, 8.2).
10.23 A Records Centre is a building, usually specially designed and constructed, for low-cost storage, maintenance and communication of semi-current records pending their ultimate disposition; sometimes called an intermediate repository or limbo. The main difference between a records centre and a store for departmental records is that it receives records from many agencies and that it is manned by staff trained in the techniques for handling, retrieving and disposing of records in bulk. They are usually provided and run by -either the records management or the archival unit. (8.3).
10.24 Semi-current records are transferred to a records centre in standard containers supplied by the records centre, accompanied by transfer lists, in accordance with procedures laid down by the records management unit. Whilst the records remain in the records centre, the transfer lists are used for the retrieval and disposal of records. (8.4 - 8.6).
10.25 The disposal of records in accordance with the retention schedules is the responsibility of the records centre, on the authority of the originating office. Due account must be taken of confidentiality of the information contained in the records in selecting the method of destruction. Security classified records must be defaced in some way before disposal (8.7 - 8.9).
10.26 Technological advances in methods of recording and retrieving information through the use of machine-readable records held on-line in computers, are having a profound effect on the management of records. These records must be included within the ambit of records surveys and schedules, but special attention must be paid to the medium in which the information derived from such records is held for long term retention. For permanent preservation, printing out on paper or microforms may be desirable, but some information may have to be retained on magnetic tape, so that it can continue to be manipulated on a computer. In such cases care must be taken to ensure that hardware is available on which to read the records, for as long as the tapes must be retained (9.1).