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In many countries, legislation on administrative records and archives management is like an outline law which needs further clarification. This is done in administrative policy documents which set out more clearly the obligations arising from the law and divide responsibility between the different parties.

The central body responsible for applying the law can define its own role, set the bounds of its direct action and make known the duties and obligations of each of its public partners through the records management policies.

The number of administrative policies derived from the law can vary depending on the extent and scope of that law. In several cases, the policies cover the main aspects of an administrative records management programme, such as the establishment of a conservation schedule and classification plan, the use of micrography, the protection of vital records, the storage of semi-current records and the conservation of archives papers. Another approach is to establish policies based on the division of records into three age-groups. Ministries and government bodies in Quebec, for example, have a current records management policy, a semi-current records management policy and a non-current records management policy. In cases like this, the different parts of the records management programme are dealt with in the three administrative policies and each part may be explained in greater detail in one of the directives contained in the records management handbook.

3.1 The current records management policy

Aims

The aims of this policy are to manage the documents produced and received by government agencies, giving those documents suitable protection during their lifetime, providing rapid and easy access to the information they contain and pruning the stock of documents in a regular and controlled way.

Definitions

The definitions used to make the policy better understood should conform to the spins of the law on records and archives management. These definitions may in no case permit any exceptions to the law in force.

'Record': any information medium, including the data recorded on it, which can be read by humans or machines, excluding documents covered by the law on the National Library of Quebec (L.R.Q., Chapter B-2).

A combination of a medium and the information recorded on or in it, which may be used as evidence or for consultation.

'Current Records': records that are widely used for administrative or legal purposes.

See 'Current Records'.

'Semi-current Records': records that are occasionally used for administrative or legal purposes.

See 'Intermediate Records'.

'Non-current Records': records that are no longer used for administrative and legal purposes.

See 'Non-current Records': records no longer needed for current business.

'Vital Records': records vital to the functioning of a body which ensure its continuity after a disaster.

See 'Vital Records': [---] records vital to the continuity of business after a disaster.

'Records Management': all the operations and techniques relating to the planning, development, introduction and evaluation of administrative systems from the creation of documents to their destruction or transfer to the archives.

See 'Records Management'.

'Records Schedule': [Management tool] which determines the periods of use and the storage media [...] [of the] current and semi-current records [of a body] [...], and indicates which current records are to be permanency stored and which are to be eliminated.

See 'Records Schedule'.

Guidelines:

The management of current records, which constitute an important information resource, should be given the same importance by a government agency as to the management of human, financial and material resources.
The establishment of a central body responsible for setting standards, issuing directives and monitoring their application guarantees a uniform government approach to current records management.
The management of the current records of government agencies should be based on standardized information classification and storage systems.
The storage periods and conditions of availability of the current records of government agencies are laid down in a records conservation schedule which is subject to official approval. Compliance with this schedule is closely supervised.
The vital records of government agencies should be identified and protected by means of special measures.
In each government agency, current records management is the responsibility of a central team which has to see to the introduction of uniform computer systems, methods and techniques for the creation, processing, retrieval, protection and destruction of documents.

Allocation of responsibilities

The importance of the work and responsibilities that fall to the central body varies according to the degree of autonomy of the government agencies and the relative importance of the powers delegated to their managers. In order to be effective, administrative policy should delegate at least monitoring and supervisory powers to the body responsible for exercising government authority in the field of current records management.

The central body:

lays down the standards, issues the directives and establishes the procedures for current records management and monitors their application;
trains the specialists responsible for applying these standards, directives and procedures in government agencies;
advises and assists government agencies in the planning and implementation of efficient and cost-effective current records management systems and methods;
prepares working aids and guides for government agencies to facilitate the introduction of their current records management programmes, including a general records conservation schedule, an administrative records classification plan and a standard list of vital records;
monitors and evaluates records management programmes run by government agencies and approves each agency's records conservation schedule; tells managers of government agencies about current records management programmes in order to make them aware of the importance of efficient and cost-effective records management.

The government agencies:

set up their own central teams of specialist staff whose main task is to devise and implement current records management programmes specific to their sectors;
apply and, if necessary, adapt the standards, directives and procedures laid down by the central body for current records management;
draw up, with the support of the central body, their own records conservation schedules, submit them for approval and then apply and update them;
draw up, with the support of the central body, their own records classification plans and ensure their uniform application in all their units so as to guarantee that information can be properly located;
draw up and implement procedures for supervising access to records so as to preserve their confidentiality and protect personal information;
identify their vital records and introduce suitable measures to protect them in the event of disasters;
ensure that the staff responsible for implementing the current records management programme receive the in-service training provided by the central body;
tell the staff of their administrative units about current records management programmes in order to make them aware of the importance of efficient and cost effective cost-effective records management.

3.2 Semi-current records management policy

Aims

The aim of this administrative policy is to rationalize the management costs of semi-current records by setting up a centralized body responsible for the storage and communication of these records. This also facilitates the supervision and implementation of approved records conservation schedules. It ensures the transfer of records which have come to the end of their current life as well as the transfer or destruction of those which have fallen out of use.

Definitions

The definitions used to make the policy better understood should conform to the spirit of the law in force and may in no case permit any exceptions to it.

'Record': any information medium, including the data recorded on it which can be read by humans or machines, excluding records covered by the law on the National Library of Quebec (L.R.Q., Chapter B-2).

A combination of a medium and the information recorded on or in it used, which may be used as evidence or for consultation.

'Current Records': records that are widely used for administrative or legal purposes.

See 'Current Records'.

'Semi-current Records': records that are occasionally used for administrative or legal purposes.

See 'Intermediate Records'.

'Non-current Records': records that are no longer used for administrative or legal purposes.

See 'Non-current Records': [---] Records no longer needed for current business.

'Semi-current Records Centre': place where semi-current administrative records are stored at low cost and according to proper procedures.

See 'Records Centre' and 'Semi-current Records Centre'.

'Semi-current Records Management': all the operations relating to the identification and transfer of records which have reached the end of their current life and to the storage and communication of these records during their semi-current life.

Guidelines

The semi-current records of the State should be stored in special premises, which costs much less than storing them in filing cabinets in offices.
Centralized storage is the most cost-effective solution because it allows substantial savings on equipment and personnel. The volume of records to be stored should therefore be reduced.
The centralized storage of the government's semi-current records should be organized so as to make it possible to keep to the records conservation schedule and guarantee the conservation of records of historical and research value by transferring them to the archives.

Allocation of responsibilities

Tasks in semi-current records management are allocated according to the degree of centralization of the storage services. In some countries, government agencies are the captive clientele of the services run by the central body responsible for records management. In other cases, public bodies may opt for private services or manage their own semi-current records centre. If the central body is not given the task of running a single archives service, it should at least be empowered to co-ordinate storage activities.

The central body:

lays down the standards, issues the directives and establishes the procedures for semi current records management and monitors their application;
encourages government agencies to keep their semi-current records in centralized storage by demonstrating its economic advantages;
co-ordinates the services responsible for the storage and communication of semi-current records, either by directly providing such services or by supervising other centralized storage facilities;
supervises the centralized storage services to ensure that government agencies observe the approved records conservation schedule by transferring their semi-current records to the storage centres and by disposing of them rapidly (by destruction or transfer) when they reach the end of their semi-current life.

The government agencies:

see that the standards, directives and procedures laid down by the central body in connection with semi-current records management are complied with;
use for semi-current records storage the facilities managed or supervised by the central body;
transfer their records to storage centres when they reach the end of their current life;
keep to the storage period laid down in the records conservation schedule and every year transfer records which have arrived at the end of their life.

3.3 Non-current records management policy

Aims

The aim of a non-current records management policy is to preserve and process in a suitable way documents transferred as a result of a selection conducted in accordance with the records conservation schedule. The policy ultimately aims to guarantee the public the fullest possible access to documents conserved for their historical or research value.

Definitions

The definitions used should conform to the spirit of the law in force and may in no case permit any exceptions to it.

'Archives': non-current records preserved, with or without selection, by those responsible for their creation or by their successors in function for their own use or by an appropriate archives because of their archival value.

See 'Records Schedule.

'Record': an information medium, including the data recorded on it which can be read by humans or machines, excluding records covered by the law on the National Library of Quebec (L.R.Q., Chapter B-2).

A combination of a medium and the information recorded on or in it, which may be used as evidence or for consultation.

'Non-current Records': records that are no longer used for administrative or legal purposes.

See 'Non-current Records': [---] records no longer needed for current business.

'Transfer': the act involved in a change of physical custody of non-current records from a public body to a public archives, with a change of legal title.

(This operation may result from a selection or sampling of the non-current records concerned.)

Guidelines

Non-current records which no longer have any administrative, legal or fiscal value, should be destroyed at the end of the storage period provided for in the records conservation schedule, with due regard for the rules and directives that guarantee the confidentiality of some of them.
Non-current records earmarked for permanent storage under the records conservation schedule should be transferred to the government archives after the selection or sampling process provided for in the storage rules.
Records of historical or research interest should be regularly transferred to the archives in accordance with the rules and directives laid down by the central body responsible for the archives.
Non-current records transferred to the State's archives should be processed to facilitate access to them and their effective use. They should be stored in a satisfactory and secure way so as to ensure their permanent conservation.

Allocation of responsibilities

The management of non-current records falls into two distinct parts. One is the destruction of records that are no longer useful to the State and the transfer to an archives centre of those earmarked for permanent storage. The other is the storage, processing and distribution of the documents received. The first is the responsibility of the government agencies in possession of non-current records, while it is for the government archives to receive and make effective use of historical documents. It is nevertheless desirable that records should be destroyed or transferred in accordance with the standards and directives laid down by the central body responsible for storage.

The government archives:

lay down the standards, issue the directives and establish the procedures relating to the destruction and transfer of non-current records and monitor their application;
ensure that the government bodies observe the official records conservation schedule in connection with the destruction of non-current records or their transfer after selection or sampling;
undertake the appropriate processing, review, classification, description and indexing of the non-current records transferred to them or already in their possession, and devise retrieval systems to facilitate their use;
ensure the rational and secure storage of records, restoring them if necessary;
invest the necessary time and money in making the archives known by publicity and information programmes and by taking steps to make them accessible to the widest possible public.

The government agencies:

observe the standards, directives and procedures laid down by the central body in connection with the destruction and transfer of non-current records;
follow the official records conservation schedules when destroying, selecting or sampling their non-current records;
regularly transfer their documents earmarked for permanent storage.

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Once the policies regarding the administrative records management programme have been drawn up and adopted, it is then possible to draft the main section of the handbook - the directives relating to the different aspects of the programme.

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