3

KEY ACTIVITIES IN
RECORDS AND ARCHIVES
MANAGEMENT
Chapter Overview

KEY ACTIVITIES IN RECORDS AND

ARCHIVES MANAGEMENT

Registry
Organizing and Controlling Records
in Office Environment

Provising Physical Protection of

Records
Managing Records in Records
Center
Managing Archives

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LEARNING OBJECTIVES:
After studying this chapter, you should be able to:
1.

Define the function of every activities held in recordkeeping

2.

Identify the activities involved in managing records for entire

life cycle

3.

Compare the centralized and decentralized registry

4.

Implement the step involved in organizing and controlling records

in office environment

5.

Acknowledge the preservation measurement in providing physical

protection for records

6.

Outline that process that involved in managing semi current

records and archives

Registry is a unit or department in the organization which responsible in managing active

records of the organization. Registry is the first place of the newborn of records. Normally
registry recognize as a registry room which is also known as a file room or file registration
rooms. Registry responsible to managed and controlled a good recordkeepings practices in
the organization such receipt and registered a new correspondence, registration of file,
creation or a new file, store, distribution, closing, preservation and destruction of file.

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3

3.1.1 Function of Registry

1. The main function of registry is to house entire series of records in the
organization and implement the intellectual control over these records.
2. Registry is officially responsible to dispatching an inward and outward
correspondence either from internal or external sources and registered
into register book.
3. A registry monitor the movement and distribution of records in the
organization in order to make sure the process of borrowing and returning
records into register in the right time and it is properly recorded in file
movement.
4. A registry also responsible in the creation of new files and closed files in
order to make sure the redundancy of records will be eliminated.
5. A registry responsible to managing, controlling and preserving records for
the entire life cycle
6. A registry also responsible to prepare and update list of files that need to
be dispose off.

3.1.2 Registry System

Registry can be divided into three categories of registry system:

a) Centralized Registry System

Centralized registry system means all of records in the organization is

managed and stored in one location. This registry system will control the
component of standardization in records system, records staff, allocation
space for registry and records equipment and supplies. These component will
govern the standardization in the process of creation, classification,
controlling, preservation, appraisal and disposal of the records. Beside that,
this registry system have the advantages and disadvantages in the practices:

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ADVANTAGES OF CENTRALIZED
REGISTRY

DISADVANTAGES OF
CENTRALIZED REGISTRY

1. Easy to acces the information 1. A disaster could result the

because all of records be kept in
destruction of records because
single location.
all of records be kept in single
location.
2. Confidentiality of information is 2. People that want to steal the
more easily safeguarded.
information
will
get
the
information in one place.
3. Establish stadardization in the 3. Time consuming for accessing
recordkeeping such classification,
and
retrieving
records
arrangement,
controlled
especially for the department
movement, storage and retrieval of
that located far from the
files.
registry.
4. Appointed a parmenant staff that
have a qualification in managing
huge amount of files.
5. Have a special room in enable to
manage a big number of files.
6. Easy to manage because all of
files be managed in same location.
7. All of the needs in managing
records will there such mobile
shelves,
humidifier,
air
conditioning and etc.
Figure 1: Advantages and disadvantages of Centralized Registry System
b) Decentralized Registry System
b) Decentralized registry system
Decentralized registry system is normally practices by the large
organization where it is acquire a a small registry unit every single
divisions within a department. Means here, the various regiistry will have
their own records keeping, records system, records staff, allocated space
for registries and own records equipment supplies. These component will
result the varies of practice regarding to the the process of creation,
classification, controlling, preservation, appraisal and disposal of the
records.

There are advantages and disadvantages of decentralized

registry system:

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ADVANTAGES OF
DECENTRALIZED REGISTRY

Chapter
3

DISADVANTAGES OF
DECENTRALIZED REGISTRY

1. Easy to acces the information 1. Unstandardization

in
the
because all of records be kept
records keeping among the
in own department
unit, department or branches.
2. Required a temporary staff to 2. Temporary staff is unqualified
control the records in the
and did not have a knowledge
department because the small
and skills in managing records
number of files.
effeciency and economy.
3. Information can be obtained 3. Because of the small number
quickly, the action will taken
of records, this registry did not
place quickly and this can
required a speacial room to
increase the quality and
store the records.
productivity of the organization
4. Officer and all staff in the 4. Less security of files because
department will more undertand
the small number of records
the value of the files because
and the usage of mobile
they
directly
involved
in
shelves, air-conditioning and
implementation
of
the
humidifier
is
difficult
to
organization function.
obtained and it is not
economy.
5. A disaster will not destroy all of
the records because the files be
kept in the separated location.
Figure 2: Advantages and disadvantages of Decentralized Registry System
c)

Combined Registry System

Organization can be practices the combined registry system which is
combination from centralized and decentralized registry. This practices is
divided into two segments where centralized resgistry normally be used
for maintaining housekeeping records and decentralized registry will be
practices for the funstional records which it the files will be maintained by
the responnsible department. This practice nomally be implement
regarding the needs of organization itself.

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The second activities in managing records throughout their life cycle are 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. There are five (5) step involved in organizing and controlling active
records.

3.2.1 Analysing and restructuring records systems

This ia a first step in the organizing and controlling records which identify how the
organization records are created and used. This step is ideally completed through
Business System Analysis (BSA). BSA can be define as an analytical framework taht
involves analyzing organizations as systems or the process of systematically and
objectively gathering information about business systems and subjecting that
information to formal analysis. This includes identifying broad organizational goals
and supporting business areas and processes, and business process definition and
decomposition.

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Chapter
3

Business systems analysis involves examining a system, reviewing how tasks or

functions within that system are executed and considering whether they may be one
more efficiently. System can be defined as a perceived whole whose elements hang
together because they continually affect each other over time and operate toward a
common purpose. Systems consist of sub-systems or functions, processes, activities
and tasks. For example, correspondence management can be a system. The system
may include several elements, such as:-

Receiving the incoming correspondence

Directing the correspondence to the appropriate respondent

(which may involve communicating with various
departments to confirm the best agency to answer the
letter)

Preparing the response (which may involve consultation

with various people)

Typing or word processing the response (known as the

outgoing correspondence)

Sending the outgoing correspondence

Filing the incoming and outgoing correspondence

Figure 3: Example of corenspondence management system

According to the step of records system above, business system analysis will examines
each of steps with answering the question below. Depending on the answers to these
questions, the organization might to restructure it procedure or not in order to improve
efficiency and economy in records management.

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QUESTION
How long does it take for the task to be
completed?
How many people are involved?

How often are there errors,

misunderstandings or problems in the
execution of the task?

Does the final outgoing correspondence

answer the question raised by the incoming
letter?
Are the documents filed appropriately?

ANSWER
Is that an adequate amount of time
OR
does it takes too long
Too many people
OR
Not enough
Do people think others are responsible
for tasks when they are not
OR
Do people undertake work that is not
within their own area of responsibility
How often is a follow-up letter or
clarification required
Can they be easily found again if
needed?

Figure 5: Example of question and answers for conducting Business System Analysis towards
records system
The business systems analysis in records management can be done by the
conducting records survey of current records in the organization. By conducting this
survey, records officer or records manager in the organization can examines and
offer recommendation and significant input or alteration to the records systems. 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.
Records survey can be defines as an application of the techniques of business
systems analysis to

the gathering of basic information regarding the quantity,

physical form and type, location, physical condition, storage facilities, rate of
accumulation, uses and similar data about the records of an organization. The
objectives of a records survey include:

a)

Establishing the provenance of records and their original purpose and

arrangement

b)

Identifying those records ready for disposal

c)

Identifying those records that still need to be retained within the

organization

d)

Determining the procedures, costs and facilities required to eliminate

the backlog of unneeded records and managing those to be kept.

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3

3.2.2 Maintaining records systems

The seconds step in organizing and controlling records is maintaining records system
regardless of whether existing records system or restructuring records system. The
process of maintaining records system is involved the following step:

a)

Maintaining control over the documentation used to record the

creation, use and disposal of current records, such as registers and
logs

b)

Systematically managing the creation and handling of records, such

as correspondence, mail and forms

c)

Managing the creation and use of files

d)

Ensuring the regular transfer of records from current to semi-current

storage and the destruction of obsolete records.

In order to make sure all of this process will be manages effectively; organization
should develop an effective record keeping system which considers the requirement
of a filing system.

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Requirements of a Filing System

a) A filing system should support business or organizational requirements.
It should suit the organization it serves and support decision making.
It should matches users needs.
It should provide the best, easiest and simplest solution.
It should be cost effective.
It should match resources, with adequate equipment, funds or staff.
It should not be dependent on outside resources for operational
requirements.
b) A filing system should be easy to understand, use and maintain.
It should be based on logic or common sense.
It should be understood by operators (records staff) and users.
It should be independent of human memory.
It should use simple processes.
It should inspire confidence in operators and users.
c) A filing system should be precise.
It should minimize doubt about where to file papers.
It should allow the quick identification and retrieval of files.
d) A filing system should be complete and comprehensive.
It should cover all the files that need to be included.
It should be capable of including files that may be created in future.
It should be flexible and allow for expansion, contraction or
reorganization.
e) A filing system should be backed up by procedures manual and training
materials.
It should be clearly and comprehensively documented.
All procedures should be explained in easy-to-follow steps.
It should provide master copies of all forms, with completed examples.
It should be supported by training programs.
It should be supported by professional advice or guidance.
f)

A filing system should be easily automated.

A filing system should be capable of being adapted to an automated
system, such as word processing, computerized indexing, database
management or a computerized record-keeping system.

Figure 6: The requirement of a filings system that need to be maintained

3.2.3 Developing and implementing classification systems

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3

3.2.3 Developing and implementing classification systems

Classification of files is an important activity in the filing system which contributes to
the arrangement, storage, retrieve and access of the information held in records.
According to International Records Management Trust (IRMPT) defines that
classification is a process of identifying and arranging record sand archives in
categories according to logically structured conventions, methods and procedural
rules represented in a classification system. In the other hands, file classification
systems are defines as a predetermined logical scheme for physical and intellectual
arrangement, storage and retrieval. Booth of this classification is two different entity
but linkages each others.
a) Classification System

Classification system is used to classify the files in the organization which carried out
certain activity or task. Files are divided into two main categories:

i) Housekeeping files
Consist of files that been created or received in the organization which related
to the administrative activity in order to support the operation of the
organization. It is presented into five main series:
1)

Administration

2)

Asset

3)

Supply and equipment

4)

Financial

5)

Personal / Human Resources

ii) Functional files

Consists of files that create or received by the organization which relate to the
main function of organization. For example patient case note for hospital
records or student records for schools or university. The title of functional files
must be presented according to the subject classification of main function or
activities of organization. In addition the title of these files must be related with
the content regarding to the organization function and activities.

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b) Types of classification system

There are four main types of classification systems used for the arrangement of
series of files within government. These four are not mutually exclusive; they may
be used at different levels within the same system. The preferred system is one
based on the functions or activities. The four types are

1. Alphabetical
2. Keyword or theme, reflecting functions or subjects within a hierarchy
3. Function or activity, reflecting the work of the agency
4. Hierarchical, reflecting administrative structures
c) Coding system

Coding is used to represent any classification system, by replacing file titles with
numerical or alphanumerical codes. There are a few types of coding system that
available to put into practice. Organization can identify the most appropriate
coding system for their organization recordkeeping. There is:
1. Running number system
Running number will be indentify to each time a new file is created
without given irrespective functional or housekeeping files.

For

example:-

001 : Meeting
002 : Expenditure
003 : Building
004 : Salary
005 : In-house training
2. Chronological system
The coding system will be presented by referring to the day, month or
year. Normally chronological system will be combined with the running
number system. For example
001/2011
002/2011
003/2011
004/2011
50

: Meeting
: Expenditure
: Building
: Salary

Managing Records in Organization

Description
001
: a running number of the file
2011
: Year of creation
Meeting : File Title

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005/2011
3. Duplex system

Chapter
3

: In-house training

Duplex system is practical methods been used in every public or

private organization. Duplex means number or letters that used in
separately with these symbol such (,) (.) (/) (-). Duplex system can be
divided into a few practices such;
i)

Numeric Duplex System

100-1/5

100.1.5

100/1/5

100 1 5

100,1,5

100.1-5

Example of coding that

used variety of symbols

Description
100
1
5
ii)

iii)

: Administration
: Circular
: Interdepartment

Alphabetic Duplex System

A-b/f

A/b/f

A.b.f

Abf

A,b,f

A-b.f

Example of coding that

used variety of symbols

Alphanumeric Duplex System

100-b/5

100-/b/5

100.b.5

100 b 5

100,b,5

100.b/5

Example of coding that

used variety of symbols

Description
100
b
5

: Administration
: Circular
: Interdepartment

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3.2.4 Developing and implementing records schedules

The next step in organizing and controlling records in the office environment is
developing and implementing records schedule or known as Jadual Pelupusan
Rekod (JPR). Disposal schedule is important document which shown the period of
records should be kept in the organization before transfer to the archival institution or
for destruction. Disposal schedule can be defined as 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. Below are the elements that should
recognize in the retention schedule:

Retention period / disposal action: 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.

Once records have been classified and scheduled, their care should become a
matter of routine. Procedures should then be developed for managing the records in
the office, transferring them out or destroying them on the disposal date and
receiving records in the records centre or archival repository. Below is the example of
disposal schedule by the University of Melbourne.

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Chapter
3

University of Melbourne
Records Disposal Schedule No. 17
Student Administration
ENTRY

CLASS/ACTIVITY

2.
2.1

ACADEMIC PROGRES
Unsatisfactory Progress

2.2

Approval to Repeat

3.
3.1

ADMISSION
Application for admission to
degree or diploma & supporting
documentation

3.2

DISPOSAL
ACTION

CUSTODY/TRANFER

Place
on Faculty Office
Student File
Place
on Faculty Office
Student File

Successful

Place
student file

on Faculty Office

Unsuccessful

Destroy 1 year Faculty Office

after
determination

Incomplete

Destroy 1 year Faculty Office

after
determination

Appeals

Destroy 2 year Faculty Office

after
determination
appeal

Application
for
special
admission
scheme
and
supporting documentation
- Successful
Destroy 1 year Course and careers
after
unit
determination
-

Unsuccessful

Destroy 1 year Course and careers

after
unit
determination

(Sources: Records services, University of Melbourne, Records Disposal Schedule No. 17 :

Student Records. 1996)

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3.2.5 Appraising records and retaining those with continuing value while
disposing of non-current records
The next task in organizing and controlling records is appraisal process. Appraisal
can show the ability of archivist and records manager in determining which records
that should be retained for ongoing value and which records may be destroyed as
obsolete. Appraisal, retention and disposal are a related activity is a key part of a
systematic process for retention or disposal in order to ensure that the destruction of
obsolete records and transferring of archival records takes place at the right time.
The definition of appraisal, retention and disposal is:

Appraisal: The process of determining the value of records for further use, for
whatever purpose, and the length of time for which that value will continue.
Also known as evaluation, review or selection.

Retention: The function of preserving and maintaining records for continuing

use. This may be done in the agency of origin, in a records centre or in an
archival institution.

Disposal: The actions taken with regard to records as a consequence of their

appraisal and the expiration if their retention periods. Note: Disposal is not
synonymous with destruction, though that may be an option. Also known,
especially in North America, as disposition.

The appraisal practice is considered the two (2) general types of value are
recognized as primary and secondary value.

Records
values
Primary
Value
Operational
value

Legal Value

Secondary
Value
Fiscal
(Financial)
Value

Evidential
value

Figure 7: The value of records

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Informationa
l value

Intrinsic
value

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i)

Chapter
3

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. This value is divided into three categories such:

a. Operational value: The primary value of records for the

continuance of the administration or operations of the creating
agency or a successor in function or as evidence thereof. Also
known as administrative value. Note: the term administrative in
this context refers not to housekeeping records but to those
records with operational or core value to the organization; to avoid
confusion in these modules, the term operational value is used

b. Financial (or fiscal) value: The primary value of records for the
continuance of the financial of fiscal business of the creating
agency or a successor in function or as evidence thereof (such as
for audit).

c. Legal value: The primary value of records for the continuance of

the legal business of the creating organization or a successor in
function or the protection of its legal rights or those of its
employees or third parties.

ii)

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 were created. This value
also divided into three categories;
a) Evidential value: The secondary value of records or archives in

providing

information

on

the

origins,

structure,

functions,

procedures and significant transactions of the organization that

created them.
b) Informational value: The secondary value of records or archives

for reference and research deriving from the information contained

in them and often incidental to their original purpose.
c) Intrinsic value: The secondary value of records or archives by

reason of their age, historical associations, physical form or

features, aesthetic or artistic quality or monetary value.
Once records have been classified and scheduled and appraisal guidelines have
been established, they may be disposed of. Current records will become semicurrent, 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.
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The third activities in records management is prviding physical protection with records. This
activity is related to the process of preservation and conservation in the organization towards
records.

The good management of records and archives especially the efficient and

economy management of all records storage areas is an efficient methods of ensuring the
survival of the materials held in the storage.
Preservation can be defines as a passive protection of archival materials in which no
physical or chemical treatment to the item occurs. Therefore, conservation can be defined as
intrusive protection of archival materials by a minimal physical and chemical treatments
necessary to resist further deterioration, which will not adversely affect the integrity of the
original. The key steps in providing physical protection of records is consist of:

a) Implementing and maintaining preservation measures.

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

b) Developing and testing emergency plans to protect records.

It should be centrally co-ordinate, with one staff member or team

responsible for its development.

It should be approved by the governing authority.

Sufficient funds should be available to supply the necessary equipment

and ensure that staff is paid for time spent out of hours either on practices
or on real emergencies.

The equipment and supplies needed to cope with emergencies should be

readily available.

The plan should identify vital records and include information on how to
protect them.

There should be agreed procedures for dealing with each category of

material and each category of disaster.

There should be an active training program for all staff.

The archival institutions plan should protect both archival holdings and its
own operational records.

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3

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 centers. The objectives
in maintaining records in records center are to achieved economy and efficiency in storage,
retrieval and disposition of semi-current records. Beside that, managing records center will
ensure the security against both unauthorized access to and destruction of these records in
keeping with its obligation to its creating agencies. Records center also responsible to
protect secure records against the risk of natural disaster such as fire, flood, earthquake and
etc. The activities involved in managing records in records center such:

Developing and
maintaining
offsite facilities

MANAGING
RECORDS CENTER
Transferring, storing
and retrieving
records according to
disposal schedules

Disposing of
archival or
obsolete

records

Figure 8: Activity involved in managing semi current records in records center

3.4.1 Developing and maintaining offsite facilities

Records center can be defines as a central offsite location or a building design and
adopted for low cost storage, maintained and communication of semi-current records
pending their ultimate disposal. Records center is just a temporary storage of semicurrent records which managed by the records manager. The records centre must be
capable of holding all the records that are eligible for it (including records in
specialized media) and providing a dependable retrieval service for them. 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

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3.4.2 Transferring, storing and retrieving records according to disposal

schedules
The main activities in the records center is process of transferring, there are two (2)
types of transferring involved in the records center such transferring records from the
creating agencies and the transferring semi-current records which have continuing
value to the archival institution. 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.

Once the records centre receives records, it provides high-density, low-cost storage,
retrieving records on the request of creating agencies and providing access to those
records. Storage facilities of records center must be secure, clean, safe and capable
to store a variety form of records in order to make sure the protection of the records

Another main activity that occurred in records center is retrieving process, this
activities normally available to authorized person only that have a written permission
to access the records in records center. As a rule, records in records centers are not
available to the general public.

3.4.3 Disposing of archival or obsolete records

Records disposition occurs in two (2) forms which physical the destruction of records
or transferring as an archives to the archival institution for permanent preservation.
Records manager are responsible to identify and dispose of records that 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 other hands, disposition of archival and obsolete records can be done by the
referring to the disposal or retention schedule of the records held. 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.

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Chapter
3

The last phase of key activities of records management is the managing archives. 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:
Acquiring
and
receiving archives

providing public
access to archives

Arranging
describing

and
archives

according
archival
Figure 9: Activity involved in managing archives
principles
practices

to
and

3.5.1 Acquiring and receiving archives

Process of acquiring and receiving archives can be occured in two (2) situation
where acquiring and receiving archives from sponsor agency or from external
sources. The archival institution should have a plan for receiving these archives
which determining the quantity and form of materials to be tranferred each year so
that it can allocate appropriate space and resources. The most important, all of
archives that been received by the archival institution must according to the disposal
schedule. Below is the procedure that should taken place when acquiring a archives
from sponsor agency:
a) Appraising records according to disposal schedule
b) Cleaning and tidying records to be tranferred to archival institution
c) Inserting dummies to replace missing or withheld items
d) Labelling items with dates and references numbers
e) Boxing records
f)

Liasting records

g) Completing an accession form

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According to the archival legislation (National Archive Act, 2003) stated that archival
institution may also have authority to acquire archives from sources other that it
sponsor agency. National archives should specify what materials are covered and it
should include a time frame for surveying, apprasing the materials and judged to be a
value to nation.
When acquiring archives from external sources, there are two (2) additional phases
of procedures in accession process:
a) Identifying the nature and whereabout of the materials
b) Preparing the materilas for tranfer out og the custody of the creator.
Whether archives are accessioned internally or from external sources, the following
conditions must apply to ensure that the appraisal and accessioning processes are
managed efficiently.
a) There must be good co-ordination between the records office or records
centre and the archival institution.
b) Appropriate staff at the archival institution must keep constantly in touch
with the creation, care and use of records in the organization as a whole.
c) Each accession should have a file in which relevant correspondence and
notes on its progress are recorded.
After aquisition taken place, archival institution will received the archives through
accession department. Accession is the primary unit of records formally received by
an archival institution from a particular source on a particular occasion. Accession
form will be used for recording all tranfers of archives to archival institution for
parmenant preservation. After archives is arrived at the archival institution, the
appropriate action should be taken such:

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a) Place the archives in a secure temporary storage space

b) Check the materials against the accompanying documentation to ensure
the paperwork really does refer to these materials and that all items have
been included.
c) If there is no accession documentation with the archives, complete one,
giving sufficient information to identify the materials, and obtain a
signature from a representative of the body sending the materials.
d) Check the archives for signs of insect infestation or mould, and notify the
preservation department if they need treatment before they come into
contact with other, unaffected, accessions.
e) Make an entry in the accessions register.
f)

Acknowledge receipt of the accession, so that the transferring agency has

a record of what has happened to the materials.

g) Conduct a preliminary arrangement and listing of the archives to provide

minimal control prior to arrangement and description.
h) Store the archives adequately.

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Figure 10: Archives Accession Form

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3.5.2

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Arranging and describing archives according to archival principles and

practices

Arrangement and description are two integrated entities that practices designed to
prepare arrchival materials physically and intelectually for reasearch use. These
entity can be defined as:

Arrangement : The whole process of analyzing the organization 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.

There are two (2) main objectives in the arrangement of archives which to preserve
their evidential or informational value (Interlectual control) and to make them
available and accessible for use (admiinistrative control). This practices is vitally
reflected to the principles of Respect Des Fonds that consists of provenance and
original order.
The main purpose of description is to make the archives is understandable to the
public which is not involved in the development of the archives. The description
should reflect as accurately as possible the contents of the pieces without being too
long or unwieldy. Archival description normally referred to the finding aids that are
used to access the archives in th earchival institution. There are various types of
descriptive tools that available in archival institution:

a) Archival guide : the guide to holding consists of a sequence of description

of all the series held and links these description to other related groups and
series. The guide does not give details of items within a series. The guide is
the overall initial finding aid to the contents of the archival institution.
b) List : Lists generally concentrate on describing the content of the records.
They describe only the files or items belonging to one series.
c) Index : Indexing may save staff time and allow greater access to the
material. A good index will allow users to make quick and accurate
searches, thus saving everybodys time.

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3.5.3

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. In order to encourage public to use an archives, archival institution
must put the consideration to:
a)

Rules and regulation

The conduct of everyone in the reference area is controlled by a set of rules

agreed by relevant authorities, based upon current legislation, and clearly
displayed and explained. The rules are based upon the powers and duties of
the staff (and users) as determined by law. The nature and extent of the legal
authority the rules possess should be indicated at the head of the rules.
b)

References Room

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. The standing and reputation of the archival institution will, to a very
great extent, depend on the service that researchers receive.
c)

Reference Staff

Reference staff should reply to correspondence and telephone enquiries

accurately, promptly and politely and make researchers feel welcome.
d)

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.
e)

Enforcement

Strict enforcement of the rules and protecting the archives by correct handling
deters people from misusing documents and even from potential criminal
action. Sloppy enforcement has the opposite effect. It is important therefore
that the director of the archival institution has a strict, clear, legally
enforceable and consistent policy over the implementation of the rules.

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f)

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Tracking procedure

It is essential that archival materials requested by users should be tracked

when they are not in their permanent location in the repository. 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.
g)

Manual procedures

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. However, there may be circumstances in which the archives staff
find it desirable to do this work themselves.

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CHECKLIST
At this point you should be able to:

Define the function of every activities held in recordkeeping

Identify the activities involved in managing records for entire life cycle

Compare the centralized and decentralized registry

Implement the step involved in organizing and controlling records in office

environment

Acknowledge the preservation measurement in providing physical protection for

records

Outline that process that involved in managing semi current records and archives

ACTIVITIES
You have now reached the stage where you should be able to identify the key activities in
the records management. Select one organization or department, do a case study regarding
to the activities that occur in the organization or department.

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STUDY QUESTIONS
PART A: DEFINITION
Please define the following terms:

1.

Registry

2.

Centralized registry

3.

Decentralized registry

4.

Preservation

5.

Conservation

6.

Classification system

7.

Appraisal

8.

Primary value

9.

Secondary value

10.

Administrative value

11.

Legal value

12.

Fiscal value

13.

Evidential value

14.

Intrinsic value

15.

Informational value

16.

Records center

PART B: SHORT ANSWER

Answer the following questions:

1.

Briefly explain the main function of registry?

2.

Compare and contrast the advantages and disadvantages of centralized and

decentralized registry?

3.

Discuss the step involve in organizing and controlling records in office environment?

4.

List the preservation measure that should consider in organizing and controlling
records in an organization?

5.

Briefly explain the coding system that available in classification system of records?

6.

Explain the values that should consider in appraising records in organization?

7.

Discuss the step involved in managing records in records center?

8.

Discuss the activities held in managing archives?

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