This information sheet provides basic guidance on the creation and management of a museum's administrative records.
Well established standards and guidance are available for the documentation of collections in museums, and this sheet does not, therefore, cover collections documentation or collections information systems. However, most museums create and keep large quantities of other records, such as accounts, building and installation plans, exhibition files and membership records, in both paper and electronic formats. These require systematic creation, management and, finally, disposal or permanent preservation, if the museum is to operate efficiently and meet any statutory obligations placed on it. This information sheet aims to explain the basics of good records management, and to refer the reader to other appropriate sources of information and advice.
The question of how to select some of a museum's records for the permanent archive of its history and activities is touched on here, but the management of archives - their conservation, cataloguing and availability for research - is not addressed; archival management is covered in Information Sheets 1 to 4. Rather, the advice in this sheet is concerned with records which are in active use by the staff or volunteers of the museum, that is to say records which are current; and also those records which, though no longer current, are being maintained chiefly for administrative reference or audit purposes, and are usually termed semi-current.
'Information' is a very broad term which can cover everything from the contents of a filing cabinet, to the books in a reference library, or the vast resources of the Internet. 'Records' is a more specific term, and one which is not always clearly understood. Records certainly contain information, but what is distinctive about them is that they contain evidence of a person's or organisation's activities. In the case of a museum this might include evidence of decisions made by the museum's management, evidence of financial or other transactions, evidence of legal rights and obligations, evidence of events which have taken place in the museum, evidence of communications between the museum's staff or volunteers and the world outside.
Records may be created and stored in many different formats. Most will be in written form, typically a mixture of manuscript, printed and word-processed documents on paper, and e-mail, word-processed documents and other types of data online on a computer. Records may also take the form of plans, drawings, photographs and audio-visual recordings.
These records, and the evidence they contain, may be valuable for one or more of the following three broad reasons:
The following principles will help to ensure that paper records are intelligible, useful and accessible, and that they justify the resources - chiefly staff time and storage space - devoted to them.
Many people, especially in museums, are reluctant to make use of their waste-paper baskets; they hate to make the irrevocable decision to destroy any piece of paper, and much prefer to postpone the decision by filing it. However, filing too much paper often makes records unwieldy and much less efficient to use. The following examples will help to ensure that papers are not stored unnecessarily.
These are some examples of papers which should be filed and properly managed because they may be of medium- or long-term value:
These are some examples of papers which are ephemeral, or are not in fact records (i.e. they have no value as evidence of your organisation's activities), and which should not be filed:
There is no single correct way to set up and manage a filing system - every organisation has different requirements. These requirements also change over time, and for that reason filing systems which are inflexible or complicated are not the most successful. However, a system which is planned will always be more successful than one which is haphazard; the following issues should be considered in planning filing systems:
Stationery need not be expensive but it is helpful to select one or two types of file cover and stick to them. Most paperwork will fit on A4 files with prongs, ring binders or lever-arch binders; these are better than wallet files, because they hold the papers in a fixed order once they have been filed. However, wallet files or box files are usually best for documents which are very bulky or in large formats (such as folded plans and designs).
Storage should be appropriate to the type of stationery you are using. Lever-arch files and box-files are best stored on bookshelves, whereas thinner formats of file should be in filing cabinets with suspended pockets.
Labelling is critical. Make sure that all files have a clear label on the spine and/or front, which includes an accurate title and the date the file was opened; if you use file references and any system of classification, the reference number and class or series of file should also be clearly marked.
File references : a scheme for allocating numbers or reference codes to files is not essential if there are only small numbers of files in the system, but in larger filing systems a numbering scheme is very useful for keeping track of files and for ensuring that they are kept in the correct order.
Classification of files is important for their effective storage and management. Examples of classes (or series, as they are usually termed) in a museum might include: acquisitions, contract management, exhibition planning, loans in, loans out, liaison with sponsors, office administration, staff recruitment etc. As far as possible, each series should correspond to one of the functions or processes carried out in the museum. Files should always be marked with the series they belong to; if the files have reference codes or numbers the first part of the reference usually indicates the series. Files are often stored by series, and the long-term management of files is planned by series (for instance 'acquisition' files are always kept permanently, whereas 'office administration' files are usually disposed of after a relatively short time).
Maintain a list or a database of the files that have been set up, which records the information to be found on the file label and, if appropriate, the location where the file is normally stored. This will help to keep track of what files exist, and reduce duplication. If staff are likely to remove files from the office (or wherever they are normally stored) use a system of marker cards or slips to record when files have been taken so that they can always be tracked down.
Chronological order is most usual for organising administrative papers within a file. However, there are many exceptions, such as reference number order, which is often used for financial transactions, or alphabetical order for enquiry letters from the public. In some cases it makes sense to use file dividers, to mark stages of a project, or different, but concurrent, aspects of a process; if file dividers are used, they should be clearly labelled so that they can be used in a consistent way by all members of staff.
The work of many, if not most, museums is increasingly conducted and recorded in electronic form, as e-mail, word-processed documents and spreadsheets, and on databases and other systems. Computers are excellent tools for the creation and short-term storage and re-use of data in all kinds of formats. However, the long-term maintenance of electronic records is complex because of ever-changing formats and software, and because it is difficult to guarantee that records remain safe from tampering, alteration or accidental corruption. Most museums are not equipped to preserve electronic records in the long term, in such a way as to ensure that they will be findable and readable, and reliable enough for audit, legal or historical purposes.
The following guidelines are intended to help museums improve housekeeping for records which they do store electronically, and plan how they will identify records which must be preserved in the longer term, either by printing them to paper or by investment in electronic preservation methods:
Give electronic files explicit and accurate names : on most computer systems the size of file names is not as limited as it once was, and names which are brief but explicit, e.g. 'gallery8 refurb minutes 24-03-02.doc', are preferable to cryptic names such as 'mymins7.doc'.
Group electronic files in a logical structure of folders and sub-folders on the computer or the computer network. It is much easier to find and manage electronic files if they are grouped by the function or the particular transaction they relate to. A good way of achieving this is by mirroring the arrangement of your paper files in the electronic structure.
Establish procedures for sharing electronic files . In many organisations electronic files, especially e-mails, are not effectively shared as corporate information, but are stored in private space on computers and computer networks. Staff should know how to make electronic information accessible to their colleagues, either by saving it to a shared area of data storage, or by printing it on paper and filing it in a paper file. However, passwords or other network controls should also be put in place so that confidential information is not available to unauthorised users.
Create back-up copies of electronic data . Back-up copies should be made on tape or disk, preferably every day.
Establish procedures for the systematic deletion or retention of electronic records : using the methods described below under ‘Retention and appraisal' identify electronic files (usually working at the level of folders rather than individual electronic documents) which are ephemeral and may be deleted anytime; those which are needed for medium-term storage and which should be retained electronically and/or printed to paper; and those required for consultation long-term or permanently, which should be printed to paper, unless proper electronic records management systems are in place.
Plan carefully for the management of ‘dynamic' electronic files such as web pages, other audio-visual files and databases , which are not easily printed out, unlike ‘static' word-processed documents. Particular care must be taken with such material in deciding what should be preserved and how. An inventory of databases and audio visual material is a possible first step to prevent accidental loss; printing out or saving online periodic static snapshots of web content or databases is one preservation method; the regular planned updating of database software is another.
When paper files or electronic folders are no longer being added to, they are often ‘closed'. It helps efficient record-keeping if closed records are clearly identified – by marking the files or folders ‘closed', for example, or by recording the closure date on any lists or databases of files. The appropriate time to close a file or folder is often obvious, when a project or piece of business is finished, or when a paper file is physically full, but certain rules may also need to be agreed: to close any file which has been open for more than five years, for instance, or to close certain series of files annually.
Records which are closed and no longer in day-to-day use have ceased to be current. They are usually termed ‘semi-current', or ‘non-current'. Where there is pressure on storage space, either on physical office storage or computer disk space, it is common practice to move semi-current records out of the way. Files are moved to a separate store, from which they may be retrieved if necessary; in small organisations this may simply be a storeroom, but larger organisations may have staffed ‘record centres' for this purpose, or may employ commercial records storage companies. Similar practices exist for the storage of semi-current electronic data ‘off-line' on tape or optical disk.
Relieving pressure on storage in this way is a simple process, but should be systematic. The following points should be considered:
• A store for semi-current records may be very basic , but it must be dry, secure from unauthorised access, and must be equipped with enough shelving or cabinets for the records to be stored in an orderly way.
Cardboard file storage boxes, or paper transfer wallets , are readily available from stationers and are a cheap and efficient means of packaging, handling and storing paper files.
A record should be kept of what files, tapes or disks are being moved into and out of the store . This may be done by amending the main file list or database, or by compiling a separate record.
Dates for review of the records, or for planned destruction or transfer to a permanent archive , should be marked on the file list or database, or actually on the file storage boxes. Nothing should be allowed to remain in the semi-current file store on a permanent basis. See the next section below for information on how to work out record retention periods.
Retention and appraisal are important concepts in records management. Records must be retained which are of value to the museum or its public; those which are not of value must be disposed of, so that their management and storage does not waste resources. Appraisal is the process of assessing the value of records, and making decisions about retention, namely whether, and when, the records may be destroyed or whether they should be retained permanently as archives.
The first step in appraising records and managing their retention appropriately is to draw up a records retention schedule, which is a list of all the classes or series or records, both paper and electronic, which are generated by the museum. For each class or series, the schedule states a retention period, in years, and says what should happen to the records at the end of that period: archive them, destroy them, or review them (that is, carry out a file-by-file appraisal). It may also include other advice as to the storage and management of records in that series. Examples of entries in a museum's records retention schedule might include:
Detailed information on drawing up retention schedules is available from many of the books and other sources of advice listed below. Once a retention schedule has been completed, the most difficult task is ensuring that its instructions are consistently followed, by carrying out regular housekeeping of records: closing files that are no longer current, moving them out of office or online storage, and acting on the archive, destroy or review dates that are assigned to them, in accordance with the retention schedule.
In recent years new legal obligations have been placed on organisations, which affect the management of records. The Data Protection Act applies to all organisations which keep personal information about living individuals; The Freedom of Information Act applies only to public-sector organisations, including local authority and national museums.
Under the Data Protection Act 1998, organisations which keep or process personal information, such as names and addresses in a mailing database, or files about staff, volunteers or members, have a number of obligations, which include the following:
The Freedom of Information Act 2000 gives the public a general right of access to information held by public bodies and will come fully into effect from 2005. From this time all such information should be considered open, unless it is specifically exempt from disclosure (as in the case of personal data, or commercially confidential information). When they receive enquiries (which must be in writing) public sector bodies will be required:
In order to comply with both these Acts public bodies must have good record-keeping procedures in place: they must be aware of the types of records they are creating and be able to locate records quickly. Further advice on Data Protection and Freedom of Information is listed below; the Information Commissioner's web site and telephone helpline are particularly useful sources of authoritative advice.
Christopher Marsden (Victoria and Albert Museum)
Hare, Catherine E and McLeod, Julie Developing a records management programme (Aslib, 1997). Excellent short practical guide to basics of records management – explains key terms
Parker, E. Managing your organization's records (Library Association Publishing, 1999) is another excellent practical manual
Shepherd, E. and Yeo, G. Managing records: a handbook of principles and practice (Facet Publishing, 2003) is a more detailed and authoritative textbook
Penn, Ira A; Pennix, Gail, Coulson, Jim Records management handbook (2 nd Edition, Gower, 1994)
Code of practice for archivists and records managers under Section 51(3) of the Data Protection Act 1998 (Society of Archivists and Records Management Society, expected publication 2004)
Lord Chancellor's code of practice on the management of records under Section 46 of the Freedom of Information Act 2000 (2002), available from The National Archives or online at http://www.nationalarchives.gov.uk/policy/foi/
Information Commissioner's Office, Wycliffe House, Water Lane, Wilmslow, Cheshire SK9 5AF; tel: 01625 545745; fax: 01625 524510; e-mail: mail@dataprotection.gov.uk; web site: http://www.dataprotection.gov.uk
Society of Archivists, Prioryfield House, 20 Canon Street, Taunton, Somerset TA1 1SW; tel: 01823 327030; fax: 01823; e-mail: offman@archives.org.uk; web site: http://www.archives.org.uk
Records Management Society of Great Britain, Woodside, Coleheath Bottom, Speen, Princes Risborough, Bucks HP27 0SZ; tel: 01494 488599; web site: http://www.rms-gb.org.uk/