Nuts and Bolts of Museum Records Management:

A Practical Workshop on Getting Started for Museum Professionals

- who you (trainer) are- workshop aims- who you (staff) are- what staff expect from today- housekeeping

Introductions and programme

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Session 1: What is a record?

A record is something that:• provides evidence of a transaction, activity, decision or

event.

• may need to be proven or referenced over the medium or long term.

• can exist in any format - including paper; electronic; microfilm; magnetic and optical media; photographs, slides, and other images

(Examples include: word processed documents, text messages, emails, digital CCTV footage; audio and video tape, CD, DVD.)

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All of this means that records are:

•An important corporate asset

•The organisation’s documentary heritage

Session 1: What is a record?

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Session 1: What is Records Management?

RM is:• a set of tools and guidelines that ensure we

know: - what records we have- where they are located - how to protect them- how long to keep them- if/when to dispose of them

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Session 1: What is Records Management?

Put succinctly, RM is all about:

• the right person being able to find • the right record at • the right time with • the least amount of effort.

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Session 1: What is a records series?

A record series is:• a group of related records which are normally

used and filed as a unit

Examples include:- annual reports - accession registers- press cuttings - events booking forms- Personnel recruitment files- Board of Directors meeting minutes

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Activity 1: Museum Records Series

In small groups:

Make a list of 8 different types of museum records series. Make sure that you qualify your series according to whether it comprises files, reports, minutes etc.

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Session 1: Museum Records

The museum creates two main types of records – those that are specific to museum activities and those that are carried out by every organisation:

Specific to museums: Generic:

Loans out files Payroll records in a database

Visitor services feedback forms Health and safety reports

Accession registers Events records case files

Object files Building plans

Exhibition lenders files Staff files

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Whole group activity:

Arrange the record series you identified earlier into the two groups: museum specific & common–to-all-organisations record series.

Activity 2: Museum specific versus Common-to-all record series

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Session 2: What is the point of records management?

Value of records:- administrative or evidential- historical/research- financial and legal

Benefits:- efficiency- cost savings- audit trails - corporate memory (staff transitions; reinventing the wheel)- compliance with legislative requirements- protect/enhance reputation

REMEMBER: Records are the museum’s documentary heritage and an important

corporate asset

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Session 2: Freedom of Information Act

2000 • Freedom of Information Act (FOI) gives the

public the right to access information held by any public authority, including museums (subject to a number of exemptions); we have 20 working days to respond to written requests

• the government recommends that organisations put a records management programme in place in order to comply with FoI

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Session 2: Data Protection Act 1998

• the Data Protection Act (DPA) applies to all museums (both public authorities and private trusts), and directs the handling of personal information about living individuals, including names, private addresses, dates of birth and contact details – you have 40 calendar days to respond to requests

• security CCTV footage is also covered by the DPA and should be viewed by as few people as possible according to a documented policy

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Session 2: Public Records Act 1958, 1967• duty of care for records of historical value

that document the organisation’s history

• to keep them and make them accessible over the long term (beyond the life of the organisation)

• TNA does police this and museums that fall short can be penalised (although TNA is more helpful than not)

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Session 2: Limitation Act 1980

• Evidence of most financial and contractual transactions should be retained for a period of at least six years

• Governs individuals and organisations

• Applies to things like loans, facilities and capital projects

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Activity 3: Legal requirements

Look at the records series on the ‘post-it’ notes and decide which piece/s of legislation apply – write the abbreviated name of the legislation on each post-it note

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Session 3: Records Management policy and file plan

• Records management policy

• Records management plan that takes into account other related initiatives (eg shared drive clean ups, planning for storage space)

• Records management procedures (file plan, retention schedules)

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Activity 4: Policy

In groups, discuss how the sample records management policy would work in our museum; then share your comments with the larger group.

Discuss what you like/dislike about the policy; then share with the larger group.

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Session 3: File Plan

• key tool for organising records; should be consistent across paper and electronic files

• allow us to group similar types of information

• based on business functions and activities, making it easier to find records

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Activity 5: File Plan

1. In your small groups, identify seven activities that encompass everything your museum does.

2. Discuss these file categories with the larger group.

3. Return to your groups and map your records series from Activity 1 to your file categories

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Session 4: Records Lifecycle

Active(create and use)

Inactive (no longer used on a regular basis)

Disposal Archive(when no longer needed for (identify as

having administrative, legal or permanent

value so financial reasons) transfer to archive)

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Session 4: Retention Schedule

A Retention Schedule is a control document that:• identifies all the record series created by an

institution

• sets out how each should be managed throughout its ‘lifecycle’

Retention decisions should be determined by:• business requirements; statute, legal or

regulatory compliance.

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Session 4: Retention Schedule

A more detailed retention schedule may also contain information about:

• the reason for retention (eg. legislative requirements)

• location of the records - where they will be kept at each stage of their lifecycle

• responsibilities – who will be responsible for managing the record at each stage of the lifecycle.

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Session 4: Sample Retention Schedule

May look something like this:

RECORD TYPE RETENTION PERIOD

ACTION AUTHORITY

Governance – trustees minutes

Permanent (signed originals only)

Transfer to Archives after 5 years

Companies Act 1985 and 1989; business requirement

Health & Safety - Accident forms/reports

Current year + 6 years

Destroy Health & Safety Act 1974

Communications –Enquiries from the public

Current +

2 years

Destroy Data Protection Act, business requirement

Registration – Loan out files

Permanent Transfer to Archives on return of loan

Limitation Act 1980, business requirement

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Session 4: How long should we keep records?

• Retain all records indefinitely

• Destroy records on an ad hoc basis (usually when file drawers are full or when staff move on)

• Follow an approved fit-for purpose file plan and retention schedule

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Activity 6: Retention Policy

In your groups, choose 2 records series and discuss what retention periods would work for them. Keep in mind:

-How long do you need the records in the series to carry out work?-How long would you need the records for infrequent reference?-Do the records have research or other archival value? If not, should they be disposed?-What legal retention requirements might there be?

Then share your sample schedule with the larger group.

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Session 4: Your records management programme

• Sustainable – based on agreed policy, provides procedures and support

• Linked to ISO standard (15489), which makes the MDA/CollectionsTrust happy and will integrate with SPECTRUM in the future

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Contact details:

[your local contact details]

or

Samira Teuteberg, London Museums Hub Records Management Advisor on:

07958677767 or steuteberg@museumoflondon.org.uk