UNIT 7 LIBRARY RECORDS

Structure
7.0 Learning Outcomes
7.1 Introduction
7.2 Library Records
7.2.1 Definition
7.2.2 Need for Records
7.2.3 Kinds of Library Records
7.2.4 Records Maintained by the Individual Sections of Libraries

7.4 Summary
7.5 Suggested Activities
7.6 Answer to Self Check Exercises
7.7 Keywords
7.8 References and Further Reading

7.0 LEARNING OUTCOMES

After going through the Unit, you will be able to:
 explain the meaning of the word ‘record’ and its need in libraries;
 describe the kinds of records maintained in libraries;
 identify the kinds of records maintained in different sections of a library; and
 elaborate the records pertaining to library assets, library policy, library building
maintenance, etc.

7.1 INTRODUCTION
Libraries maintain different types of records to exercise control over its routine functions
as per established norms. Some records are created prior to the period the library
becomes operational; the others are created and captured in the course of conduct of
library operations and services. As a student of library science you must learn and
understand about the nature and type of such records and their functions in the context
of library work. In this Unit we are going to study library records, their meaning, need,
kinds and the roles that records play in various sections of a library.

7.2 LIBRARY RECORDS

7.2.1 Definition
Records are created and captured by individuals or organisations in the course of conduct
of their affairs. Most records are evidences of administrative, executive, service or
work related transactions. Traditional records formats include letters, minutes,
memoranda and reports, etc. The electronic record formats include spreadsheets,
databases, e-mails and facsimiles. In some ways, what technology has done is to re-
define traditional records formats. For example, e-mail is very similar to a letter. It is the
120 fact that it is transmitted electronically that differentiates e-mail from letters.
Records provide information in the form of description, statistics, or routines carried Library Records
out by an individual or a group working in an institution or organisation. While all records
convey information, not all sources of information are necessarily records. For example,
a published book or an externally provided database (online or offline) will not be a
record, although information selected from it and reused in a new context may itself
become a record.
The records keep on accumulating as transaction proceeds and by the time the activity
is over, records take the shape of documents providing complete details of the history,
process and outcome of the activity. The activity may be about making of a policy,
carrying out an operation, or introducing a new service. In this context, records are
perceived as a ‘snapshot’ of an action or event. They offer a picture of something that
happened.
Records arise from actual happenings. For instance, an exhibition of rare books would
generate a series of records arising from questions that visitors may put to the staff
managing the exhibition and also from the opinions that they may record about the
exhibition in the visitor book before they leave. Records that may arise from such an
event would include - some files, the exhibition brochure, the bibliography of the books
exhibited, the visitor’s book and so on.
Some of the records have both current and future uses, while others are required to be
used only in future, as source material. For example, the files created for the exhibition
will be used mainly in future when another exhibition is organised. On the other hand the
bibliography of the books may be used at present as well as in future.
The term record has been in use in the context of archives for a long time. But now it is
a widely used term in industrial houses, institutions, organisations and in libraries. In
library science, it refers to the documents containing details of process, activity and
results of some function of either the whole organisation or a part of it.
ISO 15489: International Standard on Records Management defines a record as:
“recorded information in any form, including data in a computer system, created, received
and maintained as evidence and information by an organisation or person, in the
transaction of business and kept as evidence of such activity”.
A library is an organisation where sources of information in its various form such as
books, serials, microfiches, CD, etc. are acquired, processed and made available to
the clienteles for their use. In making provision for resources and later on for offering
various services, libraries also generate many records, both in descriptive as well as in
the form of statistical tables.

7.2.2 Need for Records

The records contain information that serves as evidence of functions executed and
activities performed and as such they are a valuable source of knowledge as to how
and why decisions are taken. Given that records are of value to any organisation, their
proper creation and management is necessary to ensure current and future accountability
and to support future actions. The need to properly manage records is also evidenced
by the crucial role that records play when they are needed to protect the library’s
interests during crisis periods and when they are required to meet official audits,
investigations and reviews from outside agencies. We can understand that library needs
records for a variety of reasons such as follows:
 Records are needed to document actions and decisions taken in a library and to
conduct library business in an orderly, efficient and accountable manner. 121
Library Routines  Records are needed to provide consistency, continuity and productivity in the
library management and administration.
 Records are needed to deliver services in a consistent and equitable manner as
records help to bring and maintain uniformity in the routines.
 Records are needed to support and document policy formulation and managerial
decision making and to promote informed decision making.
 Records provide benchmark measures to monitor and evaluate the progress in
performance, efficiency and achievements.
 Records lend support in the formation and revision of policies, programs, systems
and long-term strategic plans.
 Records lend support to various library proposals such as expansion in the building,
demand for additional staff as well as to proposals for more funds for acquisitions
and new service/services, etc.
 Records serve as source materials to construct library history and maintain library
memory.
 Records, in the form of a catalogue, serve as a tool for efficient access to the
library resources.
 Records as a proof of budget utilisation to fulfil audit requirements.
 Records of workload help in rational allocation of manpower across various
departments.
 Records as data of utilisation of services to justify library expenditure to the parent
management and the society.
Self Check Exercise
Note: i) Write your answer in the space given below.
ii) Check your answer with the answers given at the end of this Unit.
1) Describe needs for records in library.
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7.2.3 Kinds of Library Records

Unlike records of government departments or industrial houses, which are mostly in the
form of files, library records are created and captured in several different forms
depending upon the nature of activities that take place in various library departments. In
a fully computerised library such records are computer generated by the relevant software
modules. In non-automated libraries, the dominant forms of records are: ledgers,
registers, files, cards and statistical sheets.
Records may be categorised by
122 i) their life span,
ii) content and Library Records

iii) form of presentation of information.

i) Records as per their Life Span
These records are categorised as: i) Permanent, ii) Semi-permanent, and iii) Temporary.
Permanent Records – Records which are retained on permanent basis include library
policy documents, library procedures and guidelines, documents relating to library origin
and growth, staff sanction approvals, accession registers, user registration forms, audit
reports, inventory of furniture, fittings and equipments, building plan, electrical and sewage
systems plans, etc.
Semi-permanent Records – These records include among others funds utilisation
register, agreements with firms about terms and conditions of supply of books and
access to databases and library circulation records, in-house usage records and online
usage records, etc. Financial records are retained till the audit is over. Similarly records
pertaining to the terms and conditions of supply of a firm need not be retained once
dealing with the firm is over.
Temporary Records – Records which are generated for a specific work are to be
destroyed upon completion of the work. For example, book selection cards/slips are
usually destroyed once the books have been catalogued. These are not destroyed in
case they are used as accession record. Serial registration card is also a temporary
record. Once it is full, it is replaced by a new card.
ii) Records as per their Content
These records include:
i) records of resources,
ii) financial records,
iii) service records and
iv) administrative records.
Records of Resources – These records pertain to books and non-book materials
such as audio books, audio-visual works, brochures, computer software, dissertations,
globes, maps, microfiches, microfilms, photos, postcards, posters, reports, serials, slides
and stamps.
Financial Records – Accounts books such as budget register, registers showing
section-wise allocation of funds and bill register are financial records.
Library Service Records – These records include among others inter-library loan
record, circulation record and reference service record, etc.
Administrative Records – The number of staff varies from library to library. There
are libraries which are run by a single staff. Others have staff varying from a few to
more than a hundred. Every staff has got a service book that maintains records of his
entire service starting from his application for the service. Confidential reports of every
staff written by their seniors are also carefully maintained. These are all important
administrative records.
iii) Records by Form of Presentation
These records are of two types – descriptive and statistical. Annual reports of a library,
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Library Routines the stated library policies, minutes of various meetings, etc. are descriptive records. A
library purchases a number of books in a year, processes them, issues them to the
readers, replaces them after their return; and so on. Every day a number of readers use
the library, some of them ask questions, want some services and so on. At the end of
the year, cumulated records are analysed and data generated indicating the number of
books purchased, processed, issued, number of queries answered and photocopies
supplied, etc. and progress made over the previous years. These are statistical records.
Self Check Exercise
Note: i) Write your answer in the space given below.
ii) Check your answer with the answers given at the end of this Unit.
2) Explain the ways of categorising of library records.
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7.2.4 Records Maintained by the Individual Sections of

Libraries
Libraries organise their activities under a departmental structure. The actual organisational
structure in a library depends upon the size of its collection, the span of library functions
or the administrative needs of the parent body. The following structure, with marginal
variations, is more common among libraries:
i) Acquisition Section
ii) Technical Processing Section
iii) Circulation-cum-Reading Room Section
iv) Reference and Documentation Service Section
v) Periodicals Section
vi) Maintenance Section
vii) Administration Section
Each section creates and maintains records to help conduct its routines in a systematic
order.
i) Acquisition Section
This section is responsible for building up the library collection. The process of collection
building begins with the formulation of library collection development policy and
subsequently on its implementation on the following lines:
 Receiving suggestions from library members, staff and authorities,
 Recording suggestions for each title on book selection slips,
 Checking slips with various records for resources available in the library holdings
124 to ensure that no title is duplicated unintentionally,
 Placing order with an appropriate supplier, Library Records

 When the ordered material is received - it is checked for correct supply, entered
in the accession record and transferred to the Technical Section for further action,
 The invoice for the supplied material is recoded in a register, adjusted against
financial provision and passed on to the finance department responsible for payment.
The above description of acquisition of materials through purchase order method
necessitates the creation of following types of records:
Ledgers – There are different ledgers for record keeping as described below:
 Ledgers for recording of invoices i.e. bill registers for every category of library
materials such as books, serials subscription and non-book materials including
electronic sources.
 Ledger for adjustment of expenditure against funds allocation already made for
each subject/department, i.e. budget allocation register.
 Ledger for accessioning of materials, i.e. accession register/accession cards tray.
Files – Libraries create and maintain a number of files as records for several different
purposes. These can be categorised hereunder.
 Correspondence File – This type of file is used to keep all correspondences
with the suppliers of library materials. Correspondences may be orders, reminders,
complaints regarding supply of damaged or wrong books, etc. Correspondence
files may be more than one. If a library is obtaining periodicals through consortia
and books, etc. through institutional membership, then a file for the purpose is
required. A library may receive books, periodicals, etc. through exchange or gift,
in that case also another file is required for the purpose.
 Suggestions File – This file contains suggestions received for books, periodicals,
etc. from library members, staff of various departments and authorities.
 Legal File – This file contains agreement documents such as terms and conditions
of supply of general or rare books, serials, electronic sources, exchange of
publications and receipt of gifts, etc.
Cards and Slips in Trays – These trays are used to hold suggestion cards/slips, slips
for books on order and books awaiting technical processing.
Statistical Sheets – These contain records as to the number of books selection slips
prepared, checked and filed in order tray, removed from order tray, etc.
ii) Technical Processing Section
The department has three distinct functions: classification, cataloguing and physical
processing. The first two functions are done with the help of classification schemes and
cataloguing codes adopted for the purpose, often with certain deviations in constructing
class number or in providing details in the catalogue entry for a document. This is done
in response to meet the local needs of the library. The library may decide to drop
providing added entry for editors or class books on biography under 920 (DDC number)
only. Such policy decisions are recorded in a file called authority file, for future reference.
Authority File - The authority file is the only file maintained in the department for
recording deviations adopted by library in constructing class number, in providing details
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Library Routines in a catalogue card entry or in preparing maximum of number of cards for a book. Such
deviations are called local variations.
Cards – Catalogue cards and shelf list represent the library collection. These are the
two records which are generated by the technical department. The shelf list is usually
retained in the department and the card catalogue is placed close to the entrance lobby
or reading area. If any book is lost or withdrawn from the library, the relevant cards are
removed from the catalogue cabinet and shelf list.
Statistical Sheet – The sheet records the number of catalogue cards prepared, filed,
updated by adding information for additional copy of a book, cards replaced or
withdrawn, etc.
Self Check Exercise
Note: i) Write your answer in the space given below.
ii) Check your answer with the answers given at the end of this Unit.
3) Write a note on statistical form of records in acquisition and technical processing
section.
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iii) Circulation Section
The main function of the circulation section is charging and discharging of books. For
carrying out this function successfully, the department has to perform many activities.
Some of these are reservation routines, bespoken card writing, requisitioning materials
on interlibrary loans, etc. Although binding is a distinct administrative function, it is dealt
with by circulation department in some libraries as it involves keeping record of books
going out from the library. These activities call for creation and retention of a number of
records in all the three formats - ledger, files and card:
Ledgers – The ledgers maintain records of interlibrary loan materials, overdue charges,
receipt books for overdue charges.
Files – There may be one or more files keeping various types of documents such as
letters, list of books, etc. The circulation section will have files relating to library circulation
policy, registration of library members, inter-library loan service and correspondence
on overdue books or reserved books, binders for getting the books and periodicals
bound, users complaints, etc. If the correspondence volume is small one file may serve
the purpose for all these otherwise different files may be opened depending on the
need.
Cards – In many libraries the issue record is based on membership card. When a book
is issued to a member, her/his membership card is filed in the tray. When the book is
returned, the card is removed from the tray and returned to the member. Membership
cards filed in the tray is a valuable record that indicates the books that are issued out.
 Book cards of books sent for binding, repair, digitisation, etc. are also maintained
systematically. When the books come back to the library after binding, repair,
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 digitisation, etc. the book cards are inserted to the relevant books and then they Library Records
are shelved.
 Membership application forms or cards are also important records. Basing the
data contained in the cards or forms, it is possible to know the total number of
members, types of members by age group, by level of education, etc.

Fig. 7.1: Circulation Section Card

Statistical Sheet – The statistical sheet records data as to the number of books issued,
shelved and repaired, reminders sent, interlibrary loan request fulfilled, etc. These records
provide valuable indicators as to the workload, types of materials in demand, number
of books shelved, number of books repaired, etc.
iv) Reference and Documentation Service Section
The nature and level of reference service varies with the nature and size of a library. In
public libraries it is mostly question answer type service. In academic and special libraries
in addition to such queries, the staff is also expected to prepare documentation list and
offer current awareness service. In special libraries, the staff is also expected to provide
selective dissemination of information (SDI) service to individual scholars. Since much
of the dealings in reference section with users are about providing reference service
with the help of reference tools not much records are generated or maintained in this
department. The following types of records are maintained in the department:
Cards – Scholars’ profiles are maintained on specially designed cards for providing
SDI service to them.
Files – Reference enquiries received through various channels like telephone, e-mail,
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Library Routines SMS, letters and so on. In most cases replies are also given using these channels. A
copy of the reply is kept in the file which may help in replying queries in future if it is on
the same topic.
Statistical Sheets – Statistics of: i) queries attended, ii) abstracts of articles prepared,
iii) bibliographies compiled, iv) SDI services provided, etc are maintained on a daily
basis and cumulated on yearly basis.
Self Check Exercise
Note: i) Write your answer in the space given below.
ii) Check your answer with the answers given at the end of this Unit.
4) Explain why records are not generated or maintained in large numbers in a reference
section?
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v) Periodical Section
Different libraries have different system for organising acquisition and maintenance of
periodicals. Libraries with large number of serials’ subscription organise the entire routines
in an independent section. Smaller libraries often include subscription and related routines,
along with books, in acquisition section and leave the receipt and display, etc. only for
a separate section. Various records are maintained in this section relating to ordering,
receipt and non-receipt of periodicals, issuing of reminders and binding of periodicals,
etc.
Ledgers – Some libraries use Kardex for recording receipt of periodicals. Many libraries
record the receipt of periodicals in a register. If the serials department places orders for
periodicals on its own, then it will have to maintain a bill register also.
Files – Depending on the need one or more files may be required. The following
papers or documents are kept in the files:
 Correspondence relating to subscription of periodicals. It may include quotation
papers, price list from the publishers, list of periodicals, suggestions received from
users, etc.
 An organisation publishing periodicals gets many periodicals in exchange of their
periodicals. All correspondences and related papers are to be maintained properly
for the smooth functioning of the activity.
 Many libraries are members of one or more consortia. This also results in
correspondence and accumulation of various other papers such as list of periodicals
according to publishers and list of members of the consortia.
 Non-receipt of issues, receipt of defective copy, duplicate copy, or unsubscribed
copy also leads to correspondence.
Cards – Some libraries use cards for recording the receipt of periodicals, issuing
reminders for the non-receipt of issues, expected date of arrival of the next issues and
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so on. The cards are of varying sizes. For example, the Kardex card is usually bigger Library Records
than the catalogue cards.
Statistical Sheet – Number of serials registered against subscription, gift, exchange,
or consortium, reminders sent, volumes prepared for binding and such other routines of
the section are maintained in the statistical sheet.
vi) Maintenance Section
The section is primarily concerned with upkeep and maintenance of library materials in
good condition and in an order that helps users to have access material with ease. For
achieving this objective, the section puts the collection in different sequences and in a
specific order in each sequence. It provides the stack area with helpful guides and
identifies titles in need of repair or binding. It makes periodic check to identify books
which need weeding out from the collection. The section also conducts stock verification
at fixed intervals, as per library policy. The records in the section are mainly in the form
of list of books kept in files. The list may include the books that are withdrawn from the
shelves for weeding out or repair. The notes in the files may relate to the acquisition of
new furniture, removal of old or unused furniture, request for equipment and materials
for cleaning, etc. Preservation of rare and important documents is also an important
activity of a library. This also generates a lot of records.
Files – All the records generated by the activities discussed above are maintained in
files. Often more than one file is required.
vii) Administration Section
The administration section looks after the administrative activities of a library which
involves library manpower, finance and accounts, library building, library assets such as
furniture and equipment. It also functions as the nodal point for contact with the
administration of the parent body of the library. The records in administration are mostly
in the form of files, registers and ledgers.
Manpower Records – The manpower record comprises among others the attendance
register, service books of employees, leave records and staff deployment record. Salary
and wage records are also maintained where the library is the wage disbursing authority.
You should note that some of these records are in the form of registers.
Statistical Records – Statistical sheets collected from each department are
consolidated whereby the overall scenario of the library comes up.
Financial Records – These records comprise correspondence relating to annual
budget, budget register, budget allocation and utilisation register, etc. The last mentioned
record is very useful as it always provides information as to money already spent and
the money that remains to be spent. When anything what needs to be purchased this
record is always very useful.
Records of Library Assets – Every library has various types of assets comprising
book shelves, almihras, tables, chairs, fans, etc. In modern libraries there are computers,
photocopying machines, microfilm reader-printers, videos and so on. All these furniture
items, fittings, machines, tools, etc. are recorded in a register. When something is issued
to someone, a record is maintained. Record is also maintained for those items that are
written off.
Records concerning Library Development, Policy, etc. – These records include
annual report of the library, proceedings of library committee meetings, development
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Library Routines plans and proposals of the library, library rules and regulations, contracts and agreements
and so on.
Library Building Records – Many libraries have their own buildings. There are
records relating to library building plan, maintenance and repair. A library usually grows
requiring construction of new rooms, new storeys and at times new buildings. Security
is of great concern for a library as it contains many rare books, manuscripts and other
valuable materials. Hence flawless security arrangement is made. All these also generate
records. These records are usually maintained in files.
Disaster Management Manuals – Disasters like fire, flood, earthquakes and tsunami
sometimes afflict libraries. That is why many libraries prepare disaster management
manuals that act as guides to help librarians to save valuable books and other materials
of the library when a disaster strikes. Records are usually maintained in the record
room by the record keeper who functions under the head of the administration
department.
Self Check Exercise
Note: i) Write your answer in the space given below.
ii) Check your answer with the answers given at the end of this Unit.
5) Enumerate the records of the administrative department of a library.
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7.4 SUMMARY
Records in library terminology are documents containing details of processes, activities
and results of some functions of either the whole organisation or a part of it.
Records bring uniformity in library tasks and serve as standard for evaluation of
performance. They are used as supporting documents for new proposals and serve as
source materials for compiling the history of the library. They also help meet audit
scrutiny and justify the need for library as a social institution.
Records can be divided into various categories by using different criteria such as their
life span, contents and form of presentation of information.
Library records are maintained in the form of ledgers, registers, files and cards/ slips.

7.5 SUGGESTED ACTIVITIES

Visit a nearby library and collect the details of the following records:
 Accession register
 Attendance register
 Correspondence files
 Statistical sheets
 Library manual
130  Library assets
 Library Records
7.6 ANSWER TO SELF CHECK EXERCISES
1) Records are needed in a library because they bring uniformity in routines, render
help for evaluation of performance, efficiency and achievements, lend support to
various library proposals, act as source materials for constructing the history of a
library, serve as a tool for efficient access to the library resources, provide proof
of budget utilisation for the fulfilment of audit requirements, indicate workload that
helps in rational allocation of manpower among the departments and finally justify
desirability of library services for society.
2) Records are categorised according to their (i) life span, (ii) contents and (iii) forms
of presentation. When records are categorised according to life span, we find
three types of records. They are permanent, semi-permanent and temporary.
Records of library resources, finance, services and administrative functions are
based on their contents. Records can be categorised according to the form of
presentation of information also. Such records either provide descriptive account
or statistical data.
3) The statistical sheet records data about daily performances in various sections. In
the acquisition section it records the number of book selection slips prepared,
checked with existing records, filed in order tray and filed in receipt tray, etc. In
the technical processing section it records data about books and other documents
classified and catalogued, catalogue cards filed, corrected, replaced, withdrawn,
etc.
4) Reference job mostly requires staff to work with the resources in the library. The
moment information is located it is made available to the scholar. Therefore the
department does not maintain many files.
5) An administrative department of a library has records relating to: (i) manpower,
(ii) finance, (iii) assets, (iv) development proposals, plans, etc, (v) building and (vi)
disaster management manual.

7.7 KEYWORDS
Audio Book : A recording of a book, magazine or periodical
article being read.
Authority File : It contains a record of all decisions made by
cataloguers or classifiers in a library.
Bespeak : Express the need or desire for, ask for.
Content : The body of the record, that is, the information
or text it contains.
Kardex : A paper-based record-keeping device or system
that uses products that bore the Kardex
trademark.
Ledger : A book of commercial accounts in which records
of debit and credit are posted.
Serial : A publication such as a newspaper or a journal
issued in successive parts, consecutively
numbered and intended to be indefinitely. All
periodic publications issued regularly or irregularly
are covered by this term.
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Library Routines
7.8 REFERENCES AND FURTHER READING
Harish Chandra, Swamy, P. N., Sharada Raman, and N. Jagadeesan. “Digital Initiatives
with Special Reference to Library Membership Records at the Central Library of Indian
Institute of Technology, Madras”. National Conventional on Library and Information
Networking (NACLIN 2000), Chennai: Papers. Ed. H K Kaul and Harish Chandra.
New Delhi: DELNET, 2001: 37-51. Print.
Information Solutions Group. Managing Records as the Basis for Effective Service
Delivery and Public Accountability in Development. July 2000. Web. 12 May 2013.
<ht t p: / / s it er es o ur ce s. wo r ldbank. o rg/ E X TARCH I VE S / R eso ur c es/
Core%20Principles.pdf>.
Mittal, R.L. Library Administration: Theory and Practice. Delhi: Metropolitan, 1984.
Print.
Ranganathan, S.R. Library Manual for Library Authorities, Librarians and Library
Workers. New Delhi: UBS, 1988. Print.
---. Library Administration. Bangalore: Sarada Ranganathan Endowment for Library
Science, 1959. Print.
Susan Healy, “ISO 15489 Records Management- its Development and Significance”.
Records Management Journal. 11.3 (2001):133-142. Print.
University Computing Centre. Records Management: Best Practice Guidelines; Part
2 - Fundamentals of Information and Records Management. Web.11 may 2013.
<http://ocla.ucc.ie/records/rm_gpt02.html#21>.

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