Records Management Activities and Methods

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Records Management Activities and Methods
Update 2010 Fall
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Outline

• Records Storage/Filing
• Records Retrieval
• Records Retention
• Records Disposal
• When you study this session, please think
  ahead if IT helps and how?

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Main Activities in RM

• Records Storage/Filing
• A systematic way of storing records according to
  a plan
• Processing, procedure, rules, equipment
• Further processing of records may be required
• Scanning, imaging, and data conversion
• Records Retrieving
• a process of locating a record or file from
  storage
• Request, charge-out, logs
• Records Retention
• Decision about how long to retain records
• Value, series, schedule, transfer
• Records Disposition
• Destroy or migrate records to another archival
  media such as microform or electronic storage
• Procedure, preservation

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Scanning, Imaging, Data Conversion

• Scanners can be used to convert paper records
  into digital images
• TIFs, PDFs, JPGs
• Use Optical and Intelligent Character Recognition
  (OCR and ICR) software during the scanning
  process
• Images can be transformed into meaningful data.
• The data can then be sorted, indexed, organized
  and fully searchable, for easy access.

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Storage/Filing Procedures

• Inspect
• Check for release mark of a record to determine
  whether it is ready for filing
• Index
• Read content to determine filing segment
• Code
• Mark filing units on record
• Cross-Reference
• Indicate record location under alternate filing
  segments
• Sort
• Arrange records by filing segment
• Store
• Place record in appropriate folder

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Index

• Determine the filing segment by which a record is
  stored.

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Code

• Assign a file designation
• Mark a record to indicate the name, subject, or
  number by which it is to be stored
• One or more filing units
• Underline the key unit, then number each
  succeeding unit

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Filing Rules

• Filing is done to facilitate retrieving
  information.
• Consistently following filing rules and
  procedures helps in rapid retrieval of
  information.
• Avoid misfiled and Lost Records
• ARMAs alphabetic indexing rules provide guidance

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Cross-Reference

• Direct attention to one or more related items
• Shows alternate name for a record
• Shows the location of the record

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Misfiled and Lost Records

• Result from improper indexing, coding, and
  storage of records
• Often delay or affect the work of employees
• Reduce an organizations effectiveness in serving
  customers

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Storage Equipment

• Storage equipment commonly used for paper records
• Vertical file cabinets
• Lateral file cabinets
• Shelf files
• Mobile shelving

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Vertical file cabinet
Lateral file cabinet
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Shelf files
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Mobile shelving
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Storage Supplies

• Supplies commonly used for paper records
• Guides
• Folders
• OUT indicators
• Labels

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Guides

• A guide is a rigid divider used to identify a
  section in a file and to facilitate reference to
  a particular location.
• Primary guide identifies a main file
  section/division
• Special guide identifies an individual folder or
  subdivision

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Examples of Guides
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Folder

• Folders are containers used to hold and protect
  records.
• A general folder holds a small volume of related
  records.
• A individual folder holds records for an
  individual unit.
• A special folder follows a special guide.

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Folder Cuts and Tab Positions
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OUT Indicator

• Control device showing the location of borrowed
  records
• OUT guide or sheet replaces a borrowed record
• OUT folder replaces a borrowed folder

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Color

• Color enhances the effectiveness of a records
  storage system

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Online Tour of a Records Management Center

• Iron Mountain
• Document management, digital archiving, records
  management and storage, film and sound archiving,
  

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Records Retention

• Decision about how long to retain records
• A set of policies and procedures for discerning
• What documents to keep
• Where and in what type of environment the
  documents are kept
• How long these documents are to be kept

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Why Retention

• Control the unrestrained growth of records volume
• Improve the ability to locate and retrieve
  records when required
• Improve the overall utilization of resources
• Demonstrate compliance with statutory and
  regulatory recordkeeping requirements
• Enforce the consistent implementation of
  recordkeeping policies
• Reduce litigation risks

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Records Values for Retention
Nonessential Records Not worth keeping
Useful Records Short-term storageup to three years
Important Records Long-term storageseven to ten years
Vital Records Permanent storage
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Records Retention Schedule

• A comprehensive list of records, indicating the
  length of time records are to be maintained.
• Records seriesa group of related records that
  normally are used and filed as a unit and can be
  evaluated as a unit to determine the records
  retention period.
• Retention periodthe length of time that records
  must be kept according to operational, legal,
  regulatory, and fiscal requirements.
• Can also be expressed as contingent upon the
  occurrence of an event such as the termination of
  a contract or conclusion of a project.

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Records Transfer

• The act of changing the physical custody of
  records with or without change of legal title.
• Records are moved from one storage area to
  another.
• Records are transferred to an archives when they
  are no longer used frequently.

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Records Centre
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Records Disposition

• Disposition is the point at which the record
  should either be destroyed or migrated to another
  archival media such as microform or electronic
  storage.
• Destroyed record documents require a destruction
  certificate to prove that the record was
  maintained in line with the retention requirement
  and then destroyed properly.
• We need to maintain records to document when and
  how records are destroyed.

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Records Preservation

• Processes and operations involved in ensuring the
  technical and intellectual survival of authentic
  records through time.
• Storage and accommodation provisions, staffing
  levels, policies, techniques and methods
• Building and environmental control
• Reformatting
• Duplication
• Disaster planning
• Access control

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Discussion

• What are the problems of traditional records?
• Can you draw some links of the above slides to
  common IT?
• How does IT help?