Introduction to Records Management

Course Instructor : Mr. SANCHAWA, D

Introduction

• Records management offers tangible benefits to organizations, from economic good practice in reducing storage costs of documents, to enabling administrative, financial and legal requirements to be met.

• Poor management of record system makes the performance of duties more difficult, costs organizations time, money and other resources and e.t.c

Introduction (ctd)

• Thus, in this lecture we are going to see the concepts of record, document, record management, record life cycle , the benefits of records management, the principles for effective records management and other areas which deem to be necessary

Definitions of related terms:Records

• Records are official documents that should be stored for later use

• Records and Archives management Act,2002 defines records as recorded information regardless of form or medium created, received and maintained by institution or individual in the pursuance of its legal obligations or in the transaction of its business and providing evidence of the performance of those obligations

What are records?

• Thus, records are information kept in various forms such as paper or computer disk needed for carrying out the activities of the organization. The captured information can be in form of :-

• Paper (e.g. Files, reports, maps, print outs invoices etc)

• Microfilm• Compact disk• Tapes and etc

What are records?

• Records are information that have been documented by an organization in the course of its business and maintained in pursuance of certain obligations.

• Records are document created, received, maintained and used by an organization or an individual in transaction of business which it provides evidence.

What are records?

• Healy, S (1997) sees records as documented information consist of books, papers, maps, photographs or other forms regardless of physical characteristics made or received by any public or private institution in connection to functions, policies, procedures, operations and activities of an organization

Document

• A document is any piece of written information in any form, produced or received by an organization or person. It can include databases, website, email messages, word and excel files, letters, and memos.

• Recorded information, which can be treated as a unit (URT, 2011)

• Structured unit of recorded information either published or unpublished, in hard copy or electronic form and managed as discrete units in information systems( Standard Australian, 1996)

A document and a record

• When document s are kept as future evidence they become official records.

• In other words, all records start off as documents, but not all documents will ultimately become records.

• A FILE : An organized physical assembly (usually within a folder) or documents grouped together because they relate to the same subject, activity or transaction (URT, 2011)

Question : ( 5minutes)

• Define the following • 1. A file

………………………………………………………………………………………………………………………………………………………………………………………..

• 2. Information ………………………………………………………………………………………………………………………………………………………………………………..

What is record Management

• Record management refers to administrative management concerned with systematic planning, controlling, creating, maintenance, efficient and economic use and disposal of records throughout the entire life cycle of records of an organization (Samson, 2012)

What is record Management ?

Activities involved in controlling the life cycle of a record, beginning with its creation and ending with ultimate disposition

Leads to prevention of creation of unnecessary documentation

Early identification of papers lasting value and systematic planning of retirement procedures

Forms of records may INCLUDE?

• Paper reports, directives, forms, correspondence

• Phone call notes• Photographs, videotapes, posters• Maps and drawings• Databases• E-mail• Microfilms and etc

What is NOT a record?

• Material that does not meet the statutory definition of the record include but not limited to (Samson, 2012) :-

i. Technical reference materialii. Catalogs , trade journals, manualiii. Extra copiesiv. Black formsv. Some electronic information

Why records?

To ensure continuity in administrationTo ensure tax-payer’s interest is protected at all

timesFor providing evidence in case of disputesFor planning & scheduling organization activitiesFor historical valueTo make available needed facts, figures,

correspondence etc

Why records ?

• Documentation of workforce performance • Provide evidence about past actions and

decisions • For accountability and transference purpose

Criteria in creating records

• Is it necessary?• What constitutes adequate

documentation?• Is it desirable to have it in a

consistent format?• What is its future life ?• What is the best way to store and

retrieve it?

What are the characteristics of a record?

• Records are evidence of actions and transactions• Records should support accountability, which is

tightly connected to evidence but which allows accountability to be traced;

• Records are related to processes, i.e. “information that is generated by and linked to work processes” [Thomassen, 2001, p 374];

• Records must be preserved, some for very short time and some permanently.

• Authenticity : proven to be purport to be• Created and sent by the Person implied to have

sent/created them• Integrity : Must remain complete and unaltered

over time• Usability : Can be located, retrieved, presented and

interpreted• Reliability: contents can be trusted as a full and

accurate representation of the transaction to which they attest

Records contain information from which?

• Decisions are made• Plans are developed• Policies are made• Objectives are realized • Obligations are discharged• Questions can be answered• Historical evidence can be taken• Investigations can be handled and etc

What are the categories of records?

• Records can be categorized in a number of different ways:- Commonly recognized categories include: (Standard Australian, 1996)

• Administrative Records : procedures documentation, forms and correspondence ; examples are staff manuals, rosters, logging of property maintenance jobs, travel bookings

What are the categories of records?

• Accounting records : reports, forms and related correspondence. Examples are invoices, bank account reports, customer billing reports

• Project reports: correspondence , notes , product development documentation e.t.c related to a specific project

Categories of records (ctd)

• Case files: client records, personnel records, insurance, contacts and lawsuit files

Question : 15minutes

• Describe records according to their use or values…………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………