Transcript Session III (Part A) Records Management Activities and Methods

Update 2010 Fall
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Records
Records
Records
Records
Storage/Filing
Retrieval
Retention
Disposal
* When you study this session,
please think ahead if IT helps and how?
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Main Activities in RM
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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
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Records Retrieving
◦ a process of locating a record or file from storage
◦ Request, charge-out, logs
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Records Retention
◦ Decision about how long to retain records
◦ Value, series, schedule, transfer
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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
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Scanners can be used to convert paper
records into digital images
◦ TIFs, PDFs, JPGs
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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
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Inspect
◦ Check for release mark of a record to determine whether it is
ready for filing
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Index
◦ Read content to determine filing segment
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Code
◦ Mark filing units on record
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Cross-Reference
◦ Indicate record location under alternate filing segments
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Sort
◦ Arrange records by filing segment
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Store
◦ Place record in appropriate folder
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Index
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Determine the filing segment by which a
record is stored.
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Code
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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
Personal Name: Jane T. Shank
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Personal Name Coded: Jane / T. / Shank
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Filing Rules
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Filing is done to facilitate retrieving
information.
Consistently following filing rules and
procedures helps in rapid retrieval of
information.
Avoid misfiled and Lost Records
ARMA’s 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
Card Record
CRAFT AND BURNS INC
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Craft & Burns, Inc.
489 Maple Ave.
Iowa City, IA 52245-0350
BURNS AND CRAFT INC 106X
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Cross-reference
SEE CRAFT AND BURNS INC
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Misfiled and Lost Records
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Result from improper indexing, coding, and
storage of records
Often delay or affect the work of employees
Reduce an organization’s effectiveness in
serving customers
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Storage Equipment
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Storage equipment commonly used for paper
records
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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
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Supplies commonly
used for paper
records
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Guides
Folders
OUT indicators
Labels
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Guides
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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
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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
Drawer File
Shelf File
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OUT Indicator
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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
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Color enhances the effectiveness of a records
storage system
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Online Tour of a Records
Management Center
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Iron Mountain
◦ Document management, digital archiving, records
management and storage, film and sound
archiving, ……
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Records Retention
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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
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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
Useful Records
Important Records
Vital Records
Not worth keeping
Short-term storage—
up to three years
Long-term storage—
seven to ten years
Permanent storage
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Records Retention Schedule
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A comprehensive list of records, indicating
the length of time records are to be
maintained.
◦ Records series—a 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 period—the 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
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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
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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
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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
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Building and environmental control
Reformatting
Duplication
Disaster planning
Access control
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Discussion
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What are the problems of traditional records?
Can you draw some links of the above slides
to common IT?
How does IT help?
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