Transcript Overview of Records and Information Management

Records and Information
Management: An Overview
What are Records?
Records - Any recorded information
regardless of physical form/characteristics
or storage media created, received,
maintained and used by an organization or
an individual in pursuance of legal
obligations or in the transaction of the
business of which it forms a part or provides
evidence.
The Management of Public Sector Records: Principles and Concept
What are Records?
• Public Records – documents created
or received and maintained in any
public sector entity. These records
are governed by legislations, which
determines how they are to be
managed throughout their life cycle.
The Importance of
Records/Information to an
Organization
Records provide information about and evidence
of the creating organization functions, policies,
decisions, procedures and operations. It is
therefore, one of the most vital strategic and
operational assets of an organization.
 It is needed for critical strategic
decision making
 It preserve corporate memory
 It minimizes litigation risks
 It generates revenue
 It deliver services etc.
Some Consequences of Improper
Management of
Records/Information
Inefficiency
Untimely delivery
Risk severe penalties and loss of corporate
reputation (non-compliance with regulations and
legal statutes)
Unnecessary storage of records
Failure to protect critical information from
loss/destruction
Records Management
The records management process is vital to the
effective, efficient, economical and ethical
operations of the Organization.
Definition:
It provides for the systematic control of records
from creation or receipt through their processing,
distribution, organization, storage and retrieval to
their ultimate disposition.
Records Management
The aims of a Records Management
Programme are:
 to provide the right information
 to the right person
 at the right time
 For the right length of time
 In the most efficient manner
 For the lowest possible cost
 To know where records are
 to know who dealt with records
Records Management
Records Management Processes and
Controls:
 Determining documents to be captured into
your system
Determining how long to retain records
Records capture
Registration (not all system carries registration)
Classification
Storage and handling
Records Management Cont’d
Access
Tracking
Implementing disposition
Documenting records management
processes (policies and procedures)
Records Management
Requirements
In order to support the continuity of the
business, comply with the regulatory environment, be accountable and transparent
the characteristics of records should be
Maintained.
Characteristics of a record:
 Authenticity – this is embodied in the recordkeeping system. That is, it can be verified to be
exactly as it was when first transmitted or set
aside
Records Management
Requirements
 Reliability – reliability is linked to creation. Who
created or issued the record? Under what
authority
 Integrity – after creation the records should not
be susceptible to change. Authorized
annotation, addition or deletion should be
explicitly indicated and traceable
 Usability – can be located, retrieved, presented
and interpreted
Records Management
Requirements
Some Principles of records management
Programmes:
 Deciding what records to be created and what
information should be included
 Deciding format, structure and technology for
creation and captured
 Preserving records and making them accessible
 Identifying and evaluating opportunities for
improving effectiveness, efficiency or the quality
of its processes
Creation and Receipt
• Records originate internally from dictation,
hand-written drafts, and externally from
mail, computer output, telecommunication
systems and data processors
• When a letter is written, an invoice typed,
a report prepared, an engineering drawing
made, or a new formula recorded, a record
has been created
Distribution
• The creation phase is followed by the
distribution phase which is sending the
required information to the right persons,
for effective job performance
Use
• Records provide information for decision
making, documentation, response to
inquiries, reference purposes or for
supporting legal requirements
Maintenance
Maintenance includes filing, retrieving and
transferring records.
Procedures used in this phase include:
Filing system
Indexing and cross referencing
Classifying
Records Inventory
Storage facilitiy
Disposition
Where records are no longer frequently referenced
the disposition phase is applied.
This includes
• Transferring to inactive storage
• Archiving
• Discarding or destroying
• Changing from one format to another
Records Classification
Records may be classified as active or
inactive depending on how often they are
used.
Active Records
• A record is considered to be active when
used on a regular basis. For example, the
personnel records of current employees
Records Classification
Records status changes as the frequency of
use decreases.
Semi-active
• A record is classified as semi-active if it is
referenced once per month
Inactive Records
• It is considered inactive if it is referenced
fewer than ten times per year
Storage Facilities
• Records may be stored in private, com-mercial
record centres or an archives
• The method of storage selected is based largely
on whether the records have been previously
classified as temporary or long term.
• Records Centres are designed for temporary
storage of inactive records
• Archives house public or private records that
have been selected for long term storage and
preservation
Temporary Records
• A temporary record does not have
continuing or lasting value to the
organization
• Temporary records are also called
transitory or transactional records
indicating their temporary value to the
organization. They may include
responses to letters and routine requests.
Long Term Records
• A long term record has continuing value
and is held indefinitely or for a specified
period
• It documents organizational history,
policies and procedures
• Vital records are included in the category
of long term records
Vital Records
• Vital records are essential to the operation
of the organization’s continuation and/or
resumption of operations following a
disaster
• Examples include accounts receivables,
inventory lists, contracts and patents
From Creation to Disposition
Evidence
Document Created/
Received
Official Record?
Yes
Capture,
Classify,
Index and
Sentence
Appraisal and
Disposal
Hardcopy/Electronic
Business/Personal
Context
No
Apply Normal
Administrative
Practice
Risk
Management
Permanent or
Temporary?
Records inactive or
older than X years
From Creation to Disposition
Permanent
Send Transfer
Documentation to
Records Centre
Temporary
Return Transfer
Documentation to
Ministry/Agency/
Dept. to amend
Inadequate
Store or Destroy?
Destroy in accordance
with Disposal
Schedules and Archives
Advisory Committee
approval
Make arrangement
for Storage
(Government Records
Centre)
Adequate
Ministry/Agency/
Dept. Transfers
Records to
Archives
Unit
Transfer Temporary
Records to
Government Records
Centre
From Creation to Disposition
Capture and Control
Records
Archives Unit
(Preservation &
Conservation)
Appropriate Access to
Permanent Records
Granted
Archival
Description
Send Annual Summaries
to
Official Records
Destroy in accordance
With Disposal Schedule
And Archives Advisory
Committee
Archival Storage
Research
JARD Responsibility
Ministry/Agency/Dept.
Responsibility