Records management program

Week 8: Records Management Program
1

 Records creation
 Effective records management program
2

 Records should be created when there is a need
to remember the details of an event, decision or
action such that anyone needing recourse to the
facts.
 Records should be created to:
 Provide evidence of policy
􀂃 Provide evidence of decisions
􀂃 Provide evidence of actions/activity
3

 Provide evidence of compliance with rules,
regulations and legislation appropriate to the
organisational context
 Comply with relevant rules, regulations and
legislation
 Inform colleagues of what has been done or
decided (and serve as a reminder later)
 Act as a reminder of how something has been
done
 Track progress of a project or process
4

 Records are sometimes created unnecessarily.
This happens when:
◦ There is no need for evidence that something has been
done
◦ A record duplicates evidence or information in one or
more other records
◦ A redundant duplicate of a record is created (for example
via a multiple part form-receipt)
5

◦ Record audits, workflow analyses and functional
appraisals can all assist in identifying unnecessary and
redundant records.
◦ Forms and other routine documentation should also be
checked to make sure that all the information is needed
for a complete and accurate record and it is not
duplicated anywhere.
6

 Each organisation or authority must decide for
itself what records need to be created and
maintained depending on the legal and regulatory
environment and the precise nature of its
business.
7

 The physical act of writing, or of printing out a
paper record, creates and fixes the information.
 With most electronic records you normally have to
save your documents in order to capture them - e-
mails, though, have to be transmitted to the
intended recipient to create a record as otherwise
they remain in draft form.
8

 However, creating a record is not enough unless the
record is then captured or filed into a filing or business
classification system created and managed by the
organisation.
 Record creators file records because they need to see
and use them in context together with other records
relating to the same matter.
 They are also filed because they need to be kept
somewhere, particularly if records are to be shared
with colleagues.
9

 With paper records the act of filing physically
associates records of a related activity or
transactions within a container (usually a manila
folder or binder), which is then stored and
managed subsequently as a physical aggregation.
10

 In the digital domain electronic records are
captured by classifying them into a corporate file-
plan or business classification scheme.
 This normally associates the electronic record with
an electronic folder, which provides the key
metadata, needed to locate and control the
records placed within it.
11

 Records captured or filed in a corporate filing
system will possess some of the necessary
characteristics to be regarded as authentic and
reliable.
 Whatever the format of the records, they should
be saved into a proper records management
system. This includes emails. Where emails
document significant transactions they should be
treated and managed as corporate records.
12

 However, most email applications are not good
recordkeeping systems as the emails are normally
held in personal mailboxes and hence are not
accessible to anyone else.
 The adoption of Electronic Document and Record
Management (EDRM) systems can provide an
effective solution here.
14

 Note that whilst a record can consist of a single
document, it may also be an aggregation of
records, for example a file or even a register,
which is built up over time.
 For all records, regardless of format, creation
consists of both compiling the necessary facts or
details and assigning its place in the system by
means of a reference, file title or tagging (which
can be automated for electronic records
15

 Some of the facts and details will be in the content
of the record, others can be captured in the
system.
 These other details are called metadata. Metadata
is additional information about the record that is
needed to validate and understand the it and its
context.
16

 In some instances organisations may require the
use of authenticating mechanisms such as
signatures, stamps, seals or initials. With physical
records these are directly visible on examining the
record as they form part of the physical record.
17

 However, use of digital signatures or watermarks
can be problematic because if an electronic record
is to be held for some time it may not be possible
to maintain access to the digital signature for the
required period and the record may then become
unreadable and consequently unusable.
18

 The filing system or record plan has a major role
to play in active records management. The main
reasons for this are:
1. The authenticity of the record depends on the
record keeping system in which it was created
and/or captured
2. The fact that your records are created as part
of your business processes and filed or captured
into the filing system will contribute to the records’
reliability
20

3. As with any system, a filing system helps ensure
that repetitive tasks are carried out accurately and
consistently
21

 The benefits of an effective classification or filing
system are:
 􀂃 faster assignment of records to files
 􀂃 faster retrieval of information and records
 􀂃 greater security and protection of records
 Such systems must be in place prior to or at the
very latest in parallel with record creation or
capture.
22

 Records are a basic tool of government
administration.
 Records provide information for planning and
decision making, form the foundation for
government accountability, and are often subject
to specific legal requirements
23

 Records are essential for effective and efficient
administration, but if poorly managed they can
become a liability, hampering operations and
draining resources.
24

 An effective records management program helps
an organization get the most out of its records. It
also helps limit costs and the risks that can come
with poorly managed records.
25

 An effective records management program has
certain characteristics or attributes;
 The New York State Archives has identified seven
such attributes of an effective records
management program.
 Records managers can assess the effectiveness
of their programs by the presence or absence of
these attributes.
26

 A government office has an effective records
management program when the office
◦ creates the records it needs, and none that it
doesn’t. Records are efficiently created in the normal
course of business for all functions sufficient to satisfy
legal, fiscal, administrative, and other recordkeeping
requirements.
27

 retains the records needed as essential
evidence and gets rid of obsolete records.
Records are retained and usable for as long as
required for legal or business purposes, and then
efficiently disposed of or preserved as archives to
support secondary uses.
28

 stores its records—especially archival
records—safely and securely.
 Records are stored and maintained in a safe,
secure, cost-effective fashion to support retention,
access, and archival preservation where
applicable.
29

 retrieves information quickly through
efficient access and retrieval systems.
 Records systems provide effective and efficient
retrieval and access to records, to support use by
the creating organization and by the public as
appropriate under law.
30

 uses the right information technology for
the right reasons. Appropriate uses are made
of information technology to store, retrieve, make
available, and use records.
31

 promotes and supports the use of archival
records as a community resource.
Appropriate secondary use of records by public
and other entities is supported and promoted.
32

 recognizes through policy and procedure
that records management is everyone’s
job.
Ongoing records management goals and priorities
are integrated through the organization and its
operations as part of the normal course of
business.
33

 Many records management programs manage
existing records well. Unfortunately, records
management often is not effective during the time that
records are being created.
 This can lead to redundant records, lack of clearly
identified official copies, and insufficient records for
audits or litigation. An effective records management
program is one that creates all the records it
needs, and none that it
does not need.
34

 Here are some indications of effective records
creation:
◦ Records are sufficient for audits.
◦ Unneeded records and copies are kept to a minimum.
◦ Official copies of records are identified.
◦ Records are available for litigation.
◦ Archives guidelines and other professional standards are
used in records creation.
35

 is key to an effective records management program. It
ensures that records are present when needed for
litigation, audits, day-to-day business purposes, or
historical research, but that unneeded records do not
take up costly storage space.
 Regular and systematic disposition of records
according to a State Archives retention schedule
provides evidence that records which no longer exist
were not destroyed to avoid their use as evidence in
court or to evade Freedom of Information requests.
36

 Some indications that a good retention program is
in place include:
◦ Archival records are identified early in their life cycle.
◦ Retention schedules are adopted and used in the normal
course of business.
◦ Office retention schedules are developed and used.
◦ Records are systematically disposed of.
37

 Electronic records are retained and disposed of
according to retention schedules.
 Plans are in place to ensure that electronic
records continue to be accessible following
technology changes.
 Disposition is routinely documented.
38

 One sure sign that an organization has an
effective records management program in place is
that it stores and maintains its records securely
and efficiently.
 Cost-effective, secure storage systems that
provide quick and rapid retrieval will help ensure
the ready availability of records in case of litigation
and audits, as well as for future reference use.
39

 Some indications that a good storage program is
in place include:
◦ Inactive records are stored off-site in an in-house or
contracted records center.
◦ Proper shelving is used to store records.
◦ Electronic data backup procedures are in place and are
routinely followed.
◦ Disaster preparedness plans are in place.
◦ Micrographics standards are followed.
40

◦ Microfilm masters and computer backups are stored
securely offsite.
◦ Fire prevention systems are in place in storage areas.
◦ Adequate environmental controls exist in storage areas.
◦ Security rules and procedures are in place and followed.
◦ Recording format standards are complied with.
41

 Organizations create, retain, and preserve records
so that they can be used. If a user cannot locate a
document, it might as well not exist.
 As such, an effective records management
program should have in place systems—manual
or automated—that can locate and retrieve
records in a reliable and timely fashion to meet the
needs of users.
43

 Some signs that a program possesses this
attribute include:
◦ Satisfactory filing and locator systems with documented
policies and procedures.
◦ Finding aids, such as indexes, are prepared and used.
44

◦ Subject matter lists to meet Freedom of Information Law
(FOIL) requirements are prepared and used.
◦ Policies and procedures regarding access restrictions
are developed and in use.
◦ Filing equipment is used appropriately.
◦ Local area network (LAN) policies and procedures are
developed and in use.
45

 The opportunities afforded by technology to
support records management are growing rapidly.
 We now have at our disposal a remarkable range
of technologies for creating, using, and managing
records: traditional paper filing systems,
micrographics, databases, optical imaging, etc.
46

 With such a variety of tools available, it becomes
critical that we choose the right ones for the right
occasions and not be swayed in selection
decisions either by fear of new technologies or by
the desire to have the newest and brightest
technology “toys
47

Ways of telling that a records management
program has struck this balance include the
following:
◦ Business requirements are identified through needs
assessments.
◦ The capacity to support technology is identified through
feasibility studies.
◦ Business process analysis is part of technology planning
and implementation.
◦ Recordkeeping requirements are taken into account in
technology implementation.
48

 Industry and government standards for acquiring
and implementing technology are complied with.
 Adequate technical support is available internally
or via contract.
 Formal electronic filing structures and policies for
electronic recordkeeping are in place.
49

 Cooperation exists between records management
and information technology services departments.
 Adequate training is offered for staff in the use of
technology
50

 An important sign of an effective records management
program is the preservation of archival records and
the promotion of their appropriate use by the public.
 Most records lose all value when the purpose for
which they were created has been realized. However,
a small percentage hold value beyond their original
purpose—for historical or genealogical research,
exhibits, publications, teaching aids, long-term legal
documentation, or other activities.
51

 These archival records can be useful to the public,
other governments or agencies, teachers, writers,
and other people or groups that require
documentation in their work or avocations.
52

 Some indications that this component of records
management is in place include:
 Public outreach programs exist.
 Records reference use areas are available for the
public.
 Policies and procedures are in place for use of
records by the public.
53

 Information sharing with other governments or
organizations is done to develop and distribute
finding aids so access to archival records is
improved.
 Records are used for exhibits and education.
54

 The Internet is made available for public access to
and actual use of records.
 Marketing strategies are in place to encourage
public access to and use of records.
55

It exists when:-
 Records management policies and procedures are
in place and are updated regularly.
 Records management is integrated into all policies
where applicable.
 Records policies and procedures are routinely and
consistently communicated to staff.
 A disaster preparedness plan is in place and is
reviewed regularly.
56

 A records management advisory council is
appointed and active.
 Local records management legislation is in effect.
 Records management activities receive regular
and adequate funding beyond grants.
 A records management plan is in place and is
followed.
57

 Records management staff are hired and retained.
 Staff frequently attend workshops, professional
conferences, and other educational events.
 A records management officer is appointed at the
appropriate level in the organization.
58

Records management program

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