Lecture two records

The Mwalimu Nyerere Memorial Academy (MNMA)

Introduction to Records Management

for TCHRM /SST 05111

By, Mr. Sanchawa, Denis H

Assistant Lecturer-Social Studies

9/24/2014 1

Introduction

• Records management offers tangible benefits to organisations, 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 organisations time, money and other resources and e.t.c

9/24/2014 2Mr. SANCHAWA, Denis H

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


What are 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.

9/24/2014 Mr. SANCHAWA, Denis H 6

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


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 material

ii. Catalogs , trade journals, manual

iii. Extra copies

iv. Black forms

v. Some electronic information


Why records?

To ensure continuity in administration

To ensure tax-payer’s interest is protected at all times

For providing evidence in case of disputes

For planning & scheduling organisation activities

For historical value

To 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 records?

• 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.


Other characteristics of records

• 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 and date 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


What are the categories of records?

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


Meaning of a document

• A document is any piece of written information in any form, produced or received by an organisation 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)


What is records management?

• Records management is the systematic control of an organisation's records (both paper and electronic), throughout their life cycle, in order to meet operational business needs, statutory and fiscal requirements, and community expectations

• A field of management responsible for the efficient and systematic control of the receipt, maintenance , use and disposition of records (GoT, 2011)


What is records 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 records 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


Why is records management necessary?

• RM ensures information can be accessed easily, can be destroyed routinely when no longer needed,

• RM enables organisations not only to function on a day to day basis, but also to fulfil its legal and financial requirements

• Through effective record management for example, organization can be held accountable for its actions or in actions .


Why records management ?

For essentially planning, organizing and coordinating of certain functions relating to information gathering, information processing, communicating and records keeping

Key to efficient administration


The benefits of effective records management

Systematic management of records allows organisations to:

• know what records they have, and locate them easily

• increase efficiency and effectiveness

• make savings in administration costs, both in staff time and storage

• support decision making

• be accountable


Benefits of effective records management

• achieve organisation objectives and targets

• provide continuity in the event of a disaster

• meet legislative and regulatory requirements, particularly protect the interests of employees, clients and stakeholders


Legal and regulatory frameworks for RM in Tanzania

• The National ICT policy of 2003

• The cultural policy of 1997

• The national security Act No.3 of 1970

• The records and archives mgt Act No. 3 of 2002

• The founders of the Nation Act No. 18 of 2004

• The evidence Act(R.E) of 2002


Summary of the benefits of record mgtItem /variable Benefit (s ) : How? : Means

Time By ensuring that information can be found easily and quickly

Space By preventing record from being kept longer that necessary

Money /cost By reducing storage cost and maintenance cost

Efficiency By ensuring that information is readily accessible

Legal By keeping documentation in line with the legal and regulatory needs

control By preserving important data and preventing the accumulation of short-lived material

Quality By providing staff with access to accurate and reliable records

Security Increases security of confidential information

Continuity Support business continuity and risk management


The Life cycle concept of a record


What is the life cycle of a record?

• The record life cycle is a concept based on the idea that records may be regarded as having a life similar to that of living organism.

• Refers to the life cycle of records from their creation to their destruction or permanent retention(GoT,2011)

• Thus, the concept goes into stages as described in this presentation


The life cycle of records

• Current: Initially records are current or active while they are used to carry out day-to-day work.

• Semi-current: Next records become semi-current or semi-active, when they only need to be referred to occasionally or have to be retained for legal or regulatory reasons.

• Inactive: Finally records become inactive, and a decision has to be made whether to discard them or, in a few cases, keep them permanently because they have historical value.


The importance of the life cycle concept of records (Mhina, 2012)

• Helps the record managers to have clear understanding of managing records from their creation stage to disposition

• helps record managers to make prior decision whether to create a record or not by making judgement of the value of a record

• Helps the record liason to understand in advance in what media the record could be created

• Helps the record managers to apply records retention scheduling of records at the right time


Key elements for records management

• Records management involves controlling records throughout their life cycle. Thus , the activities involved in records management can be described into the following key elements or items


Records creation

• Each department must create records that are accurate and complete, so that it is possible to establish what has been done and why.

• The quality of the records must also be sufficient to allow staff to carry out their work efficiently, demonstrate compliance with legal and regulatory requirements, and ensure accountability and transparency expectations are met.


Information audit

• Information audit is helpful in order to establish what information (both paper and electronic) is held by a department and where it is held; and to clarify who is responsible for keeping the definitive versions of documents and who is simply holding copies.


Classification

• All records (e.g. paper files, electronic documents, emails) should be arranged systematically, so that they can be retrieved easily and quickly.

• The main areas of work carried out by a department should be identified, and then a paper filing structure and electronic directory tree developed into which all the documents can be logically placed


Storage

• Records that are consulted frequently should be kept close-at-hand within the immediate office space, while semi-current material can be housed in separate store rooms or stored off-site


Security

• Paper records containing confidential information must be stored in locked cabinets or drawers when not in use, and access only granted to authorized staff.

• In the case of sensitive electronic data, access should be controlled through the use of log-ins, passwords and read-only settings, and computers should not be left unattended when logged-on.


Tracking

• In departments where several people need to consult the same documents, it may helpful to track the movement of files to ensure they can always be found.

• For example, a form can be used to record the name of the person retrieving a file, as well as its reference, title and the date of retrieval;


Vital records

• It is essential to store all critical business data on a network drive, so that it will be protected by appropriate back up and disaster recovery procedures. Vital records that are only available in paper format should be duplicated, and the originals and copies stored in separate locations.


Preservation

• Records of continuing value need to preserved and remain accessible. Wherever documents are stored, they should be protected from potential hazards, such as fire and flood, and the temperature and humidity maintained at stable levels (to prevent the development of mould).


Retention

• Each department should have a retention schedule listing its major categories of records (both paper and electronic) and for how long they are required; documenting retention periods will assist departments to control their information effectively and in compliance with the legal requirements


Destruction

• There must be clear, auditable procedures for destroying records.

• The disposal of each department’s core administrative records (both paper and electronic) should be controlled by retention schedules, and a record should be kept of what is destroyed and when .


Principles for effective records Management

• The guiding principle of records management is to ensure that information is available when and where it is needed, in an organized and efficient manner, and in a well maintained environment.

• There fore, the organisations must ensure that their records are guided by the following principles


Principles for effective records management

Appraisal: Review at appropriate stages, starting from last action on current file

Weeding: There should be constant weeding and review of records so that the cost of maintenance of records kept to minimum

Accessibility: Should provide an easily accessible store house of information relevant to the changing needs of the organisation

Control: There should be control on growth of record since its creation tile final disposal stage


Principles for effective records management

Speed & Retrieval: Records should be kept in such a way that they should be capable of being retrieved quickly

Economy: Economy should be observed by ensuring that records occupy minimum space, cost of equipment's for storing records is low, cost of retrieving information is low

Retention Schedule: Should provide a uniform & systematic schedule for retention & disposal of records


References

• http://www.authorstream.com/Presentation/randhawakiran23-1131597-records/ accessed on 19/09/2014 at 16:35 Pm

• http://www.authorstream.com/Presentation/sadada2008-1541785-records-management-adada on 20/09/2014 at 20:30 Pm

• http://www.nas.gov.uk/recordKeeping/recordsManagement.asp accessed on 17/09/2014 at 10:05am

• GoT(2011), The National records and archives mgt policy: Dar es Salaam Government printers


http://www.authorstream.com/Presentation/randhawakiran23-1131597-records/

http://www.authorstream.com/Presentation/sadada2008-1541785-records-management-adada on 20/09/2014 at 20:30

http://www.nas.gov.uk/recordKeeping/recordsManagement.asp accessed on 17/09/2014 at 10:05

Documents

Lecture two records