1COMP7780Update 2010 Fall

RECORDS MANAGEMENT

Records Storage/Filing Records Retrieval Records Retention Records Disposal

* When you study this session, please think ahead if IT helps and how?

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Main Activities in RMMain Activities in RM 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 Records Retrieving

◦ a process of locating a record or file from storage◦ Request, charge-out, logs

Records Retention◦ Decision about how long to retain records◦ Value, series, schedule, transfer

Records Disposition◦ Destroy or migrate records to another archival media such as

microform or electronic storage◦ Procedure, preservation

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Scanners can be used to convert paper records into digital images◦ TIFs, PDFs, JPGs

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.

Scanning, Imaging, Data Scanning, Imaging, Data ConversionConversion

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RECORDS MANAGEMENT

Inspect◦ Check for release mark of a record to determine whether it is ready for

filing

Index◦ Read content to determine filing segment

Code◦ Mark filing units on record

Cross-Reference◦ Indicate record location under alternate filing segments

Sort◦ Arrange records by filing segment

Store◦ Place record in appropriate folder

Storage/Filing Procedures Storage/Filing Procedures

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IndexIndex Determine the filing segment by which a

record is stored.

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CodeCode 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

Personal Name Coded: Jane / T. / Shank2 3

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Filing RulesFiling Rules 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-ReferenceCross-Reference

• Direct attention to one or more related items

• Shows alternate name for a record • Shows the location of the record

CRAFT AND BURNS INC 106

Craft & Burns, Inc.489 Maple Ave.Iowa City, IA 52245-0350

CRAFT AND BURNS INC 106

Craft & Burns, Inc.489 Maple Ave.Iowa City, IA 52245-0350

Card Record

Cross-reference

BURNS AND CRAFT INC 106X

SEE CRAFT AND BURNS INC

BURNS AND CRAFT INC 106X

SEE CRAFT AND BURNS INC

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RECORDS MANAGEMENT

Misfiled and Lost RecordsMisfiled and Lost Records 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 EquipmentStorage Equipment Storage equipment commonly used for

paper records◦ Vertical file cabinets◦ Lateral file cabinets◦ Shelf files◦ Mobile shelving

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RECORDS MANAGEMENT

Vertical file cabinet

Lateral file cabinet

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Shelf files

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Mobile shelving

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Storage SuppliesStorage Supplies

Supplies commonly used for paper records ◦ Guides◦ Folders◦ OUT indicators◦ Labels

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GuidesGuides 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 GuidesExamples of Guides

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FolderFolder 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 Folder Cuts and Tab PositionsPositions

Drawer File

Shelf File

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OUT IndicatorOUT Indicator 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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ColorColor Color enhances the effectiveness of a

records storage system

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Iron Mountain◦ Document management, digital archiving, records

management and storage, film and sound archiving, ……

Online Tour of a Records Online Tour of a Records Management Center Management Center

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RECORDS MANAGEMENT

Records RetentionRecords Retention 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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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

Why RetentionWhy Retention

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RECORDS MANAGEMENT

Records Values for Records Values for RetentionRetention

Nonessential Records Not worth keeping

Useful Records Short-term storage—up to three years

Important Records Long-term storage—seven to ten years

Vital Records Permanent storage

RECORDS MANAGEMENT

Records Retention Records Retention ScheduleSchedule 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 MANAGEMENT

Records TransferRecords Transfer 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 CentreRecords Centre

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RECORDS MANAGEMENT

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.

Records DispositionRecords Disposition

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Records PreservationRecords Preservation 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◦ Building and environmental control◦ Reformatting◦ Duplication◦ Disaster planning◦ Access control

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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?

DiscussionDiscussion

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