1. 1 COMP7780 Update 2010 Fall

2. RECORDS MANAGEMENT  Records Storage/Filing  Records Retrieval  Records Retention  Records Disposal *When you study this session, please think ahead if IT helps and how? 2 COMP7780

3. RECORDS MANAGEMENT Main 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 3 COMP7780

4. RECORDS MANAGEMENT  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 Conversion COMP7780 4

5. 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 5 COMP7780

6. RECORDS MANAGEMENT Index  Determine the filing segment by which a record is stored. 6 COMP7780

7. RECORDS MANAGEMENT Code  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. / Shank 23 7 COMP7780

8. RECORDS MANAGEMENT Filing 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 8 COMP7780

9. RECORDS MANAGEMENT 9 Cross-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 COMP7780

10. RECORDS MANAGEMENT Misfiled 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 10 COMP7780

11. RECORDS MANAGEMENT Storage Equipment  Storage equipment commonly used for paper records ◦ Vertical file cabinets ◦ Lateral file cabinets ◦ Shelf files ◦ Mobile shelving 11 COMP7780

12. RECORDS MANAGEMENT Vertical file cabinet Lateral file cabinet 12 COMP7780

13. RECORDS MANAGEMENT Shelf files 13 COMP7780

14. RECORDS MANAGEMENT Mobile shelving 14 COMP7780

15. RECORDS MANAGEMENT Storage Supplies  Supplies commonly used for paper records ◦ Guides ◦ Folders ◦ OUT indicators ◦ Labels 15 COMP7780

16. RECORDS MANAGEMENT Guides  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 16 COMP7780

17. RECORDS MANAGEMENT Examples of Guides 17 COMP7780

18. RECORDS MANAGEMENT Folder  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. 18 COMP7780

19. RECORDS MANAGEMENT Folder Cuts and Tab Positions Drawer File Shelf File 19 COMP7780

20. RECORDS MANAGEMENT OUT Indicator  Control device showing the location of borrowed records ◦ OUT guide or sheet replaces a borrowed record ◦ OUT folder replaces a borrowed folder 20 COMP7780

21. RECORDS MANAGEMENT Color  Color enhances the effectiveness of a records storage system 21 COMP7780

22. RECORDS MANAGEMENT  Iron Mountain ◦ Document management, digital archiving, records management and storage, film and sound archiving, …… Online Tour of a Records Management Center COMP7780 22

23. RECORDS MANAGEMENT Records 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 23 COMP7780

24. RECORDS MANAGEMENT  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 Retention COMP7780 24

25. RECORDS MANAGEMENT Records Values for Retention Nonessential RecordsNot worth keeping Useful RecordsShort-term storage— up to three years Important RecordsLong-term storage— seven to ten years Vital RecordsPermanent storage

26. RECORDS MANAGEMENT Records Retention Schedule  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. 26 COMP7780

27. RECORDS MANAGEMENT 27 COMP7780

28. RECORDS MANAGEMENT Records 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. 28 COMP7780

29. RECORDS MANAGEMENT Records Centre COMP7780 29

30. 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 Disposition 30 COMP7780

31. RECORDS MANAGEMENT Records 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 31 COMP7780

32. RECORDS MANAGEMENT  What are the problems of traditional records?  Can you draw some links of the above slides to common IT?  How does IT help? Discussion COMP7780 32