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Records Management Activities and Methods

Records Management Activities and Methods. Update 2010 Fall. Outline. Records Storage/Filing Records Retrieval Records Retention Records Disposal * When you study this session, please think ahead if IT helps and how?. Main Activities in RM. Records Storage/Filing

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Records Management Activities and Methods

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  1. Records Management Activities and Methods Update 2010 Fall COMP7780

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

  3. 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 COMP7780

  4. Scanning, Imaging, Data Conversion • 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. COMP7780

  5. Storage/Filing Procedures • 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 COMP7780

  6. Index • Determine the filing segmentby which a record is stored. COMP7780

  7. Personal Name: Jane T. Shank Personal Name Coded: Jane / T. / Shank 2 3 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 COMP7780

  8. 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 COMP7780

  9. Card Record CRAFT AND BURNS INC 106 Craft & Burns, Inc. 489 Maple Ave. Iowa City, IA 52245-0350 Cross-reference BURNS AND CRAFT INC 106X SEE CRAFT AND BURNS INC Cross-Reference • Direct attention to one or more related items • Shows alternate name for a record • Shows the location of the record COMP7780

  10. 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 COMP7780

  11. Storage Equipment • Storage equipment commonly used for paper records • Vertical file cabinets • Lateral file cabinets • Shelf files • Mobile shelving COMP7780

  12. Vertical file cabinet Lateral file cabinet COMP7780

  13. Shelf files COMP7780

  14. Mobile shelving COMP7780

  15. Storage Supplies • Supplies commonly used for paper records • Guides • Folders • OUT indicators • Labels COMP7780

  16. Guides • A guideis 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 COMP7780

  17. Examples of Guides COMP7780

  18. Folder • Folders are containers used to hold and protect records. • A general folderholds a small volume of related records. • A individual folderholds records for an individual unit. • A special folderfollows a special guide. COMP7780

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

  20. OUT Indicator • Control device showing the location of borrowed records • OUT guide or sheetreplaces a borrowed record • OUT folderreplaces a borrowed folder COMP7780

  21. Color • Color enhances the effectiveness of a records storage system COMP7780

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

  23. 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 COMP7780

  24. Why Retention • 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 COMP7780

  25. Records Values for Retention

  26. 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. COMP7780

  27. COMP7780

  28. 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. COMP7780

  29. Records Centre COMP7780

  30. Records Disposition • 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. COMP7780

  31. 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 COMP7780

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

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