Learning Guide RIM PDF

CHAPTER 10: RECORDS AND INFORMATION MANAGEMENT 10.1 Introduction This unit covers the competencies required to manage records and information. Competencies includes: Competencies includes: establishing regulatory and social environment, determining principal areas of risk requiring recordkeeping s...

CHAPTER 10: RECORDS AND INFORMATION MANAGEMENT 10.1 Introduction This unit covers the competencies required to manage records and information. Competencies includes: Competencies includes: establishing regulatory and social environment, determining principal areas of risk requiring recordkeeping strategy, determining record requirements for each business function and establishing recordkeeping framework for organization. 10.2 Performance Standard o Identified and documented legal and regulatory frameworks for the organization in accordance with industry standards o Analyzed and documented legislation for implications for recordkeeping as per the organization policy o Reviewed documentation of organizational functions for compliance o Reviewed and documented regulatory requirements and legal liabilities as per their impact on recordkeeping framework o Determined and documented risks and liabilities to be managed by recordkeeping to inform development of the framework o Determined and analyzed risks, liabilities and regulatory requirements against each business function o Developed and communicated an overview of responsibilities for recordkeeping within the organization. o Defined responsibilities and authorities in relation to regulatory requirements in accordance with industry standards o Identified and integrated risks and liabilities managed by recordkeeping with the definition of responsibilities for each function o Defined, assigned and documented levels of accountability and responsibility for each level of recordkeeping as per organizational policy. 10.3 Learning Outcomes 10.3.1 List of the Learning Outcomes These are the key learning outcomes, which make up workplace function: o Establish regulatory and social environment o Determine principal areas of risk requiring recordkeeping strategy o Determine record requirements for each business function o Establish recordkeeping framework for organization 495 10.3.2 Learning Outcome 1: Establish regulatory and social environment 10.3.2.1 Learning Activities o Identification and documentation of legal and regulatory frameworks for the organization in accordance with industry standards o Analysis and documentation of legislation for implications for recordkeeping as per organization policy o Documentation of organizational functions for compliance o Analysis of broad social context in which the organization operates to determine community expectations about how it should conduct itself Trainees to demonstrate knowledge in relation to: o Meaning of terms o Principles of records and information management o Legal and regulatory frameworks o Implications of legislation o Recordkeeping operations and services o Documentation of organizational functions o Social context in the organization 10.3.2.2 Information Sheet Record Management Record management is the discipline and professional function of managing records to meet the organizational needs, business efficiency and legal and financial accountability. Records are created and captured by individuals or organizations in the course of conduct of their affairs. Most records are evidences of administrative, executive, service or work-related transactions. Traditional records formats include letters, minutes, memoranda and reports, etc. The electronic record formats include spreadsheets, databases, e-mails and facsimiles. In some ways, what technology has done is to redefine traditional records formats. For example, e-mail is very similar to a letter. It is the fact that it is transmitted electronically that differentiates e-mail from letters. 496 Records have three main purposes: 1. Evidence of a transaction and its terms in the event of a dispute. 2. As reference material for the organization of facts, background, prior actions and ideas to be used in the decision-making process. 3. To comply with legislative or professional requirements for the retention of records. Public Records They are records of any ministry or government department, any commission office, board or other bodies established under the government or act of parliament but not including records of the public trustees, records of registrar general which belong to individuals or states. Records of the high court, parliament and office are also public records. Records Management for Library Records provide information in the form of description, statistics, or routines carried out by an individual or a group working in an institution or organization. While all records convey information, not all sources of information are necessarily records. For example, a published book or an externally provided database (online or offline) will not be a record, although information selected from it and reused in a new context may itself become a record. The records keep on accumulating as transaction proceeds and by the time the activity is over, records take the shape of documents providing complete details of the history, process and outcome of the activity. The activity may be about making of a policy, carrying out an operation, or introducing a new service. In this context, records are perceived as a ‘snapshot’ of an action or event. They offer a picture of something that happened. Records arise from actual happenings. For instance, an exhibition of rare books would generate a series of records arising from questions that visitors may put to the staff managing the exhibition and also from the opinions that they may record about the exhibition in the visitor book before they leave. Records that may arise from such an event would include - some files, the exhibition brochure, the bibliography of the books exhibited, the visitor’s book and so on. Some of the records have both current and future uses, while others are required to be used only in future, as source material. For example, the files created for the exhibition will be used mainly in future when another exhibition is organized. On the other hand, the bibliography of the books may be used at present as well as in future. The term record has been in use in the context of archives for a long time. In library 497 science, it refers to the documents containing details of process, activity and results of some function of either the whole organization or a part of it. ISO 15489: Records Management defines a record as: “recorded information in any form, including data in a computer system, created, received and maintained as evidence and information by an organization or person, in the transaction of organization and kept as evidence of such activity”. A library is an organization where sources of information in its various form such as books, serials, microfiches, CD, etc. are acquired, processed and made available to the clienteles for their use. In making provision for resources and later on for offering various services, libraries also generate many records, both in descriptive as well as in the form of statistical tables. Need for library records The records contain information that serves as evidence of functions executed and activities performed and as such they are a valuable source of knowledge as to how and why decisions are taken. Given that records are of value to any organization, their proper creation and management is necessary to ensure current and future accountability and to support future actions. The need to properly manage records is also evidenced by the crucial role that records play when they are needed to protect the library’s interests during crisis periods and when they are required to meet official audits, investigations and reviews from outside agencies. We can understand that library needs records for a variety of reasons such as follows: Records are needed to document actions and decisions taken in a library and to conduct library business in an orderly, efficient and accountable manner. Records are needed to provide consistency, continuity and productivity in the library management and administration. Records are needed to deliver services in a consistent and equitable manner as records help to bring and maintain uniformity in the routines. Records are needed to support and document policy formulation and managerial decision-making and to promote informed decision-making. Records provide benchmark measures to monitor and evaluate the progress in performance, efficiency and achievements. Records lend support in the formation and revision of policies, programs, systems and long-term strategic plans. Records lend support to various library proposals such as expansion in the building, demand for additional staff as well as to proposals for more funds for acquisitions and new service/services, etc. Records serve as source materials to construct library history and maintain library memory. 498  Records, in the form of a catalogue, serve as a tool for efficient access to the library resources. Records as a proof of budget utilization to fulfill audit requirements. Records of workload help in rational allocation of manpower across various departments. Records as data of utilization of services to justify library expenditure to the parent management and the society. Kinds of Library Records Unlike records of government departments or industrial houses, which are mostly in the form of files, library records are created and captured in several different forms depending upon the nature of activities that take place in various library departments. In a fully computerized library such records are computer generated by the relevant software modules. In non-automated libraries, the dominant forms of records are: ledgers, registers, files, cards and statistical sheets. Records may be categorized by: i) their life span ii) content iii) form of presentation of information i) Records as per their Life Span These records are categorized as: Permanent, Semi-permanent, and Temporary. Permanent Records: Records which are retained on permanent basis include library policy documents, library procedures and guidelines, documents relating to library origin and growth, staff sanction approvals, accession registers, user registration forms, audit reports, inventory of furniture, fittings and equipment, building plan, electrical and sewage system plans etc. Semi-permanent Records: These records include among others funds utilization register, agreements with firms about terms and conditions of supply of books and access to databases and library circulation records, in-house usage records and online usage records, etc. Financial records are retained till the audit is over. Similarly records pertaining to the terms and conditions of supply of a firm need not be retained once dealing with the firm is over. Temporary Records: Records that are generated for a specific work are to be destroyed upon completion of the work. For example, book selection cards/slips are usually destroyed once the books have been catalogued. These are not destroyed in case they are used as accession record. Serial registration card is also a temporary record. Once it is full, a new card replaces it. 499 ii) Records as per their Content These records include: records of resources financial records service records administrative records Records of Resources: These records pertain to books and non-book materials such as audio books, audio-visual works, brochures, computer software, dissertations, globes, maps, microfiches, microfilms, photos, postcards, posters, reports, serials, slides and stamps. Financial Records: Accounts books such as budget register, registers showing section-wise allocation of funds and bill register are financial records. Library Service Records: These records include among others inter-library loan record, circulation record and reference service record, etc. Administrative Records: The number of staff varies from library to library. There are libraries, which are run by a single staff. Others have staff varying from a few to more than a hundred. Every staff has got a service book that maintains records of his or her entire service starting from his application for the service. Confidential reports of every staff written by their seniors are also carefully maintained. These are all important administrative records. iii) Records by Form of Presentation These records are of two types – descriptive and statistical. Annual reports of a library, the stated library policies, minutes of various meetings, etc. are descriptive records. A library purchases a number of books in a year, processes them, issues them to the readers, replaces them after their return; and so on. Every day a number of readers use the library, some of them ask questions, want some services and so on. At the end of the year, cumulated records are analysed and data generated indicating the number of books purchased, processed, issued, number of queries answered and photocopies supplied, etc. and progress made over the previous years. These are statistical records. 500 Principles of records and information 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. Organizations must ensure that their records are: Authentic: It must be possible to prove that records are what they purport to be and who created them, by keeping a record of their management through time. Where information is later added to an existing document within a record, the added information must be signed and dated. With electronic records, changes and additions must be identifiable through audit trails. Accurate: Records must accurately reflect the transactions that they document. Accessible: Records must be readily available when needed. Complete: Records must be sufficient in content, context and structure to reconstruct the relevant activities and transactions that they document. Comprehensive: Records must document the complete range of an organization’s business. Compliant: Records must comply with any record keeping requirements resulting from legislation, audit rules and other relevant regulations. Effective: Records must be maintained for specific purposes and the information contained in them must meet those purposes. Records will be identified and linked to the business process to which they are related. Secure: Records must be securely maintained to prevent unauthorized access, alteration, damage or removal. They must be stored in a secure environment, the degree of security reflecting the sensitivity and importance of the contents. Where records are migrated across changes in technology, the evidence preserved must remain authentic and accurate. Records Maintained by the Individual Sections of Libraries Libraries organize their activities under a departmental structure. The actual organizational structure in a library depends upon the size of its collection, the span of library functions or the administrative needs of the parent body. The following structure, with marginal variations, is more common among libraries: i) Acquisition Section ii) Technical Processing Section iii) Circulation-cum-Reading Room Section iv) Reference and Documentation Service Section v) Periodicals Section vi) Maintenance Section vii) Administration Section 501 Each section creates and maintains records to help conduct its routines in a systematic order. i) Acquisition Section This section is responsible for building up the library collection. The process of collection building begins with the formulation of library collection development policy and subsequently on its implementation on the following lines: Receiving suggestions from library members, staff and authorities. Recording suggestions for each title on book selection slips. Checking slips with various records for resources available in the library holdings to ensure that no title is duplicated unintentionally. Placing order with an appropriate supplier. When the ordered material is received it is checked for correct supply, entered in the accession record and transferred to the technical section for further action. The invoice for the supplied material is recoded in a register, adjusted against financial provision and passed on to the finance department responsible for payment. The above description of acquisition of materials through purchase order method necessitates the creation of following types of records: Ledgers – There are different ledgers for record keeping as described below: o Ledgers for recording of invoices i.e. bill registers for every category of library materials such as books, serials subscription and non-book materials including electronic sources. o Ledger for adjustment of expenditure against funds allocation already made for each subject/department, i.e. budget allocation register. o Ledger for accessioning of materials, i.e. accession register/accession cards tray. Files – Libraries create and maintain a number of files as records for several different purposes. These can be categorized hereunder. o Correspondence File – This type of file is used to keep all correspondences with the suppliers of library materials. Correspondences may be orders, reminders, complaints regarding supply of damaged or wrong books, etc. Correspondence files may be more than one. If a library is obtaining periodicals through consortia and books, etc. through institutional membership, then a file for the purpose is required. A library may receive books, periodicals, etc. through exchange or gift, in that case also another file is required for the purpose. 502  o Suggestions File – This file contains suggestions received for books, periodicals, etc. from library members, staff of various departments and authorities. o Legal File – This file contains agreement documents such as terms and conditions of supply of general or rare books, serials, electronic sources, exchange of publications and receipt of gifts, etc. Cards and Slips in Trays – These trays are used to hold suggestion cards/slips, slips for books on order and books awaiting technical processing. Statistical Sheets – These contain records as to the number of books selection slips prepared, checked and filed in order tray, removed from order tray, etc. ii) Technical Processing Section The department has three distinct functions: classification, cataloguing and physical processing. The first two functions are done with the help of classification schemes and cataloguing codes adopted for the purpose, often with certain deviations in constructing class number or in providing details in the catalogue entry for a document. This is done in response to meet the local needs of the library. The library may decide to drop providing added entry for editors or class books on biography under 920 (DDC number) only. Such policy decisions are recorded in a file called authority file, for future reference. Authority File - The authority file is the only file maintained in the department for recording deviations adopted by library in constructing class number, in providing details in a catalogue card entry or in preparing maximum of number of cards for a book. Such deviations are called local variations. Cards - Catalogue cards and shelf list represent the library collection. These are the two records, which are generated by the technical department. The shelf list is usually retained in the department and the card catalogue is placed close to the entrance lobby or reading area. If any book is lost or withdrawn from the library, the relevant cards are removed from the catalogue cabinet and shelf list. Statistical Sheet - The sheet records the number of catalogue cards prepared, filed, updated by adding information for additional copy of a book, cards replaced or withdrawn, etc. iii) Circulation Section The main function of the circulation section is charging and discharging of books. For carrying out this function successfully, the department has to perform many activities. Some of these are reservation routines, bespoken card writing, requisitioning 503 materials on interlibrary loans, etc. Although binding is a distinct administrative function, it is dealt with by circulation department in some libraries as it involves keeping record of books going out from the library. These activities call for creation and retention of a number of records in all the three formats - ledger, files and card: Ledgers – The ledgers maintain records of interlibrary loan materials, overdue charges, receipt books for overdue charges. Files – There may be one or more files keeping various types of documents such as letters, list of books, etc. The circulation section will have files relating to library circulation policy, registration of library members, inter-library loan service and correspondence on overdue books or reserved books, binders for getting the books and periodicals bound, users complaints, etc. If the correspondence volume is small one file may serve the purpose for all these otherwise different files may be opened depending on the need. Cards – In many libraries the issue record is based on membership card. When a book is issued to a member, her/his membership card is filed in the tray. When the book is returned, the card is removed from the tray and returned to the member. Membership cards filed in the tray is a valuable record that indicates the books that are issued out. o Book cards of books sent for binding, repair, digitization, etc. are also maintained systematically. When the books come back to the library after binding, repair, digitization, etc. the book cards are inserted to the relevant books and then they are shelved. o Membership application forms or cards are also important records. Basing the data contained in the cards or forms, it is possible to know the total number of members, types of members by age group, by level of education, etc. Statistical Sheet – The statistical sheet records data as to the number of books issued, shelved and repaired, reminders sent, interlibrary loan request fulfilled, etc. These records provide valuable indicators as to the workload, types of materials in demand, number of books shelved, number of books repaired, etc. iv) Reference and Documentation Service Section The nature and level of reference service varies with the nature and size of a library. In public libraries it is mostly question answer type service. In academic and special libraries in addition to such queries, the staff is also expected to prepare documentation list and offer current awareness service. In special libraries, the staff is also expected to provide selective dissemination of information (SDI) service to individual scholars. Since much of the dealings in reference section with users are about providing reference service with the help of reference tools not much records are generated or maintained in this department. The following types of records are maintained in the department: 504  Cards – Scholars’ profiles are maintained on specially designed cards for providing SDI service to them. Files – Reference enquiries received through various channels like telephone, e- mail, SMS, letters and so on. In most cases replies are also given using these channels. A copy of the reply is kept in the file which may help in replying queries in future if it is on the same topic. Statistical Sheets – Statistics of: i) queries attended, ii) abstracts of articles prepared, iii) bibliographies compiled, iv) SDI services provided, etc. are maintained on a daily basis and cumulated on yearly basis. v) Periodical Section Different libraries have different system for organizing acquisition and maintenance of periodicals. Libraries with large number of serials’ subscription organize the entire routines in an independent section. Smaller libraries often include subscription and related routines, along with books, in acquisition section and leave the receipt and display, etc. only for a separate section. Various records are maintained in this section relating to ordering, receipt and non-receipt of periodicals, issuing of reminders and binding of periodicals, etc. Ledgers – Some libraries use Kardex for recording receipt of periodicals. Many libraries record the receipt of periodicals in a register. If the serials department places orders for periodicals on its own, then it will have to maintain a bill register also. Files – Depending on the need one or more files may be required. The following papers or documents are kept in the files. Correspondence relating to subscription of periodicals. It may include quotation papers, price list from the publishers, list of periodicals, suggestions received from users, etc. An organization publishing periodicals gets many periodicals in exchange of their periodicals. All correspondences and related papers are to be maintained properly for the smooth functioning of the activity. Many libraries are members of one or more consortia. This also results in correspondence and accumulation of various other papers such as list of periodicals according to publishers and list of members of the consortia. Non-receipt of issues, receipt of defective copy, duplicate copy, or unsubscribed copy also leads to correspondence. Cards – Some libraries use cards for recording the receipt of periodicals, issuing reminders for the non-receipt of issues, expected date of arrival of the next issues and so on. The cards are of varying sizes. For example, the Kardex card is usually bigger than the catalogue cards. Statistical Sheet – Number of serials registered against subscription, gift, exchange, or consortium, reminders sent, volumes prepared for binding and such 505  other routines of the section are maintained in the statistical sheet. vi) Maintenance Section The section is primarily concerned with upkeep and maintenance of library materials in good condition and in an order that helps users to have access material with ease. For achieving this objective, the section puts the collection in different sequences and in a specific order in each sequence. It provides the stack area with helpful guides and identifies titles in need of repair or binding. It makes periodic check to identify books, which need weeding out from the collection. The section also conducts stock verification at fixed intervals, as per library policy. The records in the section are mainly in the form of list of books kept in files. The list may include the books that are withdrawn from the shelves for weeding out or repair. The notes in the files may relate to the acquisition of new furniture, removal of old or unused furniture, request for equipment and materials for cleaning, etc. Preservation of rare and important documents is also an important activity of a library. This also generates a lot of records. Files – All the records generated by the activities discussed above are maintained in files. Often more than one file is required. vii) Administration Section The administration section looks after the administrative activities of a library which involves library manpower, finance and accounts, library building, library assets such as furniture and equipment. It also functions as the nodal point for contact with the administration of the parent body of the library. The records in administration are mostly in the form of files, registers and ledgers. Manpower Records – The manpower record comprises among others the attendance register, service books of employees, leave records and staff deployment record. Salary and wage records are also maintained where the library is the wage disbursing authority. You should note that some of these records are in the form of registers. Statistical Records – Statistical sheets collected from each department are consolidated whereby the overall scenario of the library comes up. Financial Records – These records comprise correspondence relating to annual budget, budget register, budget allocation and utilization register, etc. The last mentioned record is very useful as it always provides information as to money already spent and the money that remains to be spent. When anything what needs to be purchased this record is always very useful. 506 Records of Library Assets – Every library has various types of assets comprising book shelves, tables, chairs, fans, etc. In modern libraries there are computers, photocopying machines, microfilm reader-printers, videos and so on. All these furniture items, fittings, machines, tools, etc. are recorded in a register. When something is issued to someone, a record is maintained. Record is also maintained for those items that are written off. Records concerning Library Development, Policy, etc. – These records include annual report of the library, proceedings of library committee meetings, development plans and proposals of the library, library rules and regulations, contracts and agreements and so on. Library Building Records – Many libraries have their own buildings. There are records relating to library building plan, maintenance and repair. A library usually grows requiring construction of new rooms, new storeys and at times new buildings. Security is of great concern for a library as it contains many rare books, manuscripts and other valuable materials. Hence flawless security arrangement is made. All these also generate records. These records are usually maintained in files. Disaster Management Manuals – Disasters like fire, flood, earthquakes and tsunami sometimes afflict libraries. That is why many libraries prepare disaster management manuals that act as guides to help librarians to save valuable books and other materials of the library when a disaster strikes. Records are usually maintained in the record room by the record keeper who functions under the head of the administration department. Legislation in Kenya It provides the definition, scope of record keeping activities, frequency, nature, disposal of records etc. Listed here are some of the important terminologies. “Accounting officer” means the Principal Secretary or the Head of Department appointed by the Principal Secretary. “Administrative records” means records which contain documents regarding the support functions of the office, such as which may include documents relating to human resource, finance, equipment and supplies, buildings and property and general administrative matters. “Appraisal” means the process of determining the value of a record in order to determine its disposal. 507 “Archives”: means records selected for permanent preservation due to theft enduring value. “Authority” means the Transition Authority established under section 4(1) of the Act. “ Authorized officer” includes: In the case of a Department which is not assigned to any Cabinet Secretary, the Head of that Department; or In the case of the Kenya National Audit Office, the Controller and Auditor- General; The Principal Secretary in the concerned Ministry. “Current records” means records regularly used for the conduct of the daily business of an agency, institution or an individual. “Document” means information recorded in any format which may be considered as a unit. “Electronic record” means a combination of text, graphics, data, audio, pictorial or other form of representation of information in a digital form that is created, modified, maintained, archived, retrieved or distributed by a digital information system. “File” means a group of related records or documents, fastened together within a file folder. “Human resource personnel records” means the documents of an individual’s employment history, from appointment to retirement or termination, which may be organized as individual case files in print or electronic form. “Information” means knowledge that is communicated and has facts, concepts, objects, events, ideas or processes. “Metadata” means descriptive information concerning a particular data set, object or resource, including details on the manner in which it is formatted and by whom it was collected. “Non-current records” mean records rarely required by the office of origin to conduct current business. “Public records” mean records created or received and accumulated by public institutions in the conduct of business and includes the records of any Ministry or Government Department and of any Commission, Office, Board or other body or establishment under the Government or established by or under an Act of Parliament; 508 the records of any defunct local authority or other Authority established for local government purposes; and records of the High Court and of any other Court or Tribunal. “Preservation” means any measure taken, including financial and strategic decisions, to maintain the integrity and extend the life of records. “Record” means information created or received and maintained by an agency, organization or individual in furtherance of legal obligations or in the transaction of business or any information created or received in the process of business transaction regardless of the mode or format. “Records disposal” means the act of removal of records that have reached the end of retention period from the place of origin, whether for destruction or formal transfer to a records storage centre of archives. “Records management” means the systematic control of all records from their creation or receipt through processing, retrieval, distribution and use, to their ultimate preservation and disposal. “Records management unit” means a division or section responsible for management of records in an organization. “Records storage” means preservation measures for keeping records under defined conditions and permitting their retrieval, or the information contained in them. “Records value” means the utility of records for operating, administrative, legal, fiscal and historical purposes. “Vital records” means records containing essential information necessary for the continuity or resumption of operations in the event of a disaster. Read: Kenyan law on record keeping and information management as part of devolution: http://kenyalaw.org/kl/fileadmin/pdfdownloads/LegalNotices/2016/LN44_2016.pdf 509 10.3.2.3 Self-Assessment i. Which type of classification facilitates the arrangement of files in strict date order? A. Geographical classification B. Chorographical classification C. Topic-wise classification D. Alphanumeric classification ii. How long should you keep your records? A. 7 years B. Forever C. Until I no longer need them D. When my filing cabinet is full E. It depends on what type of record it is and whether I created it iii. Who is responsible for managing County records? A. The Records Management Team B. All County Staff C. Any Department’s Director D. The Department of Technology Services iv. What is the need for records in a library? v. What are the ways of categorizing library records? vi. Write a note on statistical form of records in acquisition and technical processing section. vii. Why are records not generated or maintained in large numbers in a reference section? viii. What are the records of the administrative department of a library? ix. What are the different rules and regulation for record keeping as per the Kenya’s legislation? x. Visit libraries and prepare of list of records maintained. What are the formats in which these records are shared with other stakeholders? 510 10.3.2.4 Tools, Equipment, Supplies and Materials Computer, stationery, Internet, record book, register, Internet, Software 10.3.2.5 References Mittal, R.L. Library Administration: Theory and Practice. Delhi: Metropolitan, 1984. Susan Healy, “ISO 15489 Records Management- its Development and Significance”. Records Management Journal. 11.3 (2001). University Computing Centre. Records Management: Best Practice Guidelines; Part 2 - Fundamentals of Information and Records Management. 2013. http://ocla.ucc.ie/records/rm_gpt02.html#21 http://www.nas.gov.uk/recordKeeping/recordsManagement.asp#principles 511 10.3.3 Learning Outcome 2: Determine principal areas of risk requiring recordkeeping strategy 10.3.3.1 Learning Activities o Review and updation of organization risk analyses for implications in relation to redundancy of records o Review and documentation of regulatory requirements and legal liabilities as per their impact on recordkeeping framework o Determination and documentation of risks and liabilities to be managed by recordkeeping to inform development of the framework Trainees to demonstrate knowledge in relation to: o Meaning of terms o Recordkeeping strategies and practices o Needs assessment and analysis o Documentation of regulatory requirements and legal liabilities o Risks and liabilities in recordkeeping o Development frameworks and policies 10.3.3.2 Information Sheet Recordkeeping strategies and practices All organizations generate a large amount of both paper and digital records. They accumulate quickly and it’s imperative that they are be stored somewhere safe. To ensure the accessibility and security of your company’s records, you must decide which documents you need in which format. An efficient records management plan is required from the moment a file or series of files is created. It specifies what the files are used for, who has access to them, how and where they are stored, the required length of retention and, ultimately, how they are destroyed. Here are five crucial records management best practices: o Control storage and access: To ensure that digital and paper files are stored securely, you need to control that has access to them. When it comes to managing your records according to best practices, how and where the documents are stored, is as important as who has access to them. o Be wary of retention and disposal procedures: Every record will have its own lifespan. It’s necessary to ensure that all retention and disposal schedules are 512  correctly applied to each type of record generated in each department. To make this as simple as possible, draw up a list of all the various records your organization works with and set a clear process for each type. o Record, track and monitor: Records move around all the time: in and out of storage and between colleagues and departments. Without a comprehensive cataloguing and monitoring system in place, it’s easy for files to fall between the cracks and disappear. o Destroy and/or delete: When records do come to the end of their lifecycle, they need to be destroyed securely. Put a policy in place for the destruction of confidential and personal records that meets all legal requirements for each type of document. This should also include a general ‘good housekeeping’ plan for the destruction of non-critical or non-sensitive information to free up office and digital storage space. o Outsource your records management: Storing paper and digital records securely and with 100% compliance is not as simple as it may sound. It’s far easier to outsource your document storage needs to a provider whose organization it is to manage records. In recent years, records are being digitized for safekeeping. Life Cycle of Records Stage 1: Current stage/ active: The records are called current or active because: The rate of use is high They are nearest to the user Primary value, i.e. they have value for which they were created for The accumulation rate is very high because they are asked for often The type of storage equipment should be of secure type i.e. lockable Stage 2: Semi-current: This means that: The rate of use is moderate because they are not as active as before. They are kept in registries but not close to the user Primary value, i.e. they are used for the purpose they were created for The rate of accumulation is moderate Stage 3: Dominant / inactive stage: They are dead because: The rate of use is nil i.e. they are never asked for 513  The storage place is far because they should not compete with active and semi- active They have no primary value i.e. they are not used for the purpose they were created for Dominant records may be useful to: Researchers Historians Legal purpose Fiscal purpose Diagrammatic representation of life cycle of records inverted triangle. Stage 1: Active Stage 2: Semi-active Stage 3: Dormant Figure 32: Volumes and hierarchies of records Disposal methods: After the main appraisal at the apex point records are supposed to be disposed of. There are several methods that are used to dispose these records which include: Transfer to archives/ record centers: Records with secondary or permanent value are transferred to archives. 10% goes to archives and 90% has to be disposed of using other methods depending on their content. 514 Other records may have some value, which means they are confidential. There are several methods to destroy confidential content which include the following; Shredding: This is a method of destruction that involves cutting records into small pieces and sell them to those buy wastepaper. Incrimination: This is a method of destroying records through burning them into ash. Chemicalization: It’s a method of destroying records using chemicals. Needs assessment and analysis The success of your implementation is directly related to the amount of effort and collaboration that goes into planning the project. To ensure that all departments actively participate in the planning process, you should assemble a project management team that includes each department head, as well as IT and records management personnel. You should also appoint a project manager, who will establish deadlines, assign roles and tasks, and monitor the project's overall progress. Performing some type of needs analysis is the next step in preparing for your implementation. A comprehensive needs analysis requires a great deal of work and is not something that can be entrusted to an outside consultant. Performing the bulk of the analysis internally is important because it gets team members personally invested in the success of the project. When you know exactly what needs you want to address and how you want to address them, you will be in a much better position to select the best possible solution. Getting people from multiple departments involved early in the process will set the tone for a successful implementation. Furthermore, learning how to work together in the early stages will pay dividends later on when it comes to design, configuration and training. When you analyze your needs, there are a number of factors to keep in mind: o How many documents must the system store? Consider both the number of existing documents and the number of documents added annually. This information determines how much storage space is needed, the hardware configuration and the cost of the system. o How many users will be using the system concurrently? This determines preliminary software costs, required licenses and server size. o What departments will be using the system and is it necessary to provide public access? This determines the specific features and security levels needed. 515 o What institutional problems need to be solved to reduce costs and improve productivity? This determines which functions of a document management system will be requirements and which are optional. It also helps determine whether plug-ins or customization is necessary. o Are there regulatory compliance issues governing your organization? If so, the document management system should have functions supporting compliance. o Do you need to integrate your document management program with other software applications? Because integration issues often increase the time required for implementation of document and records management systems, these concerns should be resolved before investing in a particular system. Risks and liabilities in recordkeeping Managing risk in the complex modern environment is not easy. The risks associated with record keeping and information management are usually not transparent to corporate risk managers. Record keeping and information risk adds an extra dimension to business risk. Records management, accountability and risk are closely aligned. Records are essential for auditing and accountability. When developing a strong record keeping governance framework, there are many risk-based decisions to be taken — some intuitively. The aim should be to take a simple, self-assessment checklist in order to assess your organization’s preparedness, and to ensure that record-keeping governance can be monitored, reviewed and audited, empowering executives to act. Development frameworks and policies Records provide evidence of business activity and transactions, that is, what the organization has (and hasn’t) done. Like the organization’s other key resources (staff, finance, infrastructure and intellectual property) records are critical for the organization to conduct business now and in the future. Knowledge and information are at the core of the organization’s business. Records and information-related risk assessment can be used to enhance an organisation’s performance, reduce organization risks and help information managers manage information strategically. More specifically the risk-based approach will promote: More effective planning of records and information management strategies and programmes to ensure alignment with the core organization objectives of the organization; 516  Official decisions from key areas of the organization is well documented, supporting accountability and transparency; Improved decision making with reliable access to authoritative records; The identification and protection of sensitive information; Better control of records and information management costs (e.g. avoidance of unnecessary storage costs); The organisation’s readiness for audit; The reduction of operational disruptions (e.g. finding vital records easily in an emergency); Knowledge sharing because everyone can find and use information rapidly; The identification and protection of vital records are secured, supporting organization continuity and disaster recovery efforts; Records with archival value to be identified and protected for posterity. Creating and managing records help organisations conduct their business and manage the risks associated with that business. Without adequate records, your Organisation may have difficulty providing evidence of its actions and decisions. Records and information risk management should ideally be integrated with the organisation’s enterprise-wide risk management strategies. It will allow records management activities to be connected to specific business risks. Roles and responsibilities for records and information risk management will be clearly identified and a training programme for risk awareness would benefit from being developed. Consideration of records and information risk management requirements should be built into organizational planning processes such as strategy development. Recordkeeping practices Watch: Book recording format using MS Excel: https://youtu.be/M_cTCUbZ6xw Watch: Library lending and circulation records using MS Excel: https://youtu.be/uQuPxnBEewU Watch: Library Management Software: https://youtu.be/v_SkCpsfsPo https://youtu.be/cmckNcCtA_s https://youtu.be/IoS4SnusvWk 517 10.3.3.3 Self-Assessment i. An active record is: A. A record that is used on a regular basis B. A record that has just been created C. A record that has been consulted recently D. A record that has been in existence for less than 5 years ii. In which of the following filing methods can you easily see the folder names? A. Suspension B. Open shelving C. Vertical D. Horizontal iii. What is a records life cycle? A. A term that describes how records are to be filed B. The different stages records follow during their lifespan C. The record of how papers are filled out D. A cycle that includes life lessons iv. Which of the following is a method you will use to help maintain record confidentiality? A. Leave records under your desk B. Leave records in your car trunk C. Keep your computer unlocked D. Lock your computer screen v. What are the two parts of the annual report of the library? A. Primary and Secondary B. Analytical and Systematic C. Upper and Lower D. Descriptive and Statistical vi. What is the implication of not have library records structured? vii. Conduct a needs analysis for your local library. 518 10.3.3.4 Tools, Equipment, Supplies and Materials Computer, stationery, Internet, records, database 10.3.3.5 References https://www.accessrecordsmanagement.co.uk/5-records-management-best- practices/ https://www.imagemicrographics.com/blog/2015/10/13/document-management- conducting-a-needs-assessment http://lrd.kangan.edu.au/toolbox1213/toolbox1213/topics/topic42/t42_07.htm 519 10.3.4 Learning Outcome 3: Determine record requirements for each business function 10.3.4.1 Learning Activities o Determination and analysis of risks, liabilities and regulatory requirements against each business function o Communication and documentation of determined evidence requirements for each business function identifying evidence to be captured as records o Forming of the specifications for records from the evidence requirements in accordance with organizational technologies, standards and corporate culture, and in appropriate formats Trainees to demonstrate knowledge in relation to: o Meaning of terms o Risk management analysis o Process of records and information management o Compliance, procedures and standards o Formats of records and information 10.3.4.2 Information Sheet Libraries in general are experiencing unprecedented demands for change both in the way they work and the information and materials they provide. Librarians have tended to greet the need for change with feelings of insecurity and visions of ongoing chaos. The vitality and relevance of academic libraries are increasingly at risk. Faculty and students on / off campuses expect more from the library due to the growth of information available through electronic resources. As the changes in higher education are moving, librarians are responding to these systematic changes in the academic environment. Changing roles for librarians, as collaborators, integrators, instructional designers and information consultants and models of information delivery necessitated not only increased relation between faculty-librarian contacts, but also dramatic changes in the nature of faculty-librarian relationships. Therefore, there is a need for understanding of different techniques in procuring content, management of content, rights of access, collection development policies, etc. with risk associated with managing different activities in association with other librarians, publishers, system specialists, students and faculty. Risk analysis is a process that helps you identify and manage potential problems that could undermine key library operations. Risk management is the process of measuring or assessing risk and then developing strategies to manage the risk. 520 The different areas, where risk management can occur in library environment are: Assessing the institution / organizations requirement Acquisition / Collection development Content development Access rights by the users Risks associated with migration Scholarly communication Consortium arrangements Staff training and recruitment Preservation decisions Use of technology by the students, faculty and library staff. Security aspects for library materials and staff The risk of exposing the items in the collection to theft, mutilation or accidental loss. Risk Management Risk management is the sum of all activities directed toward acceptably accommodating the possibility of failure in a program. Risk management is based on assessment; every risk management assessment includes a number of tasks: (1) identification of concerns, (2) identification of risks, (3) evaluation of the risks as to likelihood and consequences, (4) assessment of options for accommodating the risks, (5) prioritization of risk management efforts, and (6) development of risk management plans. To carry out a risk analysis, you must first identify the possible threats that you face, and then estimate the likelihood that these threats will materialize. Risk analysis The first step in Risk Analysis is to identify the existing and possible threats that you might face. These can come from many different sources. For instance, they could be: o Human: Illness, death, injury, or other loss of a key individual. o Operational: Disruption to supplies and operations, loss of access to essential assets, or failures in distribution. o Reputational: Loss of customer or employee confidence, or damage to market reputation. o Procedural: Failures of accountability, internal systems, or controls, or from fraud. o Project: Going over budget, taking too long on key tasks, or experiencing issues with product or service quality. 521 o Financial: Business failure, stock market fluctuations, interest rate changes, or non-availability of funding. o Technical: Advances in technology, or from technical failure. o Natural: Weather, natural disasters, or disease. o Political: Changes in tax, public opinion, government policy, or foreign influence. o Structural: Dangerous chemicals, poor lighting, falling boxes, or any situation where staff, products, or technology can be harmed. You can use a number of different approaches to carry out a thorough analysis: o Run through a list such as the one above to see if any of these threats are relevant. o Think about the systems, processes, or structures that you use, and analyze risks to any part of these. What vulnerabilities can you spot within them? o Ask others who might have different perspectives. If you're leading a team, ask for input from your people, and consult others in your organization, or those who have run similar projects. Estimate Risk Once you’ve identified the threats you're facing, you need to calculate out both the likelihood of these threats being realized, and their possible impact. One way of doing this is to make your best estimate of the probability of the event occurring, and then to multiply this by the amount it will cost you to set things right if it happens. This gives you a value for the risk: Risk Value = Probability of Event x Cost of Event As a simple example, imagine that you’ve identified a risk that there can be breakage of the asbestos roof on the library. You can also use a Risk Impact/Probability Chart to assess risk. This will help you to identify which risks you need to focus on. How to Manage Risk Once you’ve identified the value of the risks you face, you can start to look at ways of managing them. Look for cost-effective approaches. In some cases, you may want to avoid the risk altogether. You could also opt to share the risk – and the potential gain – with other people, teams, organizations, or third parties. 522  Your last option is to accept the risk. Before you decide to accept a risk, conduct an Impact Analysis to see the full consequences of the risk. You may not be able to do anything about the risk itself, but you can likely come up with a contingency plan to cope with its consequences. Control the Risk: If you choose to accept the risk, there are a number of ways in which you can reduce its impact. Process of records and information management Source:https://blog.amplexor.com/best-practices-digital-archiving-records-lifecycle- approach Figure 33: Lifecycle of record management There are different types of data in a library. As per constitution and organizational law, different data are recorded and preserved. Here you see a list of records along with minimum holding period requirements. Records have life cycles. They are created or received. At this stage their physical form (paper, electronic, magnetic, photographic) and informational content are established. Records are then used and maintained. They are referred to, revised, refiled, and occasionally reorganized. For the most part, the need to refer to files declines sharply as their age increases. As records reach the end of their active lives, they are disposed of in some manner: they are destroyed, reformatted, transferred to inactive storage, or transferred to the archives. The disposition phase of the life cycle is critically important to the legal and economical maintenance of office records. Many records can be legally destroyed at the end of their active lives. Others become semi-active and should be retired to a records storage area for more convenient storage. Records with continuing long-term value are sent to the archives for permanent storage. Determining the value of a record series is known as “appraisal,” the second basic principle of records management. Appraisal is the process by which archivists determine the administrative, legal, and fiscal value as well as the historical and long- term research value of records. Once the value of a record series has been determined, a realistic retention period can be assigned to it. Appraisal can take place at any point 523 during a record series’ life cycle, but is most frequently done when the records become inactive. Some of the considerations taken into account during the appraisal process include: physical volume (expressed in terms of cubic or linear feet); frequency of use (daily, monthly, yearly); administrative and operational need served by the record; legal and fiscal regulations governing retention; historical significance; economic advantage of moving the records from high cost office storage to low cost records storage space or direct disposal; whether it is the record copy or a duplicate. Some of the most common permanent records include in library (but are not limited to): Administrative Reports (especially annual and biennial reports). Biographical Records. Grant Projects Research Records (final research reports). Photographs. Policies and Procedures Records. Publications. In most cases, records should be transferred to the archives when they are no longer used in the everyday operation of the office and are referred to less than once a year. This is a sample table sourced from Elizabeth City State University: Library records include the following (Illustrative Sample) Source: http://www.ecsu.edu/ Table 10: Sample - Library Records SOPs Series Title Series Items Disposition Description Accession Listing of library accession or Permanent. Records materials arranged inventory number, (Integrated numerically. author and title, call Library number, source price System ‘ILS’) Acquisitions Acquisition of purchase orders, Retain material (ILS) books, periodicals shipping information concerning rare and other material. publications permanently. Destroy 524 Series Title Series Items Disposition Description in office records concerning routine acquisitions 1 closed fiscal year after released from all audits. Approval Records correspondence, Destroy in office after Plan (ILS) concerning printouts of amount 2 years. materials received spent, number of on approval. books, LC classification, returns notebook, reason returned, ISBN number, copies of approval plan profile, statistical data Binding Invoices for Destroy in office after Invoices binding periodicals 3 years. and books. Binding Binding Destroy in office when Patterns specifications. superseded or obsolete. Book, Invoices for correspondence, Destroy in office after Microfilm payment of books, invoices 3 years. and microfilm and Periodical periodicals. Invoices (ILS) Cancelled Cancelled Destroy in office when Periodicals subscriptions. administrative value (ILS) ends. Carrel See Series Title carrel number, Destroy in office 6 Assignments faculty name, months after graduate name, termination of contract, key number, contract. fee Check-in for See Series Title packing slips, title Maintain according to Government sudoc number, item Federal Depository Documents number, receipt date, Library Program shipping list number (FDLP) regulations. Transfer 10 or more 525 Series Title Series Items Disposition Description copies (as required) of each publication to the State Documents Clearinghouse, State Library of North Carolina, when received from printer, in accordance with G.S. 125-11.8(b). Check-in for See Series Title Destroy in office 5 Periodicals years after termination and of subscription. Microfilm Copies (ILS) Discontinued See Series Title Destroy in office when Periodicals administrative value (ILS) ends. Federal Deposit account Destroy in office after Depository orders and 3 years. Account statements. Integrated See Series Title acquisitions, on-line Purge inactive patron Library catalog, circulation data annually. Purge System (ILS) data, budget data, budget and financial (Electronic) orders, purchases, data when fines, patron administrative value information, ends. Update bibliographic data, remaining electronic shelf list, interlibrary data routinely. loan data Interlibrary Interlibrary loan patron name, material Purge records after 5 Loan System circulation requested, university years if no copyright information. borrow from / sent to, violation has been Comply with date requested, date reported. If copyright applicable filled violation is alleged, provisions of US destroy after Title 17 regarding completion of action copyright of and resolution of materials. issues involved. Library Records annual donor Transfer records to Donor concerning statistics, donor University Archives materials donated forms with name, after 15 years. 526 Series Title Series Items Disposition Description to the library. description of Comply with donation, number of applicable books, provisions of legal correspondence, agreement accession regarding information, confidentiality of agreements, records concerning stipulations each gift. License Licenses for Destroy in office 5 Agreements databases and years after expiration electronic journals of agreement. purchased by the library. Mail Services See Series Title information regarding Destroy in office after certified mail, 3 years. express mail, insurance, commercial carriers, campus requisitions, returned shipments, postage authorizations, theses Microforms See Series Title title, date of Destroy in office paper Shelf List publication, catalog copies when entered (ILS) number, subject into library on-line headings catalog and after verification of data entry. Update routinely, maintain electronic database permanently. OCLC Publications Destroy in office when (Online concerning administrative value Computer cataloging of ends. Library library materials. Center) Publisher's Catalogs listing Destroy in office when Catalogs new publications superseded or by each particular obsolete. publisher. 527 Series Title Series Items Disposition Description Reserves Holdings placed bibliographic Destroy in office after (ILS) on reserve by information, student 1 year. instructors for use information student use. Search File Search reports for Transfer reports of (ILS) books that are missing books to missing. Catalog Department when search process is completed for withdrawal from the ILS. Destroy in office remaining records when administrative value ends. SOLINET Official records correspondence, Transfer to University concerning statistics, newsletters Archives when library's administrative value participation in ends. SOLINET. Standing See Series Title spreadsheet Destroy in office after Orders (ILS) inventories, 3 years and when correspondence, released from all credit, audits. memorandums, information regarding book returns, missing shipments Statistical Annual statistical Transfer to University Reports report. Archives after 5 years. Withdrawn See Series Title Purge from ILS after 5 Publications years. (ILS) 528 10.3.4.3 Self-Assessment i. What are the various risks associated with library data and records? ii. ________ are the storage areas for the various types of documents kept in a library. A. Tasks B. Racks C. Stacks D. Desks iii. _____ is a contingency plan that has been put in place to retrieve records in case they are lost, destroyed, or compromised. A. Records management B. Inactive record maintenance C. FERPA D. Disaster recovery iv. Risk value of an event = Probability of an event x __________of event. A. Frequency B. Cost C. Nature D. Duration v. What are some of the considerations taken into account during the appraisal process in records management? 10.3.4.4 Tools, Equipment, Supplies and Materials Computer, software, stationery, records 10.3.4.5 References https://www.mindtools.com/pages/article/newTMC_07.htm https://www.openkm.com/blog/record-management-and-regulatory- compliance.html https://vitalrecordscontrol.com/records-management-procedures/ https://www.hullccg.nhs.uk/ http://www.mnhs.org/preserve/records/electronicrecords/erfformats.php http://www.ecsu.edu/ https://ir.inflibnet.ac.in/bitstream/1944/1412/1/52.pdf 529 10.3.5 Learning Outcome 4: Establish recordkeeping framework for organization 10.3.5.1 Learning Activities o Development and communication of an overview of responsibilities for recordkeeping within the organization o Definition of responsibilities and authorities in relation to regulatory requirements in accordance with industry standards o Definition of record keeping responsibilities and rights for each business function as per organization policy o Identification of risks and liabilities managed by record keeping and integration with the definition of responsibilities for each function o Definition, assignment and documentation of levels of accountability and responsibility for each level of recordkeeping as per organizational policy o Communication of documented framework (including areas of risk, regulatory requirements, records specifications and responsibilities for recordkeeping review and endorsement) to appropriate persons o Establishment of review process and appropriate persons charged with maintaining the currency of the organization recordkeeping framework Trainees to demonstrate knowledge in relation to: o Meaning of terms o Roles and responsibilities of a records personnel o Regulatory requirements and industry standards o Policies and procedures in recordkeeping o Integration of recordkeeping practices o Professional ethics and integrity o Documentation of frameworks o Personnel in records and information management 530 10.3.5.2 Information Sheet Roles and responsibilities for records management include: Record proprietors determine which records will be created, gathered, and maintained, and produce records for audit and other purposes. Records proprietors may be the manager of an operational unit. For large enterprise records repositories or multiple record filing systems, there may be more than one proprietor. Record custodians maintain, secure, and care for records in accordance with Organizations procedures this individual is the manager of the unit designated by the record proprietor as custodian. In some cases, the record proprietor and record custodian may be the same person, or there may be more than one custodian. Local records management coordinators create, publish, and maintain local record-retention schedules. The coordinator may propose records to include in the schedules, convey the interests of the campus to the University Records Management Committee, and serve as a local resource for retention questions. The university archivist preserves records that have value to the university or the research community because they reflect historical events or document University history. This includes permanent maintenance of records that are designated for permanent retention with instructions to “transfer to University Archives.” Your typical duties as a records officer will generally include the following: o Creating and maintaining company databases to ensure quick retrieval of information. o Developing record distribution and storage policies. o Auditing the information that is created and stored within the company. o Analyzing your company’s information needs and developing procedures to ensure these requirements are met. o Referring to policy and legislative requirements in order to determine the length of time company records are kept. o Potentially overseeing the transition from paper to electronic management systems. o Providing the necessary support to ensure the accountability, transparency and regulatory requirements of the company are met. 531 As a records officer you will be required to work closely with all company staff to ensure the organization’s existing information systems provides them with the data they need to perform their duties. Policies and procedures in recordkeeping Policies and procedures: Are a way to provide guidance and rules to all staff for how to achieve certain goals and aims or carry out certain tasks. They will help ensure rules about how records are to be made, kept, managed, and disposed of are applied consistently, transparently and in accordance with your requirements. The records governance policy requires agencies to have some form of documentation around: o How and when records must be created, captured and kept? o The format they must be created in? o Who must create them? o How security, access and preservation are handled for these records? o How these records will be disposed of? o How visibility of permanent, high-value and high-risk records is maintained? Policies and Procedures Records Record Disaster inventory and Retention storage and Vital records prevention schedule program Disposition classification conversion and recovery Figure 34: Record Management policy and procedures 532 10.3.5.3 Self-Assessment i. What is file record maintenance? A. The periodic updating of files B. Recording office conversations regarding maintenance C. The physical cleaning of records D. The ability of a record to be duplicated ii. If you last visited your dentist’s office ten years ago, what type of record would that be considered as? A. Confidential B. Inactive C. Open D. Active iii. File organization that have no ordering of records, is called A. Heap file organization B. Clustered file organization C. Hashing file organization D. Sequential file organization iv. File organization in which records are stored in a logical order is known to be A. Clustered file organization B. Hashing file organization C. Sequential file organization D. Heap file organization v. In the sequential file organization, the records are stored according to the value of A. Record's entry B. Record's elimination C. Search key D. Function vi. How do you manage confidential document destruction? vii. What are three reasons for recording names of visitors in a records centre? 533 viii. What is the definition of the following terms as used in records management? A. Public records B. Digital records C. Audio-visual records D. Document ix. What storage facilities are appropriate for keeping the following information materials? A. Audiotapes B. Manuscripts C. Photographs D. Cartographic record x. What is the importance of governance and data security in the age of digital library? xi. What are the duties and tasks of record keeping for library staff? xii. Identify the records in your local library for archiving. xiii. Search for a record management policy of an organization in Kenya. xiv. Prepare a record management policy for copyright materials in the library holding. 10.3.5.4 Tools, Equipment, Supplies and Materials Computers, Stationery, SOPs 10.3.5.5 References https://www.forgov.qld.gov.au/develop-recordkeeping-policies-procedures-and- tools#-a-name-policies-procedures-a-policies-and-procedures 534