Records and Information Management PDF

Records and Information Management University of Nairobi ISO 9001:2008 1 Certified http://www.uonbi.ac.ke  Management  Management is the process of using an organization’s resources to achieve specific goals through the functi...

Records and Information Management University of Nairobi ISO 9001:2008 1 Certified http://www.uonbi.ac.ke  Management  Management is the process of using an organization’s resources to achieve specific goals through the functions of:  planning,  organizing,  leading and  controlling.  Information is an important and valuable business resource.  To survive, businesses and organizations must have up-to- date information  in the right form,  at the right time, and  in the right place  to make management decisions.  What is a Record  The term record has a specific meaning in records management. ARMA International (an association for information management professionals) defines a record as:  stored information, regardless of media or characteristics, made or received by an organization that is evidence of its operations and has value requiring its retention for a specific period of time.  ISO 15489 defines a record as follows:  A record is information created, received, and maintained as evidence and information by an organization or person, in pursuance of legal obligations or in the transaction of business.  Records Management  Records management is the systematic control of all records from their creation or receipt, through their processing, distribution, organization, storage, and retrieval, to their ultimate disposition.  Because information is such an important resource to organizations, the records management function also includes information management.  Therefore, records management is also known as records and information management (RIM).  The Purpose of Records Management  Is to ensure that:  The record is present – your organisation should ensure that it has the information that is needed so that it can reconstruct activities or transactions that have taken place. This ensures that the organisation is accountable to its stakeholders (whether they are citizens, parliament or shareholders).  The record can be accessed – the people in your organisation must be able to locate information when required. This is vital in areas where there is freedom of information legislation but just as important to support the efficient operation of the organisation’s business.  The record can be interpreted – if required, an organisation should be able to establish a record’s context, who created it, as part of which business process and how it relates to other records. This is a vital part of the organisation’s accountability and transparency.  The Purpose of Records  Is to ensureManagement that:  The record can be trusted –records should be reliable and representative of actual information used in or created by the business process, and its integrity and authenticity can be demonstrated.  The record can be maintained through time –ensure that the qualities of accessibility, interpretation and trustworthiness can be maintained for as long as the record is needed.  The record will be disposed of - as part of a planned system, through the implementation of disposal schedules to ensure the retention of the minimum volume of records consistent with effective and efficient operations. University of Nairobi ISO 9001:2008 6 Certified http://www.uonbi.ac.ke  There are five vital elements of records management:  meeting business and patient/client needs;  public records legislation;  managing records as a valuable and expensive asset;  accountability for practice and service provision; and  accountability and quality of information and services. University of Nairobi ISO 9001:2008 7 Certified http://www.uonbi.ac.ke  Records Classification  Records management procedures for each organization specify which documents or information become records based on classification of records.  Common records, such as correspondence (letters and memos), reports, forms, and books, can appear on paper, on optical or digital storage media, or on an organization’s intranet pages.  An organization may receive these records through regular mail, electronic mail, facsimile machines (fax), special couriers, or by accessing computer networks including the Internet and company intranets.  Records Classification  Other types of records to consider are oral records that capture the human voice and are stored on cassettes and other magnetic media.  Records also are stored on film, CDs, DVDs, videotapes, photographs, and microfilm.  Records are valuable property, or resources, of a firm; and, like all other resources, they must be managed properly.  Usually, records are classified in three basic ways:  (1) by the type of use,  (2) by the place where they are used, and  (3) by the value of the records to the firm.  1. Classification by Use  Classification according to records use includes transaction documents and reference documents.  A TRANSACTION DOCUMENT is a record used in an organization’s day-to-day operations.  These documents consist primarily of business forms which can be created manually, electronically, or generated via e-commerce systems on the Internet.  Examples are invoices, requisitions, purchase and sales orders, bank checks, statements, contracts, shipping documents, and personnel records such as employment applications, time sheets, and attendance reports.  1. Classification by Use  A REFERENCE DOCUMENT, on the other hand, contains information needed to carry on the operations of a firm over long periods.  These records are referenced for information about previous decisions, quotations on items to purchase, statements of administrative policy, and plans for running the organization.  The most frequently used category of records maintained in an office, are business letters, reports, and interoffice e-mail.  Other examples include catalogs, price lists, brochures, and pamphlets.  2. Classification by Place of Use  Classification by place of use of the records refers to external and internal records.  An EXTERNAL RECORD is created for use outside an organization.  Examples of such records are letters, faxes, or e-mail sent to a customer, client, supplier, or to the various branches of the government.  An INTERNAL RECORD contains information needed to operate an organization.  Such a record may be created inside or outside an organization.  Many internal records are created through the use of e-commerce systems using databases and web server applications.  Examples are communications between a firm and its employees (payroll records, bulletins, newsletters, and government regulations) and communications among a firm’s departments (inventory control records, interoffice memos or e-mail, purchase requisitions, and reports).  3. Classification by Value of the  From anRecord to the Firm inventory and analysis of the use of each major record category, a manager determines the value of the record to the firm.  This evaluation is used to develop a records retention schedule specifying how long to keep the records in an organization.  Some records are so valuable to a firm that they require special measures of protection.  Each record maintained by a firm falls into one of four categories used to determine how records should be retained and the level of protection they require.  These categories are (1) vital, (2) important, (3) useful, and (4) nonessential  CATEGORIES OF RECORDS University of Nairobi ISO 9001:2008 14 Certified http://www.uonbi.ac.ke  Value of Records  Records serve as the memory of a business.  They document the information needed for complying with regulations and the transactions of an organization.  For example, management policies are developed and recorded to furnish broad guidelines for operating a business.  Each department (for example, Finance, Marketing, Accounting, and Human Resources) bases its entire method of operations upon records.  Usually, records are used and retained because they have one or more of the values listed here to a firm University of Nairobi ISO 9001:2008 15 Certified http://www.uonbi.ac.ke VALUE OF RECORDS  The Significance of Records  Supporting the delivery of services – you may document how policies and statutes are carried out, what services were provided, who carried out the work and how much it cost, and, in the longer term, and an organisation’s accomplishments.  Supporting administration – by providing information for the direction, control, decision-making and coordination of business.  Documenting rights and responsibilities – an organisation needs to provide evidence of the scope of its terms of reference, evidence of what it owns and evidence of its obligations.  Records are important also in documenting the rights of corporate bodies and individuals in matters such as ownership, legacy, etc. University of Nairobi ISO 9001:2008 17 Certified http://www.uonbi.ac.ke  The Significance of Records  Legal documentation – many records comprise formal legal documents – regulations, local orders, etc. – or formal documentation of the relationship between governments and people or institutions.  They may, in this respect, be used in legal undertakings or be required for evidence in a court of law.  Evidence of the work of public authorities – an organisation needs to document the decisions, actions and obligations that it undertakes, and in this way provide accountability measures.  Future research – some of the records an organisation creates and uses will be preserved and will form the contents of archival establishments, providing important historical information on political, social, economic and other issues. University of Nairobi ISO 9001:2008 18 Certified http://www.uonbi.ac.ke  To conduct business in an orderly, efficient and accountable manner;  To deliver services in a consistent and equitable manner;  To support and document policy formation and managerial decision-making;  To provide consistency, continuity and productivity in management and administration  To provide continuity in the event of a disaster;  To meet legislative and regulatory requirements including archival, audit and oversight activities; University of Nairobi ISO 9001:2008 19 Certified http://www.uonbi.ac.ke  To provide protection and support in litigation including the management of risks associated with the existence of or lack of evidence and public safety activity;  To protect the interests of the clients, and present and future stakeholders;  To support and document current and future research, and document activities, developments and achievements, as well as historical research;  To establish and provide evidence of business, personal and cultural identity; and  To maintain the corporate, personal or collective memory. University of Nairobi ISO 9001:2008 20 Certified http://www.uonbi.ac.ke  Historical Development of Records  What are the earliest records of civilization?  Hieroglyphics drawn on rock walls and caves reflect ancient humanity’s need to tell stories.  Museums of the world tell the story of ancient civilizations with artifacts and relics.  How have records evolved from the beginning of time?  Most of the business records before 1600 were based upon simple trade transactions that provided evidence of money received and spent, lists of articles bought and sold, and simple contracts.  These records and any copies were created by hand until the printing press and later the typewriter were invented University of Nairobi ISO 9001:2008 21 Certified http://www.uonbi.ac.ke  Early Records  Until the 1950s when computers were first used in business, records were almost entirely paper documents.  The most important emphasis during this stage in history was getting the records properly placed in the files.  Emphasis on retrieval surfaced later.  Little importance or status was granted to records and to records management functions at this time.  Before World War II, management directed its main business efforts toward work performed in factories and plants.  Usually the plant workforce was large compared with the office staff. University of Nairobi ISO 9001:2008 22 Certified http://www.uonbi.ac.ke  Early Records  Consequently, managers gave their main attention to the factory because the factory produced the salable products that resulted in profits and against which expenses were charged.  In this setting, management assumed that records should be the sole responsibility of the office staff and not managed as an important resource. University of Nairobi ISO 9001:2008 23 Certified http://www.uonbi.ac.ke  RECORDS MANAGEMENT FUNCTIONS  Management is the process of using an organization’s resources to achieve specific goals through the functions of planning, organizing, leading, and controlling.  In records management therefore;  Planning involves establishing goals or objectives and the methods required to achieve them.  With the firm’s goals in mind, organizing involves arranging the tasks, people, and other resources needed to meet the goals set in the planning stage.  Leading refers to managerial behavior (such as training, supervising, and motivating) that supports the achievement of an organization’s goals.  Finally, controlling involves measuring how well the goals have been met.  The lifecycle of records  The life-cycle concept of the record is an analogy from the life of a biological organism, which is born, lives and dies.  In the same way, a record is created, is used for so long as it has continuing value and is then disposed of by destruction or by transfer to an archival institution.  The effective management of records throughout their life cycle is a key issue.  For example, without a management programme that controls records through the earlier phases of their life cycle, those of archival value cannot readily be identified and safeguarded so that they can take their place in due course as part of the nation’s historical and cultural heritage. University of Nairobi ISO 9001:2008 25 Certified http://www.uonbi.ac.ke  The lifecycle of records  In the simplest version of the life-cycle concept -particularly applicable to paper records-, three biological ages are seen as the equivalents of the three phases of the life of a record:  Current – records are regularly used in the conduct of current business and are maintained in their place of origin or in the file store of an associated records office.  Semi-current – records are still used, but only infrequently, in the conduct of current business and are maintained in a records centre.  Non-current – records are no longer used for the conduct of current business and are therefore destroyed unless they have a continuing value for other purposes, which, for example, may merit their preservation as archives in an archival institution. University of Nairobi ISO 9001:2008 26 Certified http://www.uonbi.ac.ke  The lifecycle of records  This concept of the life cycle has been seen to be difficult to apply to electronic records.  It is true to say that the boundaries between the three phases become very blurred in an electronic context.  For example, electronic records that may still have use in the conduct of current business may need to be captured for preservation because the systems on which they were created and maintained are being replaced.  It has also been said that the life cycle concept perpetuates the division of responsibility between records managers and archivists which is untenable in the modern era of record keeping.  In order to overcome these two criticisms a concept of the record continuum has been formulated in recent years. University of Nairobi ISO 9001:2008 27 Certified http://www.uonbi.ac.ke  The lifecycle of records  The facilities where records of an organization are preserved because of their continuing or historical value are called the archives.  The record life cycle is an important concept in records and information management.  Many interrelated parts must work together for an effective records and information management program.  Knowing the meaning and importance of each part of the entire record life cycle, will enable you to understand what is needed to manage both print and digital records. University of Nairobi ISO 9001:2008 28 Certified http://www.uonbi.ac.ke  The record lifecycle University of Nairobi ISO 9001:2008 29 Certified http://www.uonbi.ac.ke  THE RECORD CONTINUUM CONCEPT  The continuum concept defines a consistent and coherent process of records management throughout the life of records, from the development of record keeping systems through the creation and preservation of records to their retention and use as archives.  It suggests that four actions continue or recur throughout the life of a record:  identification  intellectual control  provision of access  physical control. University of Nairobi ISO 9001:2008 30 Certified http://www.uonbi.ac.ke  The Records Continuum concept  According to the continuum concept, the distinction between records management and archives management need not be rigidly maintained.  From this principle a unified model has been developed.  The model reflects the pattern of a continuum.  Four actions continue throughout the life of a record and cut across the traditional boundary between records management and archival administration. University of Nairobi ISO 9001:2008 31 Certified http://www.uonbi.ac.ke  Records / Archives Continuum  These are:  the creation or acquisition of the record;  its placement within a logical, documented system that governs its arrangement and facilitates its retrieval throughout its life;  its appraisal for continuing value, recorded in a disposal schedule and given effect at the due time by appropriate disposal action;  its maintenance and use, that is, whether it is maintained in the creating office, a records office, a records centre or an archival repository, and whether the use is by its creator or a successor in function or by a third party, such as a researcher or other member of the public. University of Nairobi ISO 9001:2008 32 Certified http://www.uonbi.ac.ke  Records / Archives Continuum University of Nairobi ISO 9001:2008 33 Certified http://www.uonbi.ac.ke  RECORDS APPRAISAL  The term ‘appraisal’ is used to mean the process of deciding what records need to be kept for continuing business use and for historical preservation.  Appraisal is the process of evaluating an organisation’s activities to determine what records should be kept, and for how long, to meet the needs of the organisation, the requirements of government or other accountability, and the expectations of researchers and other users of the records. University of Nairobi ISO 9001:2008 34 Certified http://www.uonbi.ac.ke  Records Appraisal  It may also be used to determine what records need to be created and captured into record keeping systems.  Deciding what records should be kept and for how long is an important task for public sector bodies.  A feature of government in the twentieth century has been the phenomenal growth in the quantity of records generated.  The advent of the information age and electronic records has only accelerated this process. University of Nairobi ISO 9001:2008 35 Certified http://www.uonbi.ac.ke  Records Appraisal  Appraisal is not just the process of determining the medium- to long-term value of a record.  It also involves determining what the records are (or what they will be once they are created), who creates them and why, how they relate to the creating agency’s functions and to other records, how, when and by whom they are used.  Once all this information is known, the continuing utility or enduring value of the records can be assessed.  The appreciation and analysis of the context of a record is a vital part of the overall process of appraisal. University of Nairobi ISO 9001:2008 36 Certified http://www.uonbi.ac.ke  Making decisions on the continuing utility of records for an organisation’s own purposes is, in effect, risk management.  In other words records and information managers must weigh relative costs, such as the actual financial cost of retaining records on the off-chance that the information will again be used against the loss of effectiveness or accountability by not having the information available.  This is not the same as saying that regulatory requirements, such as audit, can be ignored if there is only a small chance that particular records may be required for regulatory purposes.  University of Nairobi ISO 9001:2008 37 Certified http://www.uonbi.ac.ke  One of the aims of records management is to ensure that regulatory requirements are met.  Any records that might be needed for audit must therefore be retained until the audit period is over.  The process of appraisal is important to ensure that the records that should be kept are kept for as long as they are required – either for finite, identified periods or as archives – and that disposal decisions are properly justified and documented University of Nairobi ISO 9001:2008 38 Certified http://www.uonbi.ac.ke  APPRAISAL PROCEDURES  Records appraisal must not be an ad hoc exercise.  It should not be undertaken in a hurry when the quantity of records has outgrown the storage space available or when an organisation has to move to new accommodation.  If it is done in such an unplanned, non-systematic manner, the wholesale, uncritical destruction of records may take place.  Similarly it is often the case that records are examined item- by-item in order to separate current, semi-current records and non-current records – a very time-consuming exercise.  Some of the non-current records may then be offered to an archival institution for appraisal to determine whether any of them have historical value. University of Nairobi ISO 9001:2008 39 Certified http://www.uonbi.ac.ke  Several different systems of appraisal have been formulated over the years.  The objective of appraisal is threefold  to identify those records of continuing use to the functions and activities of the organisation  to aid the selection of records that document the history of the organisation/sector (it’s ‘memory’), and  the provision of records for historical research  Three methodologies among others used for appraisal are discussed below University of Nairobi ISO 9001:2008 40 Certified http://www.uonbi.ac.ke  1. File-by-file Review  This involved only paper records.  It is done in two stages/reviews:  The First Review is mainly the provenance of the records manager of the organisation where records are held.  The Second Review is a joint operation between the Records manager and staff.  Going through individual files is labour intensive.  No matter how knowledgeable the records manager might be, it is not possible to find enough time to deal with all the records of a modern government department in this two-stage way. University of Nairobi ISO 9001:2008 41 Certified http://www.uonbi.ac.ke  2. Macro Appraisal  Macro appraisal methodologies have gained greater prominence with the increased creation and use of electronic information.  Far more electronic records are being created than the print.  Working patterns have changed over the years and there is more unquenchable thirst for more information.  Electronic systems will often create information automatically and may not present it in the form we want to use it.  This mass of information cannot be appraised in the same way as paper records.  Therefore, a higher level evaluation needs to take place. University of Nairobi ISO 9001:2008 42 Certified http://www.uonbi.ac.ke  This may mean losing some information that might normally have been selected in paper methodologies or even selecting some information that would normally have been discarded with traditional methodologies.  The electronic records manager needs to strike a balance between this possible loss and losing all the information by not appraising in time. University of Nairobi ISO 9001:2008 43 Certified http://www.uonbi.ac.ke  The macro approach involves:  Examining the background to the organisation – the legislation under which it operates and its administrative history.  Analysing the organisation’s structure to establish what it did, how it did it and why it did it; also what it does now and how it does it.  Identifying relationships with other organisations and with stakeholders. University of Nairobi ISO 9001:2008 44 Certified http://www.uonbi.ac.ke  Micro appraisal focuses on the record and information structure  It can be defined as assessing the value of records at an organisational, departmental or unit level rather than at an individual document or file level.  The methodology requires the examination of an organisation’s structure, what it did, how it did it, why it did it, what it does now and how it does it.  The focus is on identifying what parts of the organisation contain information that is likely to be of long-term value. T University of Nairobi ISO 9001:2008 45 Certified http://www.uonbi.ac.ke  3. Functional Appraisal  Functional appraisal may be seen as a subset of macro appraisal.  Its central argument is that records do not have intrinsic value but take their value from the importance of the function that produces them.  Assessment of the value of functions is seen as a more objective approach than trying to assess the possible future research value of a subject.  In functional appraisal, therefore, it is necessary to focus on organisations and what they do.  The main aspect of this approach is to understand the context in which the records were created – a functional analysis. University of Nairobi ISO 9001:2008 46 Certified http://www.uonbi.ac.ke  There are three levels of an organizations business operations to be considered when carrying out functional appraisal:  Functions  The main areas of responsibility through which an organisation achieves its goals; they are usually stated in statutes and annual reports.  Activities  These are the major areas of work that need to be done to carry out the function; these can be obtained from an analysis of the functions or from documentary sources such as annual reports, organisation charts and manuals.  Transactions  They are the specific actions necessary to ensure that the activity is made operational.  It is at this level that most records are created. University of Nairobi ISO 9001:2008 47 Certified http://www.uonbi.ac.ke  The main activities in the appraisal may include:  Collection of information from documentary sources and interviews.  Identification and documentation of each business function, activity and transaction: assigning terms to functions and activities, defining the scope of functions and activities, and assigning dates to functions and activities.  Development of a business classification scheme.  Linking stakeholders to to functions and activities.  Assessment of risk.  Recording findings.  Validation. University of Nairobi ISO 9001:2008 48 Certified http://www.uonbi.ac.ke  RECORDS CREATION  The overall purpose of creating, using and managing records is to support the business of an organisation  Each operational/business unit of an authority should have in place an adequate system for documenting its activities.  This system should take into account the legislative and regulatory environments in which the authority works.  Records of a business activity should be complete and accurate enough to allow users to undertake appropriate actions in the context of their responsibilities, to:  facilitate an audit or examination of the business by anyone so authorised,  protect the legal and other rights of the authority, its clients and any other person affected by its actions, and  provide authenticity of the records so that the evidence derived from them is shown to be credible and authoritative. University of Nairobi ISO 9001:2008 49 Certified http://www.uonbi.ac.ke  Record creation should be based on the business needs of an organization, the benefits to be gained by that organization, relevance to the external requirements and means of access and use.  The records so created are meant to support an organization’s functions and tasks in various units for effective day-to-day operations.  Regardless of the media on which the records are kept, it is the responsibility of each Organisation to ensure that all records are complete, reliable, authentic and available.  In addition, Organisations must be satisfied that all records are kept in an accessible format: The records must: University of Nairobi ISO 9001:2008 50 Certified http://www.uonbi.ac.ke  provide adequate evidence of the conduct of business to account for a financial transaction including reasons for any decision(s) necessary for that transaction to take place;  contain verifiable evidence that all transactions were appropriately undertaken and where necessary were properly authorised;  provide complete information to document the transactions;  comply with regulatory and accountability record-keeping requirements; and  be comprehensive and document the complete activity i.e. contain a full audit. University of Nairobi ISO 9001:2008 51 Certified http://www.uonbi.ac.ke  Organisations should have in place a process for documenting its records management activities.  Records should accurately reflect communications, decisions and actions taken to:  allow employees and their successors to undertake appropriate actions in the context of their responsibilities,  facilitate an audit or examination of the Organisation by anyone so authorised;  protect the legal and other rights of the Organisation, its staff and any other people affected by its actions; and  provide authentication of the records so that the evidence derived from them is shown to be credible and authoritative. Records should be arranged in a record-keeping system that will enable the Organisation to ensure the quick and easy retrieval of information. University of Nairobi ISO 9001:2008 52 Certified http://www.uonbi.ac.ke  RECORDS RETENTION  Determining which records should be kept, how long they should be kept, and how they are dispositioned (destroyed or stored permanently) are critical activities that are governed by approved policies and procedures.  Records retention procedures and policies are valuable components of a comprehensive RIM program.  Through these procedures and policies, an organization can assure that records are available for recommended periods.  A basic records control tool is the records retention schedule, which is a listing of an organization’s records along with the stated time that categories of records must be kept. University of Nairobi ISO 9001:2008 53 Certified http://www.uonbi.ac.ke  DISPOSAL SCHEDULES  Disposal schedule is the most important element of any records management system.  Disposal schedules provide better control over records and promote a more efficient record keeping system.  The schedules cover series or collections of records for which a retention period can be determined and agreed upon between an organisation’s business manager and the records manager.  The schedules identify and describe each record collection or series and not the individual records they contain.  If possible, all the records of an organisation should be covered by disposal schedules. University of Nairobi ISO 9001:2008 54 Certified http://www.uonbi.ac.ke  Benefits of Disposal schedule  Disposal schedules have far-reaching benefits:  Faster retrieval of important records from systems due to the early elimination of records of no further value.  Clear instructions on what happens to records when they are no longer needed to support the organisation’s business.  Definitive periods of time for which records should be kept and remain accessible.  Consistency in retention of records across the organisation  Compliance with legal and regulatory requirements.  Evidence of what records were created but destroyed.  Highlighting of records that require special handling due to sensitivity.  Identification of historically important records at an early stage.  Elimination of duplicate records at the earliest possible opportunity. University of Nairobi ISO 9001:2008 55 Certified http://www.uonbi.ac.ke  Components of a Disposal Schedule  The name of the department/operational area or unit.  A schedule reference number.  Reference numbers (if applicable) of the records.  Descriptions of the record series/collections.  Disposal action/retention period.  Date of the schedule.  Signatures of the Records Manager and Business Manager.  Disposal action will either be to destroy or select for permanent preservation in an archives. University of Nairobi ISO 9001:2008 56 Certified http://www.uonbi.ac.ke  Basic Procedures for Destruction Non-sensitive files/records Rubbish bin Information in public domain Non-senstive files/records Torn into small pieces, bagged for Files/records not available to the collection by approved disposal firm public Sensitive records restricted Strip shredded, bagged for collection by approved disposal firm Sensitive records confidential Strip shredded, bagged for collection by approved disposal firm Secret and Top Secret Cross-cut shredded bagged for collection by approved disposal firm Optical/Magnetic Media/Digital The organization’s Data Security Policy should be consulted and followed in relation to the disposal University of Nairobi of such ISO media 57 Certified 9001:2008 http://www.uonbi.ac.ke  Records not selected for archival preservation and which have reached the end of their administrative life should be destroyed in as secure a manner as is appropriate to the level of confidentiality or protective markings they bear.  This can be undertaken on site or via an approved contractor.  It is the responsibility of the Organisation to ensure that the methods used throughout the destruction process provide adequate safeguards against the accidental loss or disclosure of the contents of the records.  Contractors, if used, should be required to sign confidentiality undertakings and to produce written certification as proof of destruction. University of Nairobi ISO 9001:2008 58 Certified http://www.uonbi.ac.ke  Destruction should follow the standard set for secure destruction of confidential material.  A record of the destruction of records, showing their reference, description and date of destruction should be maintained and preserved by the Records Manager, so that the organisation is aware of those records that have been destroyed and are therefore unavailable.  Disposal schedules would constitute the basis of such a record. University of Nairobi ISO 9001:2008 59 Certified http://www.uonbi.ac.ke  Appraisal of Records  Appraisal, commonly referred to as reviewing, refers to the process of determining whether records should be permanently preserved.  Records are examined or reviewed in order to determine if they should be destroyed, retained for further consideration, or permanently preserved.  This is because their full value could not be determined at an earlier stage.  Procedures should be put in place in all Organisations to ensure that appropriately trained personnel appraise records at the appropriate time. University of Nairobi ISO 9001:2008 60 Certified http://www.uonbi.ac.ke  Records should be kept for as long as they are needed to meet the operational needs of the Organisation, historical/research purposes, and legal and regulatory requirements.  The Records Management Officer within the Organisation should decide the most appropriate person(s) to carry out file review(s) in line with the Organisation’s Disposal Schedule.  This should be a Senior Manager with an understanding of the subject area.  The reviewing officer should: University of Nairobi ISO 9001:2008 61 Certified http://www.uonbi.ac.ke  understand the business process and the importance of the records to that process;  assess its importance as evidence of what was done, why, when, where and by whom which forms the basis for public and internal accountability;  understand the legal or regulatory retention requirements that must be complied with and what records need to be retained in order to do so;  determine its value as a source of information about the Organisation, its operations, relationships and environment;  consider only the administrative value of the records and ask these useful questions to arrive at their decision: University of Nairobi ISO 9001:2008 62 Certified http://www.uonbi.ac.ke  1. Is there a continuing need to retain this record for the conduct of day-to-day business?  2. Is there clear evidence of a future need for constant reference to this record?  3. Will it be needed to deal with enquiries in the future?  4. How many enquiries are likely?  5. Is the information needed for statistical analysis within the organisation?  6. Are there bodies of statistical information upon which future policies and forecasts may be based? University of Nairobi ISO 9001:2008 63 Certified http://www.uonbi.ac.ke  7. Is the information required for conducting legal proceedings in the event of a legal action being taken by, or against the Organisation?  8. Is there a legal requirement to retain these records (e.g. Health and Safety regulations)?  9. Is there a financial need to retain these records (e.g. for audit purposes)?  10. Is there a professional reason (e.g. continuity of care, research, audit)?  11. Is the information significant because it provides precedents or is required for authorisation purposes?  12. Is the information otherwise available whether within the organization, or in published form?  13. Are there unsubstantiated allegations which need to be removed? University of Nairobi ISO 9001:2008 64 Certified http://www.uonbi.ac.ke  CAREERS IN RIM  Opportunities to work with records exist in every type and size of office.  In a small office with one administrative assistant and an owner/manager, working with records occupies much of the time of both people.  In this setting, opportunities for records work are unlimited.  Another potential career connected to records and information management is the marketing of records supplies and storage equipment.  Offices need the paper, folders, file cabinets, shelves, and other supplies and equipment that are necessary for records storage and retrieval.  Office supply vendors are an important resource to a records and information management department.  A career as a marketing service representative for an office supplies company offers growth opportunities. University of Nairobi ISO 9001:2008 65 Certified http://www.uonbi.ac.ke  Careers in RIM  Larger firms with more specialized staff often employ records supervisors who direct the work of several records clerks.  Levels of records workers found in these firms may include:  1. Managerial level, where the top position is the records manager who is responsible for directing the entire program.  2. Supervisory level, which includes specialists responsible for operating the records center, supervising the design and use of business forms, and directing the creation and use of physical and electronic records.  3. Operating level, which includes those workers responsible for routine filing and retrieving tasks, and assisting with vital records and records retention work. University of Nairobi ISO 9001:2008 66 Certified http://www.uonbi.ac.ke  Careers in RIM  Companies that place a high value on their information resources have created positions to oversee all information-related departments, including Records and Information Management.  These positions are variously titled “Chief Information Officer” (CIO) or “Chief Knowledge Officer” (CKO) or “Records Manager”.  Because of the potential liability due to the unlawful disclosure of confidential records, some government agencies have created an Information Security Program Manager position. University of Nairobi ISO 9001:2008 67 Certified http://www.uonbi.ac.ke  Careers in RIM  Many experienced records and information management professionals have become Certified Records Managers (CRMs) by attaining certification that represents a standard by which persons involved in records and information management can be measured, accredited, and recognized according to criteria of experience and capability established by their peers.  Each individual is experienced in active and inactive records systems and related areas such as archives, computer technology, micrographics, and optical disk technology.  The CRM designation is earned by meeting both educational and work experience requirements and by passing the required examinations. University of Nairobi ISO 9001:2008 68 Certified http://www.uonbi.ac.ke  Careers in RIM  Many organizations are outsourcing portions of their records and information management services such as inactive records storage.  Because inactive records may be kept for a long period of time but may not be referenced often, records storage facilities are usually located off site in lower rent locations.  Many companies offer storage and retrieval services for several types of businesses.  Career opportunities exist in these records and information management service businesses.  Information on the records and information management profession is available in publications and websites of the various professional associations specializing in the records and information management profession. University of Nairobi ISO 9001:2008 69 Certified http://www.uonbi.ac.ke  RIM COMPETENCIES  Competencies describe what people do in the workplace at various levels and specify the standards for each of those levels; they identify the characteristics, knowledge and skills possessed or required by individuals that enable them to undertake their duties and responsibilities effectively and thus to achieve professional quality standards in their work; and they should cover all aspects of records management performance – particular skills and knowledge, attitudes, communication, application and development.  Three kinds of competence are used in this framework: University of Nairobi ISO 9001:2008 70 Certified http://www.uonbi.ac.ke  RIM Competencies  Core Competencies – these are competencies relating to a records management organisation’s strategic priorities and values.  They will be applicable to all records management staff.  Functional Competencies – these describe the role-specific abilities required and usually relate to professional or technical skills.  Managerial Competencies – these competencies reflect the managerial activity and performance required in certain records management roles. University of Nairobi ISO 9001:2008 71 Certified http://www.uonbi.ac.ke  RIM Competencies  With the increasing recognition of the importance of the role of records management in organisations, the allocation of responsibility for the function has also become important.  The records manager is the person assigned the responsible for providing advice and guidance on the management of the organisation’s records from the moment they are created until the time of their destruction or preservation in an archive.  A Records Manager must be aware of and control all records created and received within an organisation, whether these are part of a formal structure of files or unstructured folders, photographs, films, videos, sound recordings, electronic material, etc. University of Nairobi ISO 9001:2008 72 Certified http://www.uonbi.ac.ke  RIM Competencies  In many organisations it would be desirable for the Records Managers to include in their competencies an archival function.  This is particularly the case where there is no central source of archival advice upon which organisations can call.  Organisations today are creating electronic and paper records in greater and greater quantities.  In order to ensure records are to retain their administrative use and archival value, records managers must be significantly involved with the record-creating process itself, rather than be passive recipients of records that may no longer be authentic or reliable. University of Nairobi ISO 9001:2008 73 Certified http://www.uonbi.ac.ke  RIM Competencies  Records managers must also become more involved with and understand the processes that lead to the creation of records.  It is not sufficient to study the record and its physical nature and characteristics.  Records professionals must understand the business functions, activities and working practices that cause documents to be made, used and maintained.  For example, it is no use designing a classification scheme that does not match the business processes that give rise to the records to be classified.  This is yet another reason illustrating the need for records management to be recognised as a specific corporate function within an organisation. University of Nairobi ISO 9001:2008 74 Certified http://www.uonbi.ac.ke  RIM Competencies  The increasing use of and reliance on electronic records and information, the higher expectations of people seeking and using information and the immediacy of freedom of information processes have meant that all staff in an organisation need to be more aware of good record keeping practices.  The records manager should maintain regular contact with the archive repository so that those records which have historical and research value are properly earmarked and selected for preservation. University of Nairobi ISO 9001:2008 75 Certified http://www.uonbi.ac.ke  RIM Competencies  In conclusion, records do not just materialise on desks, in filing cabinets or on computer drives and servers; people create them and put them there and people have to manage them in such a way that when the information in them is required, they will be made available at the right time.  The management of records requires a professional approach on the part of the staff of any organisation. University of Nairobi ISO 9001:2008 76 Certified http://www.uonbi.ac.ke  RECORDS CENTRE OPERATIONS  It is crucial to ensure that a records centre provides general services to all parts of the organisation.  The record center should be a high-density, low-cost storage area, equipped with a system for retrieving and consulting the records held.  The records centre receives and makes available all records that have any continuing use, regardless of their bulk or form.  The centre should be safe, secure, clean, efficient and economical. University of Nairobi ISO 9001:2008 77 Certified http://www.uonbi.ac.ke  It should be capable of holding all designated semi- current records in all media and able to provide a dependable retrieval service.  It is a fundamental rule that no records should be transferred to a records centre unless appraisal has taken place and there is an action date attached to the records.  Records that are deposited in a records centre and that have no date for disposal or review soon become forgotten about and store up extra work for the future. University of Nairobi ISO 9001:2008 78 Certified http://www.uonbi.ac.ke  The records centre should also be orderly.  This means that the records kept in it must be in proper order on the shelves, so that any record can be found at any time with a minimum of delay.  Records should be kept in proper containers or wrappings, clearly labeled with their reference codes.  There should be suitably adapted storage facilities for records not in conventional format, such as maps and plans, photographs, audiovisual material and electronic records. University of Nairobi ISO 9001:2008 79 Certified http://www.uonbi.ac.ke  There is need to weigh up the cost of spending a lot of money on storage of semi-current records against the possibility that the majority of them will be destroyed.  Therefore, identify those records that are have historical value (and thus likely to be selected for permanent preservation after the appraisal process)?  Ensure that these are given a little more attention than those that are likely to be destroyed after appraisal.  There is no need spending money to protect records that are transferred to the records centre with specific destruction dates. University of Nairobi ISO 9001:2008 80 Certified http://www.uonbi.ac.ke  SECURITY  It is not good to contemplate transferring records to a records centre if it is not completely secure.  A high level of security must be maintained both externally and internally at all times.  It is important that all users of the records centre know that the facility is safe and secure.  A records centre must be:  externally secure;  environmentally secure so that records and information can be maintained in a usable state for long periods; and  clean and orderly. University of Nairobi ISO 9001:2008 81 Certified http://www.uonbi.ac.ke  Un-authorised persons should not gain access to records in the records centre.  All of the storage conditions and access controls in the records centre should conform to the same requirements that were in force when the records were current.  In some cases it may be necessary for a special area to be set aside for confidential records, in order to satisfy business security concerns.  These areas should be separated from the rest of the storage area by a locked enclosure, and access should be restricted to staff who have been specially authorised for this purpose. University of Nairobi ISO 9001:2008 82 Certified http://www.uonbi.ac.ke  However, records management staff should seek to declassify records according to regulations and guidelines whenever possible.  Obsolete restrictions should not remain effective, preventing the full and appropriate use of the information in the records.  Everyone in the records centre should be identifiable.  Usually, all people in the facility are required to wear a visible identity card.  Staff should wear a card carrying their photograph, and visitors should wear a temporary identification card issued to them at the entrance. University of Nairobi ISO 9001:2008 83 Certified http://www.uonbi.ac.ke  Anyone on site without a visible identity card should be challenged.  The entrance to the records centre should have a prominent notice that no un-authorized persons are permitted.  Intruder alarms should connect automatically with the appropriate police or security authorities.  Keys to the building should be controlled by the centre manager who should keep a record of all keys issued to personnel. University of Nairobi ISO 9001:2008 84 Certified http://www.uonbi.ac.ke  If push-button control pads or combination locks are used, the manager should take care to control the security codes used. These ought to be changed on a regular basis (like you are required to change the password on your computer at frequent and regular intervals).  All external doors must be kept locked, subject to health and safety regulations.  Keys should be numbered and kept in a locked security cabinet.  Spare keys for use in an emergency should be kept in a location set out in the business recovery plan. University of Nairobi ISO 9001:2008 85 Certified http://www.uonbi.ac.ke  The records centre should be isolated from any dangers that might threaten the safety of the records, including fire, flood or natural disaster.  This system of isolation should be supported by the installation of automatic alarm systems and by constant monitoring of the area.  Smoke, fire and flood alarms should connect with the appropriate fire service.  Staff should be trained in the use of extinguishers and should know what to do in an emergency.  All alarm systems should be tested regularly. University of Nairobi ISO 9001:2008 86 Certified http://www.uonbi.ac.ke  Note that records stores are not equipped with sprinkler systems.  It is generally accepted that the water from such systems will, in the event of a fire, do more damage to the records than a fire.  Much better to use hoses and fire extinguishers with a smoke detection system.  Boxes of records transferred to the records centre should themselves carry no markings that give a direct indication of their contents.  Usually the reference numbers of the records contained therein is sufficient for retrieval purposes.  This form of anonymity is one of the best forms of security as far as access to records is concerned. University of Nairobi ISO 9001:2008 87 Certified http://www.uonbi.ac.ke  The records centre must be clean.  This means that the records in it must be protected from damage by dirt, insects or rodents or infestation by moulds.  To maintain cleanliness, no one should be allowed to eat or bring food into the records centre.  Smoking must be prohibited in the records centre at all times, and there should be prominent notices to this effect.  The records centre should be cleaned, dusted and inspected on a regular basis. University of Nairobi ISO 9001:2008 88 Certified http://www.uonbi.ac.ke  STORAGE OF RECORDS  The majority of semi-current records will be destroyed.  However, with good investment in records storage facilities, records will remain accessible for business purposes and the future need for conservation work on those records that will be transferred to archival storage will be lessened.  Good or best practices in records storage will factor the following:  Environment  Lighting  Shelving and boxing University of Nairobi ISO 9001:2008 89 Certified http://www.uonbi.ac.ke  Storage Requirements for  Maps and Plans Records  Maps and plans are best kept in plan cabinets equipped with drawers or in vertical plan cabinets equipped with hangers.  If these are not available, cardboard tubes should be used.  For permanent preservation, maps, plans and drawings are usually wrapped around the outside of core tubes.  In a records centre it would be acceptable to roll the maps, plans or drawings inside cardboard tubes, as this tends to protect them from accidental damage during use.  This practice would be especially appropriate for maps, plans or drawings that are not destined for permanent preservation. University of Nairobi ISO 9001:2008 90 Certified http://www.uonbi.ac.ke  Photographs  Photographs should be kept in acid-free folders, individually, and kept in a controlled environment.  It is also important that links between photographs and other records be retained; it is often impossible to understand what a photograph depicts unless the contextual documents reveal this information. University of Nairobi ISO 9001:2008 91 Certified http://www.uonbi.ac.ke  Film  Cinematograph film also requires special storage conditions.  If the film is nitrate based, it should not be accepted into the records centre under any circumstances, as it poses a significant fire risk.  If the film is on safety stock it may be accepted for storage under controlled conditions.  These records, like any others, should be subject to appraisal and have an action date for destruction or transfer to the archival repository. University of Nairobi ISO 9001:2008 92 Certified http://www.uonbi.ac.ke   Audio Tape  Audio tape requires the same storage conditions as films. Consideration should be given to keeping equipment on which the tape can be played in the records centre.  Video Tape  Video tape should be stored in conditions similar to those used for electronic records University of Nairobi ISO 9001:2008 93 Certified http://www.uonbi.ac.ke  Electronic Records  Provisions for the storage of electronic records in the records centre should conform to up-to-date industry standards.  In general, electronic records should be stored in areas free of dust and magnetic fields and protected from fluctuations in temperature and humidity. University of Nairobi ISO 9001:2008 94 Certified http://www.uonbi.ac.ke  STORAGE OF RECORDS University of Nairobi ISO 9001:2008 95 Certified http://www.uonbi.ac.ke