FUNDAMENTAL OF RECORDS MANAGEMENT -Notes TOPIC 2 ..pptx

records management

1. FUNDAMENTAL OF RECORDS. MANAGEMENT, RIT(05101) ODR IM I FACILITATOR: MS ZAINA AMIRI OMARI PHONE NUMBER: 0654101063 OR 0622960245 EMAIL ADRESS: [email protected] OFFICE NUMBER: 17 NEW LIBRARY (IAA) INSTITUTE OF ACCOUNTANCY ARUSHA. Prepared by Ms Zaina Amiri Omari .

2. LECTURE 2. CONCEPT OF RECORDS LIFE CYCLE.

3. Records life cycle 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 lifecycle of records is divided into three phases namely:- current phase, semi-current phase and non-current phase.

4. Records lifecycle refers to the stages that each record must go through and be managed during its lifespan. The lifecycle of records consists of three major stages: creation or receipt, distribution and use, and disposition.  The lifecycle is based on the notion that some records retain their value for a longer period of time than others and that the value of records frequently changes throughout time. A record with permanent retention, for example, retains its worth indefinitely, but a record with three-year retention loses its value totally after three years .

5. RECORDS MANAGEMENT LIFE CYCLE .

6. STAGES OR STEPS OF RECORDS LIFE CYCLE. i . Creation or Capture ( ACTIVE STAGE ) Management of creation and capture of all types of correspondences, issuances, reports and records necessary in the conduct of the official function of the office. ii. Maintenance and Use ( SEMI-ACTIVE STAGE ) Registration Tracking Classification. Coding and Indexing Access and Security Classification Storage and Handling Inventory, Appraisal and Scheduling iii. Disposition ( NON-ACTIVE STAGE ) Transfer to Records Center/Archives or Disposal.

7. i. Creation or capture ( ACTIVE or CURRENT STAGE ). Process of identifying which records should be created/captured in paper and digital form, including records received by the organization. The first stage in the records lifecycle is creation. It refers to the reproduction or production of recorded or documented data. This stage begins with the creation or receipt of a record. For example, you may write a financial report (creation) or receive a memo by email (receipt).

8. Records must be created in the finest format available, and they must be of high quality, accurate, valid, and dependable. They may be created in different ways within organizations. Compose and send emails Creation of any MS office document types such as word, presentations, spreadsheets, etc. Transaction within an enterprise system The receipt of word documents, emails, excels, and so on Records are considered active at this stage.

9. In creation/capture the aim is to identify and assess the following,. the requirements of the organization or business units for records that provide evidence and information for operational use and collective memory and that the evidence can support accountability the costs of creating/capturing and maintaining the required records, and the risk to the organization if it does not have those records

10. Features of current or active phase. Records are kept at Registry Records are received from outside or created during the business processes Records users are designated officers within the organization only Records are used in day to day activities Records are always have primary value Records are managed by RMA’s

11. ii. Maintenance and use. ( SEMI- ACTIVE STAGE ). Stage two , of the records lifecycle is called “ Maitainance , Distribution & Use”. After a record is created or received, it passes through a maitainance , distribution and usage phase. The distribution in the life cycle of a record includes both internal and external distribution and the impact on the entire or a portion of a business.

12. While many records may be disposed of after their initial use, others are required to be kept for a longer period of time for legal, fiscal, or other administrative reasons. Since immediate access to these records is no longer required during this phase, they are typically stored offsite or offline so as can easily accessible location for easy access and use. The record might be kept for a few hours or years, depending on the retention schedule .

13. Registration, evidence that a record is created or captured in a records system; Involves recording brief descriptive information about the record in a register or logbook or registration system, and assigning the record a unique identifier.

14. Tracking Process of documenting the movements and use of records so that their whereabouts are known at all times. Tracking System - monitors the physical movement of records, control the issue of records and document their transfer between.

15. Classification and coding Classification System , A predetermined logical scheme for the physical and intellectual arrangement, storage and retrieval of records. Coding Scheme A representation of a classification scheme, in letters or numbers and in accordance with a pre-established set of rules.

16. Access and Security Classification Determining access classification as: open access records or restricted access records Personal information Confidential information Privilege information

17. Storage and handling Records require storage conditions and handling processes that take into account their specific physical and chemical properties. Archival records require higher quality storage and handling Storage conditions and handling processes should be designed to protect records from unauthorized access or loss and from theft and disaster

18. Appraisal and disposition Refers to the study of records, their relationships and contents, to determine their time and utility values. Time Value Permanent Temporary

19. Inventory Descriptive listing, generally by records series and subseries, of all the records created, received and maintained by an organizational unit, indicating fields such as reference code, period covered, volume/quantity, location, frequency of use, duplication, format, arrangement, access restrictions, vital records status, time and utility values, and retention period.

20. Appraisal The process of assessing records and identifying which are to be kept permanently as archives and which are to be kept for a specific period until these can be destroyed or removed permanently.

21. Scheduling The process of prescribing RETENTION PERIOD of records for the development of a Records Disposition Schedule Retention Period –length of time as provided by existing legislation, administrative procedure or regulation or based on predetermined length of need or use

22. Features of semi- current stage. Records are received from records office Records are kept in low-cost storage area (Record center) Records are only accessed for reference by the creating office Records are infrequently used Appraisal and Disposal activities is done Records are managed by Records Centre Staffs (RMA’s)

23. iii. Records disposition (NON -ACTIVE STAGE). The last stage of the records life cycle is the disposition and involves records being destroyed. When inactive  records retention periods  expire, the records life cycle comes to an end. Now that the records are no longer required, the record can be deleted or transferred to archives. At the end of a record’s lifecycle, the records management team must determine whether to destroy or keep the record. Records must be  disposed  of properly to avoid future issues, whether this involves transferring them to archive storage, another organization, or fully destroying them.

24. Destruction can be carried out in a variety of methods, including, but not limited to: Disposing of in the bin Shredding of paper document Deleting of electronic document Shredding of optical disk

25. Features of non -current stage Records are received from the records center, private offices and from individuals They are kept in Archival Institution They are no longer used in current business transaction. Always have secondary value

26. Records are basically used for reference, evidential, historical and research purposes Records can be accessed by the general public in accordance with access policy They are managed by Archivist

27. Importance of records life cycle. 1. Help the records managers to have a clear perspective of managing records as a continuous process whereby each stage complement the other. 2. Helps records managers to make prior decisions whether to create records or not by making judgment of the values of the records and information that is present.

28. 3. Helps records managers to make retention scheduling of records at the right time and appropriately 4. Helps the records managers to understand in advance in what media the records could be created 5. Recognize the values of records in each stage of its lifecycle

29. END OF TOPIC 2 ANY QUESTION?? THANK YOU FOR YOUR EFFECTIVE LISTENING.