LIS 111 Introduction to Records Mgt.

and Archives

Topic: Managing Current Records

Learning Objectives

By the end of the module, students should be able to:

1. discuss the creation of records and its characteristics.

2. identify the simple filing system, use and tracking records, security, and
vital records.

Introduction

This module Managing Records intended to understand the

creation of records and its characteristics. It also explore the simple
filing of the records, use and tracking, security, and to identify the
vital records.

Lesson 1. Managing current records

In contemporary organizations records, especially digital

records, are created at an incredible rate. They can be used, deleted
and misplaced without any organizational control. Much of what end-
users think of as records are in fact non-record information ,
ephemeral records or drafts. Amongst other possibilities, record scan
be created in the computer system, received in paper copy from
outside the organization, formally drawn up on paper or be the result
of hand-written amendments to paper print-outs.
 Creation

Most people create records in the course of their work and those
who can’t will create or least received in their private lives. Creations
is act of documenting events, activities and decisions. In the paper
world it involved writing by hand, or typing, and possibly validating
it in some way for example, with a seal or a signature. In the digital
era creation happens when documents are saved onto the system,
hard drive or mobile device. Validations is possible, but electronic
signature are generally only used for a very few records where this
form of guarantee is important. Table 2.1 gives a few examples of
record-creating acts, together with a suggestion of what the resulting
record would look like and where it might be located.

Table 2.1 Acts of record creation

Act Record(s) Medium Locations(s)
Filling out and  Cheque Paper  Account-holder-
signing a cheque  Cheque payee-payee’s bank-
stub account- holder’s
bank
 Account-holder’s
cheque book
Registering  System- Digital  Trainer’s e-mail
online to generated system
participate in a email to  Participant’s sent mail
training course trainer
Writing and  Digital Paper and  Company’s computer
signing a letter draft digital system
to policy-holder  Paper  Company’s policy-
confirming signed holder’s file
insurance original  Policy-holder’s own
contract records
  Paper copy
of signed
original

List of Classic Characteristics of Creation of Records

 Purposeful : the record has been created for a reason and is a

necessary part of an activity or function.
 Context: These is a clear relationship between the record, the
activity/function, the creator and related activities and records.
 Content: the records documents and event or activity.
 Completeness: the record contains everything , necessary to
document the activity or decision together with associated
metadata
 Usability: the record can be accessed without changing, or
losing, any of its characteristics.
 Authenticity: the author of the record, and their authority and
reason for creating the record. Are clear (this characteristics is
closely related to reliability and to the principle of provenance).
 Reliability: the record must be trustworthy, in terms of
knowing the creator and context of creation, the accuracy of its
content as testimony of the event or activity and its authenticity.
 Immutability : the record cannot be altered once it is created
or declared.
 Integrity: the record is complete, authentic and all components
are present, in the correct order.

Metadata: Descriptive information about records and archives.

Traditionally this was to be found explicitly in the records (e.g., dates
of creation, author, file title) or in related finding aids such as file
classification schemes, indexes or archives catalogues. In the digital
era, technology is capable of automatically associating metadata with
documents, folders and applications within live system.
Filing
Filing is about placing individual records in a certain order (for
example chronological) in side a file cover, together with other
records that also relate on the same business, case or project.
Requiring knowledge of the system and the work as well as accuracy
and attention to detail, it is crucial for finding records again later.

Aims of filling
The aims of filing are simple and straightforward

 Accurate filing of records in the appropriate file, in the correct

order
 Accurate and appropriate allocation of cross-references
 Elimination of unnecessary duplication
 Regular filing of records so that no backlog is allowed to accrue
 Closure of files that are no longer current or too big
 Opening new files for new classification categories, new cases
and additional volumes of large files
 Tracking of files that are removed from the filing system.

File naming

 Alphabetical : instantly recognizable, keep file names short,

need to ensure agreed preferred term are part of
documentation, also agree ordering of elements in title (e.g.,
surname, first name).
 Alpha-numeric: flexible, easy to add sections into classification
scheme, use of letters can help people remember type of file/file
names, can be time-consuming to do labelling and coding.
 Numeric: simpler and faster than text-based labels, requires
index or key, less recognizable than letters or words.
Use and tracking

Tracking of the movement and use of records within a records

system is required to:

1. Identify outstanding action required,

2. Enable retrieval of a record,
3. Monitor usage for systems maintenance and security , and
maintain an auditable trail of records transaction (i.e. capture or
registration, classification, indexing, etc. and
4. Maintain capacity to identify the operational origins of
individual records where systems have been amalgamated or
migrated.
ISO 15489-1:2001
Why track files?

Files are tracked:

1. To monitor and ensure actions are taken
2. To prevent loss of records
3. To maintain security
4. To manage current storage needs.

Security

Security for current record systems is important for a number

of reasons. Ensuring that records are kept security and that only
those authorized to create, manage and access them can do so is
crucial to confidence that the records are reliable. If the records are
not kept at a standard of security that ensures they cannot be change
or removed without due authorization, there can be neither
accountability nor confidence in the function.
How can we keep records secure?

We keep records secure by implementing:

1. Appropriate levels of security assigned to record groups

depending on sensibility of work and content
2. Individual usernames
3. Good password practice, regularly changed, never shared
4. Encrypted mobile devices and record storage media
5. Locked filing cabinets and/ or file rooms
6. Clear desk policy
7. Effective staff training and regular awareness raising.

Staff training and awareness

In order for security measures and controls to be effective, staff

need to be aware of the security issues and ways to protect records,
both within the organization and outside. Security policy and
procedures are always a fine balancing act between ensuring safety
and hindering productivity, so taking into account the views and
suggestions of staff working with the records is always important.
Successful implementation of record and information security
protocols requires regular staff awareness campaigns and effective
baseline training for all staff.

Identification vital records

Identifying vital records can be tricky, because it depends on

several factors. First of all there needs to be an overview of the
organization, its functions and the records that support it. Secondly,
senor level staff need to engage with the process of identifying the
vital functions and activities to ensure that the correct records are
prioritized. Finally, it is necessary to involve record creators or users
in identifying vital records, but it can be difficult to tactfully explain
to them that all their records.
The vital records list should be list of vital functions agreed by
senior management who understand the mission-critical operations,
fundamental responsibilities and essential activates of the
organization. It should be drawn up by or at least developed in
consultation with the records manager and/or archivist because of
their knowledge of the relationship between functions and records.

Vital records criteria

The precise set of vital records that need protection in case of a

disaster will depend on the organization – its status, its business, the
way it operates and its culture. However , there are some general
guidelines to follow:

1. Financial records proving payment or monies owned to the

organization
2. Employee contact information and ongoing obligations such as
payroll and benefits
3. Records which fulfill legal and government requirements,
allowing the organization to operate within the law, protect
itself and /or individuals, and protect against litigation.
4. Manufacturing records such as production specifications,
inventory list, current research and development, licences to
operate.
5. Insurance policy information
6. Ownership records for property, patent and trademarks,
registration numbers, franchise information, capital
investments
7. Major contracts and agreements
8. Corporate records such as minutes of directors meeting,
incorporation papers, organization charts
 9. Core operational records such as case files, membership records
etc.
10. Facility records providing information on location, plans
and operation of building, entrances, safes, sprinkler and heat
and air con system, alarm system, security systems.

References:
1. Crockett, M. (2016). The no-nonsense guide to archives and
recordkeeping. London : Facet Publishing.