Lis 111 Records Management

FELLOWSHIP BAPTIST COLLEGE
Rizal St., Kabankalan City, Negros Occidental, Philippines 6111

TEL: (034) 4712-156 TELEFAX: (034) 4712-167 EMAIL: info@fbc.edu.ph
Website: www.fbc.edu.ph
COLLEGE OF ENGINEERING AND

COMPUTER STUDIES
LECTURE NOTES in
LIS 111:
INTRODUCTION TO RECORDS
AND ARCHIVES MANAGEMENT
i
OVERVIEW
Records are indispensable for the efficient management of our lives, of organisations
and of government but are often undervalued, ignored or misunderstood. Yet they
help support the rights and responsibilities of every individual and enable the smooth
running of all organisations – from governments to golf clubs and multi-nationals to
mosques. At the same time archives, the small subset of records selected for
permanent preservation, provide individuals with a sense of identity and preserve
the culture and history of a people. Between them, archives and records provide an
infrastructure for both personal and public activity. But for the real potential of
archives and records to be realized they need to be managed in a professional
manner. Records managers are concerned with the administration of the current
records of an organization and archivists with
i
CHAPTER 1:
THE BASICS OF RECORDS MANAGEMENT
LESSON 1: INFORMATION, RECORDS AND DOCUMENTS

While it may not seem obvious at first glance; there is more than semantics that separate
records from documents.
What is a Record?
Records are historical files that provide “proof of existence”. They are used to prove the state
of existence of a business. A record is either created or received by an organization in
connection with business transactions or it can be used for compliance with legal
requirements. The type of physical media does not impact the classification of a record. It can
be on paper, microfilm, or even digital. Records are not editable and cannot be recreated. In
short, it is a historical document. Some examples of records are driving licenses, legal filings,
and tax returns. Records have strict retention schedules that are defined by a business,
industry and location.
What is a Document?
A document is a content file that has information in a structured or unstructured format. It is
an editable file. Documents can be stored as paper or digitally. They can be changed and
revised as needed. These are “live” files currently being used in transactions. Some examples
of documents are customer lists, purchase orders, and phone lists. All records are documents
but not all documents are records. Many records start out as documents and then become
records when they are finalized.
For example, an empty form is a document and then after it is filled in becomes a record.
Records are covered by retention requirements and you should keep and update retention
schedules in line with the requirements of your location and industry. One should not overlook
the fact that there are differences in the meaning of records and information. All records
constitute information but not all information is a record. Information can become a record by
being identified as documenting a business transaction or satisfying a business need. Over
the years several terms have been used to identify information: knowledge, intelligence, and
content to name a few. Whatever the term, in general use, information is an all-encompassing
notion including paper and electronic documents, spreadsheets, recorded telephone
conversations, databases, in other words, information in paper or other physical forms
(microfilms, negatives, photographs, audio or video recordings and other assets). Information
is one of the most vital, strategic assets organisations possess. They depend on information
to develop products and services, make critical strategic decisions, protect property rights,
propel marketing, manage projects, process transactions, service customers, and generate
revenue. Managers need high-quality information.
1
The quality of information depends on five factors:

 accuracy (info should be free from errors);
 timeliness (info should be based on recent data);
 completeness (the number of gaps should be kept to a minimum);
 conciseness (info should be stated concisely so that decision-makers can grasp it
quickly and easily);
 relevance (priority should be given to info that is exactly needed).
Information can become a record by being identified as documenting a business transaction

or satisfying a business need. Records can be considered the memory of the organization
which are extremely important to the continuing operation of a business.
ASSESSMENT # 1.1
I. Read the statement carefully then express your answers briefly.
1. What is the characteristic of “a record”?
2. How is “a document” defined in the text?
3. Why is information considered to be the most vital, strategic business asset?
4. What factors characterize quality information?
5. When does information become a record?
II. FILL IN THE BLANKS. Fill each gap with a correct word in the box.
SAID, GIVEN, CONVEYED, PROCESSED, RECEIVED, COLLECTED, REPRESENTED
Difference between Data and Information

Data and information are interrelated and are often mistakenly used interchangeably. Data
usually refers to raw data, or unprocessed data. It is the basic form of data. It may be in the
form of numbers, letters, or a set of characters. It is often (_____________________) via
measurements. In data computing or data processing, data is (_____________________) by
tabular data, a data tree, a data graph etc. Once the data is analyzed and
2
(_____________________), it is considered information. Information is “knowledge

communicated or (_____________________) concerning a particular fact or circumstance”.
Basically, information is the message that is being (…), whereas data is plain facts. Data in
itself is fairly useless, until it is interpreted or processed to get a meaning and to become
information. In computing, it can be (_____________________) that data is the computer's
language. It is the input for the computer system and the output that the computer gives us.
Whereas, information is how we interpret data. It is the human representation of data. Some
differences between data and information are (_____________________) below:
 Data is unprocessed facts and figures. Information is processed data.
 Data doesn’t depend on information. Information depends on data.
 Data is not specific. Information is specific.
 Data doesn’t carry a meaning. Information must carry a logical meaning.
 Data is the raw material. Information is the product.
III. DISCUSSION QUESTIONS.
1. How do you assess the role of information in business?
2. Why do you think records are considered the memory of the organization?
3. Why do you think the accepted definitions of the record, document, and information
are being reconsidered today?
3
LESSON 2: WHAT IS A DOCUMENT?
They fill our filing cabinets and computers. We write them, read them, share them. But what
are they? They're documents, of course, but what is a document? If you were to do much
reading in the document management field, you would soon realize that this is a persistent
and pesky question. The accepted definition of a document is constantly evolving and our
traditional views of documents are difficult to apply in the electronic age.
For example, is a .wmv (Windows Media) file a document? Is a .msg file (e-mail message) a
document? Some limit the definition of a document to communication that is legally compliant
or official. Others broaden the definition to encompass any communication-written or
electronic- that has been recorded in any format. It may seem obvious what a document is,
until we really try to figure out what makes something a document. Some have dubbed this
the Information Age. We're told that modern society is driven by information. But this view may
be misdirected; all societies are and have always been “information societies”. What sets our
time apart is the proliferation of documents, rather than information per se. Ours is a document
society. All day long, in practically every task, we work with documents. Web pages, books,
newspapers, articles, forms, advertisements, notices, street signs, artworks, notes, social
media posts, emails, memos, mailings. To function in society, to understand the meaning of
these things, we have to know how to work with specific types of documents. We can call
these skills document literacy, allied with media literacy and information literacy. And as
documents become more and more important, so does document literacy.
The document is an ancient concept. A document is a written, drawn, presented or

memorialized representation of thought. In the course of history our conceptualization of the
document has changed. Over time, the concept of the document has picked up a number of
related associations – having to do with teaching, evidence, social systems, communication,
technology, representation and more. Today, it is clear that documents are much more than
mere texts. Is a star a document? Is a pebble rolled by a torrent a document? Is a living animal
a document? No. But the photographs and the catalogues of stars, the stones in a museum
of mineralogy, and the animals that are cataloged and shown in a zoo, are documents. But if
anything can be a document, doesn't the concept lose all meaning? It might seem so, but
there are a number of important aspects that make a thing a document: indexicality,
complementarity, fixity, documentality and productivity.
 Indexicality – Documents are representations. They point to other things.
 Complementarity – Documents have aspects that are informational (mental), material
(physical) and communicational (social). The mental component includes the
individual, cognitive aspects of the document; the material component includes the
technological and physical aspects of the document; and the social component
includes the economic, political and cultural aspects of the document. With
complementarity, we can recognize that it's more than just the “content” of a document
that contributes to its meaning.
 Fixity – In their physical form, documents are relatively stable. A book from the 1500s,
for instance, may be largely the same as it was when it was printed.
4
 Documentality has four aspects:

 Functionality:
Documents perform certain social functions, such as constituting a marriage or
unifying a company under a brand identity.
 Historicity:
Documents are situated in a particular time and place, such as scientific
publications that have been made over the centuries.
 Social complexity:
Documents require training, teaching and learning in order to be created and
worked with.
 Productivity:
From a given document, new documents can be made.
ASSESSMENT # 1.2
I. Answer the following questions.
1. Why is it difficult to define “a document”?
2. What is the distinguishing feature of our time?
3. What is document literacy?
4. What makes a thing a document?
II. FILL IN THE BLANKS. Fill each gap with a correct word in the box.
INFORMATION, EVIDENCE, TRANSACTIONS, VALUE, OBLIGATIONS, FORM,

LETTERS, CASH, DIFFERENCE
Every business, regardless of legal status, annual revenue, or number of employees, creates
and receives (_______________________), some of which makes up part of the official
records and documents of the organization. Just as businesses track and manage equipment,
(_______________________), and real estate, companies should take the same approach
to their documents and records. In the English language, they differentiate between a
document and a record. Thus, it is important to be clear about the
(_______________________) between a document and a record. A document is defined as
any piece of written information in any (_______________________), produced or received
by an organization or person. It can include databases, websites, email messages, word and
excel files, (_______________________), and memos. Some of these documents will be
ephemeral or of very short-term (_______________________) and should never end up in a
records management system (such as invitations to lunch). Some documents will need to be
kept as evidence of business (_______________________), routine activities or as a result
of legal (_______________________), such as policy documents. These should be placed
into an official fi ling system and at this point they become official records. In other words, all
records start off as documents, but not all documents will ultimately become records. Most
typically, records are defined as data or information in a fixed form that are created or received
during the course of an activity and set aside for (_______________________) of that activity
or future reference.
5
FURTHER READINGS
Read the text and say whether you have learned something new and important for your
professional development.
Difference between a Document and a Record
Although a document and a record mean the same in general usage, they have specific
meanings in the field of information. A document is a piece of writing that contains information,
whereas a record is a document that can be used as evidence. Both documents and records
provide information, but records also serve as evidence. This is the main difference between
a document and a record.
What is a Document?
A document is a piece of written, printed, or electronic matter that provides information. It can
contain information in a structured or unstructured format. Documents can usually be changed
and revised as needed.
We all create, receive and use documents in our daily lives. Emails we send and receive,
memos, reports, shopping lists etc. are all examples of documents. We need these documents
on a short-term basis to help us to work consistently and productively and to keep track of
progress in projects and activities.
What is a Record?
A record is a piece of evidence about the past, especially an account kept in writing or some
other permanent form. Many records start out as documents and then become records when
they are used as evidence. Records can be used as proof of legal obligations or in the
transaction of business.
Since records serve as evidence, they cannot be edited or revised. Examples of records may
include final reports, emails confirming actions or decisions, photographs, spreadsheets,
business contracts etc. Although many people do not save every document they create or
use, records are usually saved for future use.
6
CHAPTER 2:
RECORDS MANAGEMENT
LESSON 1: RECORDS MANAGEMENT

Records management is a professional discipline that is primarily concerned with the
management of document-based information systems. It is devoted to the systematic
creation, organization, control, evaluation, classification, storage, protection, retrieval,
and destruction of records. The ISO 15489-1:2001 standard defines records
management as “The field of management responsible for the efficient and
systematic control of the creation, receipt, maintenance, use and disposition of
records, including the processes for capturing and maintaining evidence of and
information about business activities and transactions in the form of records”.
A record can be either a tangible object or digital information: for example, birth
certificates, medical x-rays, office documents, databases, application data, and e-mail.
Records management is primarily concerned with the evidence of an organization's
activities, and is usually applied according to the value of the records rather than their
physical format. Section 4 of the ISO 15489-1:2001 states that records management
includes:
 setting policies and standards;
 assigning responsibilities and authorities;
 establishing and promulgating procedures and guidelines;
 providing a range of services relating to the management and use of records;
 designing, implementing and administering specialized systems for managing
records;
 integrating records management into business systems and processes.
Thus, the practice of records management may involve:

 planning the information needs of an organization;
 identifying information requiring capture;
 creating, approving, and enforcing policies and practices regarding records,
including their organization and disposal;
 developing a records storage plan, which includes the short and long-term
housing of physical records and digital information;
 identifying, classifying, and storing records;
 coordinating access to records internally and outside of the organization,
balancing the requirements of business confidentiality, data privacy, and
public access;
 identification and maintenance of records per a specified retention period;
 executing a retention policy on the disposal of records which are no longer
required for operational reasons; according to organizational policies,
7
statutory requirements, and other regulations this may involve either their
destruction or permanent preservation in an archive.
As the systematic control of all business-related documents throughout their life cycle
is a vital component of successful business practice, businesses engage records
managers to attend to these matters. Record managers are employed to organize,
maintain and protect a company’s information database, in both paper and electronic
forms. The aim is to achieve a structured, efficient and user-friendly system, resulting
in effective and economical management of the company’s operations. Effective
records management ensures that the information needed is retrievable, authentic,
and accurate. More specifically a records manager under his/her job description must:
 Establish new records management systems;
 Develop, maintain, verify, and evaluate existing systems;
 Oversee the switch from paper to electronic record-keeping;
 Classify and index records;
 Enable access to information for appropriate individuals or departments;
 Respond to internal and external information inquiries and requests;
 Develop and implement record disposal and retention systems and schedules;
 Use information management software and other resources to resolve
information management problems;
 Facilitate the development and maintenance of filing systems to meet
administrative, legal, and financial requirements;
 Advise senior management on complex legal and regulatory issues.
8
ASSESSMENT # 2.1
1 How does the ISO 15489-1:2001 define records management?
2 What does records management include according to Section 4 of the

ISO 15489-1:2001?
3 What are the most typical activities of records managers?
4 What do records managers do in their job under the job description for
their position?
STAFF , SYSTEM, SKILL, FILE, CAREER, VALUE, RECORD
Records management is a relatively new line of work. But due to the increased
recognition of the (_______________________) of information and information
management, records management as a (_______________________) is
becoming more and more attractive. Businesses are interested in employing
professional (_______________________) of people who are the right ones for
the job. For example, a records manager must be a great organizer. A manager
will be asked at any time to locate a specific (_______________________) and
must be able to do so promptly. To do so, the manager must have a fi ling
system in place that will allow them to locate the (_______________________).
Sometimes that is an alphabetic system, while
other companies utilize a numbers-based system. Still others use a
combination of the two. The important aspect is that the records manager
understands the whole (_______________________) of fi ling in place. Storage,
circulation and retrieval processes also require organizational skills of a records
manager. Ability to organize employees to carry out their work in the most
effective and efficient way is also an essential organizational
(_______________________) of a records manager.
9
LESSON 2: WHAT DOES RECORDS MANAGEMENT INVOLVE?

Records management is the systematic and effective control of records (both paper
and electronic) throughout their life cycle from creation or receipt through to the time
of their disposal. It aims to ensure that records are accurate and reliable, can be
retrieved speedily and efficiently, and are kept for no longer than necessary. Initially
records are current or active while they are used to carry out day-to-day work. Next,
records become semi-current or semi-active, when they only need to be referred to
occasionally or have to be retained for legal or regulatory reasons. Finally, records
become inactive, and a decision has to be made whether to discard them or, in a few
cases, keep them permanently because they have historical value. What does records
management involve?
Element 1 – Creation
Each department must create records that are accurate and complete, so that it is
possible to establish what has been done and why. The quality of the records must
also be sufficient to allow staff to carry out their work efficiently, demonstrate
compliance with legal and regulatory requirements, and ensure accountability and
transparency expectations are met. Where appropriate, templates should be used, so
that documents are produced consistently and quickly. In addition, version control
procedures should be applied to documents that are periodically revised (such as
policies and handbooks) to ensure the current versions can be easily identified.
Element 2 – Classification
All records (e.g. paper fi les, electronic documents, emails) should be arranged
systematically, so that they can be retrieved easily and quickly. The main areas of
work carried out by a department should be identified, and then a paper fi ling structure
and electronic directory tree developed into which all the documents can be logically
placed. In addition, fi le titles and document names must describe the content or
subject matter of individual fi les and documents accurately and helpfully.
Element 3 – Storage
Staff must be able to retrieve the information they need to carry out their work.
Information that is only accessible to a single person should be kept to a minimum.
Wherever possible records should be stored on a secure, shared network, or within a
centralized filing system, so that departments can operate efficiently when individual
members of staff are absent.
Paper records that are consulted frequently should be kept close-at-hand within the
immediate office space, while semi-current material can be housed in separate store
10
rooms or stored off -site. Electronic records should either be held in an appropriate

corporate database or within the EDM (Electronic Document Management) system.
Element 4 – Security
Paper records containing confidential information must be stored behind two locks
when not in use (e.g. in a locked cabinet in a locked room) and access only granted
to authorized staff.
Element 5 – Tracking
In departments where several people need to consult the same paper documents, it
may be helpful to track the movement of files to ensure they can always be found. For
example, a form can be used to record the name of the person retrieving a fi le, as
well as its reference, title and the date of retrieval; the form can then be inserted in the
place of the fi le, so that other members of staff will know where to find it. Gathering
data on the level of use will also assist retention decisions.
Element 6 – Vital Records

Records that would be vital to the continued functioning of the organization in the
event of a disaster must be identified and protected: e.g. current financial information,
current contracts, proof of ownership, current course materials, and current research
information. Vital records that are only available in paper format should be duplicated,
and the originals and copies stored in separate locations. If, however, duplication is
either impracticable or legally unacceptable, fi reproof safes must be used to protect
the documents.
Element 7 – Preservation
Records of continuing value need to remain accessible. Wherever physical documents
are stored, they should be protected from potential hazards, such as fi re and flood,
and the temperature and humidity maintained at stable levels (to prevent the
development of mold). Critical electronic data must be held on a network drive.
Element 8 – Retention
Records should only be retained as long as necessary to conduct business, and to
comply with legal and regulatory requirements.
Element 9 – Destruction
There must be clear, auditable procedures for destroying records. The disposal of
each department’s core administrative records (both paper and electronic) should be
controlled by retention schedules, and a record should be kept of what is destroyed
and when.
11
ASSESSMENT #2.2
1 How do records change during their life?
2 What should record managers focus on at the stage of document creation?
3 What function is performed by an electronic directory tree?
4 How should storage of records be organized?
5 How should vital records be treated?
6 What requirements for the disposal of records should be observed?
FURTHER READINGS
Records management
Many organisations, particularly large ones, recognize records management as an important,
if not a core, activity and consequently employ specialist records management staff to
manage, both strategically and operationally, the information they create and receive in
conducting their business.
Why manage records?

The trite answer to this question perhaps is that we manage records for organisational
efficiency and effectiveness and, particularly for anyone operating in the public sector, for the
future development and posterity of society; but we need to break these generic reasons down
into more specific reasons to be able to answer this question fully.
Records as information
As we have seen, records are information carriers and the output of a business activity. They
are unique to an organisation and play a key role in the way it operates. They assure its
ongoing activity and play a vital role in its continued operation in the event of a disaster. They
are therefore an organisational asset and, like an organisation’s other key assets (money,
people and property), they need to be managed if their value is to be maximised. But, unlike
some other assets, their value is not diminished through use. A record may be created by one
person and used by another, it may be created for one purpose and used for another purpose
later and hence its value to the organisation is increased. And, whilst some records will be
destroyed because they are no longer required, the value of the records resource is not
12
diminished. In fact, it usually grows because only those records with potential future use will
be retained and will be more readily accessible when not overwhelmed by records that have
reached the end of their usefulness. Records capture information about what has worked well
and perhaps, more critically, about what did not work and thus provide an invaluable source
of information to aid decision-making.
Records as organisational and collective memory

By their very nature records are unique to the organisation, they cannot be replaced by placing
an order at the local bookshop for instance. They are the organisational memory, particularly
in the recent climate of right-sizing, outsourcing and employee turnover. Therefore, if records
are not managed, the corporate memory and the history of society are in danger of being lost.
Not only do we need to manage records as the corporate or organisational memory but also
as the collective memory of society. A proportion of the records created for some initial
administrative, legal or audit purpose may have a secondary value for historical purposes.
This is particularly true of records created within the public sector.
Records as evidence
A key characteristic of a record is its context and that it is this factor which means a record
has evidential value. We therefore manage records as evidence of an organisation’s policies
and activities, in case of litigation, and of its compliance with regulations and procedures. The
latter reason for managing records is particularly important in heavily regulated sectors such
as pharmaceuticals but also applies across sectors. By law all organisations are required to
create and maintain certain records. These might include records relating to incorporation,
employment, health and safety as well as finance, for example, the payment of salaries and
tax, the purchase and/or sale of goods.
Business continuity and risk management

The final aspect of why we do records management relates to the fundamental principle which
drives all organisations–the goal of survival. In order to survive organisations need records,
whether in the form of customer orders, policy documents or the formulae for their medicines.
These records need to be available not only in normal operating circumstances but also in
case of a disaster. Some disasters cannot be foreseen but it is possible, by identifying
potential risks and minimizing their effects through contingency planning, to improve the
chances of uninterrupted operation if an incident occurs.
13
CHAPTER 3:
BUILDING AN IN-HOUSE DOCUMENTATION SYSTEM
LESSON 1: 4 STEPS TO BUILD YOUR IN-HOUSE DOCUMENTATION SYSTEM

In the age of information explosion, it makes sense to have a system in place which
will help you organize your data systematically.
Although there is a lot of records management software available on the market for
organizing and storing all your data (different EDRMSs-electronic records
management systems), you can also have a DMS in place without spending on special
software or going through the document scanning and imaging process. With some
careful planning and clever implementation, you can build a user-friendly and efficient
in-house document management system.
The following steps should help you create a well-organized documentation system
for your business.
Creating Documents
All businesses have certain processes that lead them to create a variety of documents
that need to be recorded and tracked. Whether it is sending and/ or receiving invoices,
payment reminders, brochures and newsletters, emails, spreadsheets, and letters and
reports – all these are important documents that need to be kept in a systematic
manner.
Storing Documents
Retrieving old documents like employee records from an organization’s database can
cause a lot of stress, if not stored properly. Not only is it time-consuming, it also brings
into question the data management practices of the organization. You will have to put
some thought into how you will be archiving your documents. There will surely be
several redundant fi les that will need to be weeded out and moved to the back burner
of the DMS.
To tackle this, you can either create new folders by month and year and/ or by titles
and move the fi les around as needed, or you can invest in software that offers the
ease of automatic archiving.
Retrieving Documents
This serves as a litmus test of your DMS. The whole system is set so that you and
your staff are able to search for and retrieve the desired file(s) in no time.
A lot of business owners create a File Location List, wherein they mention the location
of a particular fi le, whether it is on the computer or in a particular storage cabinet as
a physical fi le. For locating computer fi les, you can mention the path to the fi le along
14
with its title. A list of fi le locations should be made available at every workstation for
speedy processes.
Securing Documents
Apart from securing your computers, it is suggested that you also secure your office
premises to prevent data loss due to incidents like break-ins and thefts. You can
safeguard your computer fi les by taking backups of all the important files regularly
and keeping them safely on a different hard drive, or maybe in another location
altogether. That way your data is protected even from natural disasters striking at one
place. At times, your employees may be required to share a computer, or you may
want to limit user access to some of the network’s resources. In such a case, you can
protect the confidential and off -limits documents with passwords and encryption keys.
Once you have the DMS in place, you need to make sure that you and your employees
follow the correct procedures of creating, storing and retrieving documents. You’ll also
have to ensure that those accessing and using these documents follow related rules
such as naming and storing documents appropriately. The real challenge lies in
implementing these rules consistently over time. The matter is that most employees
do not consider managing records and information as their core function. Education
and training of staff in combination with support from senior-level management
improve the chances of success. If you’re successful, the rewards include being able
to find what you want, when you want it, and keeping your sanity.
ASSESSMENT # 3.1
I. Answer the following.
1 Why are businesses recommended to create in-house documentation

systems?
2 What documents are most frequently created by businesses?
3 What problems may arise if the documents are not stored properly?
4 Is securing documents limited to securing computers?
5 How can user access be controlled?
6 Where does the success of using an in-house documentation system lie?
15
LESSON 2: WHAT ARE THE BENEFITS OF RECORDS MANAGEMENT?

The volume of data within organizations is growing exponentially. Large amounts of
enterprise content lead not only to expensive challenges for storage and
management, but also make important information hard to find.
Organizations without an effective records management strategy are more susceptible
to litigation and legal risk, inefficient production, as well as regulation and compliance
failures.
Managing records effectively:
 saves time by ensuring that information can be found easily and quickly;
 saves space by preventing records from being kept longer than necessary;
 saves money by reducing storage and maintenance costs;
 improves efficiency by ensuring information is readily accessible;
 improves compliance by keeping documentation in line with legal and
regulatory requirements;
 keeps information under control by preserving important data and preventing
the accumulation of ephemeral material;
 improves the quality of information, providing staff with access to accurate and
reliable records;
 increases the security of confidential information;
 supports business continuity and risk management.
Records managers are needed in companies to:

 oversee the effective management of electronic and/or paper-based
information from its creation to its eventual disposal;
 identify the most appropriate records management resources;
 design and develop fi ling systems, business classification schemes and
undertake records surveys;
 set up and review documenting records systems, control the number of records
created and stored;
 establish retention and disposal schedules;
 identify which records are to be preserved for historical, compliance and
research purposes and which are to be destroyed;
 advise on new records management policies, providing a framework to guide
your staff in the management of their records and use of the employer’s records
system;
 standardize information sources throughout an organisation or group of
organisations;
 manage the changeover from paper to electronic records management
systems;
16
 respond to information enquiries, giving appropriate access to information;

 ensure compliance with relevant legislation and regulations;
 advise on complex legal and regulatory issues;
 manage budget and resources;
 train and supervise records staff.
To perform the above functions records managers are expected to possess the
following skills:
 strong oral and written communication skills;
 confidence to liaise with a range of staff at all levels within an organization;
 negotiation skills and the ability to persuade colleagues;
 problem-solving and analytical skills;
 project management and organisational skills;
 the ability to gain a clear overview of an organisation and its activities;
 being comfortable with new technology and adapting rapidly to new trends;
 a high level of awareness of information management principles and familiarity
with information systems and archives;
 due to ever-expanding legislation pertaining to records and information, a
records manager must also maintain current knowledge of proper practices and
procedures, as well as flexibility and adaptability to the ongoing changes.
17
ASSESSMENT # 3.2
I. Answer the following.
1 What problems arise from the exponential growth of data volumes within
organizations?
2 How do businesses benefit by managing records effectively?
3 Do records managers perform most valuable functions in organizations?
4 What skills are indispensable to be a records management professional?
II. FILL IN THE BLANKS.
ALLOW, LOCATE, ENSURE, RETAIN, ELIMINATE, DISPOSE,

REDUCE
Benefits of Records Management Properly managing your records can help

you reduce operating expense, enhance customer service and ensure your
company is in compliance with laws and regulation. Reduce operating expense.
Properly managing your records and information means that you only
(___________________________) for a specific timeframe what you need for
operational, legal, and compliance purposes and then appropriately
(___________________________) of it. This approach can
(___________________________) the need to buy additional paper fi ling
equipment and electronic storage. It can also
(___________________________) the cost of off -site record storage.
Enhance customer service. A good records management strategy ensures that
you do not retain unneeded information. This reduces the amount of clutter you
have to search through. Being able to quickly
(__________________________) the right information allows you to better
serve your customers. Legal and compliance. Implementing an effective
records management program will (___________________________) you to
identify records that are needed for legal and compliance purposes and
(______________________________) they are assigned the appropriate
retention periods. This benefits organizations in the event of lawsuits, audits,
and governmental inquiries.
18
READ FOR MORE INFORMATION
What is Archiving and Why is it Important?

Data archiving is the sort of paperwork jargon that many employees will be
confronted with in the workplace. They nod and murmur in agreement when it’s
discussed – but how many really understand it and the greater implications it
can have on a business?
What is Archiving?
Archiving is the process by which inactive information, in any format, is securely
stored for long periods of time. Such information may – or may not – be used
again in the future, but nonetheless should be stored until the end of its
retention schedule. It should be emphasized that archived inactive data can be
made active again, as the implication of not being able to access information
again sometimes dissuades businesses from archiving their records. Archived
data can be stored in a number of different formats, on a variety of devices.
When businesses archive data they tend to archive entire collections of fi les.
The word archive in itself suggests the retention of multiple records. Data that
is archived might need to be because of legal rulings or because it is vital
information that is likely to be used again in the future.
The Importance of Effective Archiving

Archiving is vitally important for information management and can give a
business greater control over their information processes. As a business grows
it will create more data – data that needs to be meticulously managed and
monitored. Keeping control on this data can prove problematic for businesses
that never put an archiving system in place. Data that is not archived (stored in
a local environment – such as an employee’s laptop) is harder to locate, secure
and appropriately disseminate and thus will be inaccessible to other users. This
will eventually have a negative effect on business functions and employee
productivity.
The Top 3 Benefits of Archiving for Growing Businesses
1. Prevent Data Loss

Information that hasn’t been archived on a central, secure repository could be
lost forever. The chances of an employee accidentally deleting or misplacing a
fi le are slim, but it does happen. In some cases, data recovery experts might
19
be able to retrieve this information, but this is likely to take some time, cost a
lot and is rarely 100% accurate.
2. Legal Requirements
Archiving is important for legal reasons too. Many businesses accidentally
dispose of documents that they legally should be keeping. An effective
archiving system will ensure company-specific retention schedules are
adhered to, regardless of each employee’s knowledge of these schedules.
Data protection authorities are enforcing more severe penalties on businesses
so employees should be made aware that ignoring these policies could lead to
hefty fines or even prison sentences in some cases.
3. Increase Security
Archiving is also important for security reasons, especially at a time when
cyber-attacks and data breaches are becoming more frequent. By securely
archiving documents businesses can keep track of information and increase
protection from unauthorized third parties. Even the most cautious of
businesses are now targeted by very adept hackers. Paper records in open
circulation can easily be taken from crowded offices or stolen by bitter
employees. A reliable off -site archiving system will reduce this risk by warning
senior staff when files are missing. Archiving is vital for business continuity and
ensuring the highest level of performance.
20

Lis 111 Records Management

Uploaded by

Copyright:

Available Formats

You might also like

Lis 111 Records Management

Uploaded by

Document Information

Original Description:

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

Lis 111 Records Management

Uploaded by

Copyright:

Available Formats

FELLOWSHIP BAPTIST COLLEGE

Rizal St., Kabankalan City, Negros Occidental, Philippines 6111

COLLEGE OF ENGINEERING AND

running of all organisations – from governments to golf clubs and multi-nationals to

permanent preservation, provide individuals with a sense of identity and preserve

archives and records to be realized they need to be managed in a professional

records of an organization and archivists with

LESSON 1: INFORMATION, RECORDS AND DOCUMENTS

The quality of information depends on ﬁve factors:

Information can become a record by being identiﬁed as documenting a business transaction

2. How is “a document” deﬁned in the text?

3. Why is information considered to be the most vital, strategic business asset?

4. What factors characterize quality information?

5. When does information become a record?

SAID, GIVEN, CONVEYED, PROCESSED, RECEIVED, COLLECTED, REPRESENTED

Diﬀerence between Data and Information

(_____________________), it is considered information. Information is “knowledge

III. DISCUSSION QUESTIONS.

1. How do you assess the role of information in business?

LESSON 2: WHAT IS A DOCUMENT?

The document is an ancient concept. A document is a written, drawn, presented or

 Documentality has four aspects:

INFORMATION, EVIDENCE, TRANSACTIONS, VALUE, OBLIGATIONS, FORM,

Diﬀerence between a Document and a Record

LESSON 1: RECORDS MANAGEMENT

Thus, the practice of records management may involve:

I. Answer the following questions.

1 How does the ISO 15489-1:2001 deﬁne records management?

2 What does records management include according to Section 4 of the

3 What are the most typical activities of records managers?

STAFF , SYSTEM, SKILL, FILE, CAREER, VALUE, RECORD

LESSON 2: WHAT DOES RECORDS MANAGEMENT INVOLVE?

rooms or stored oﬀ -site. Electronic records should either be held in an appropriate

Element 6 – Vital Records

I. Answer the following questions.

1 How do records change during their life?

2 What should record managers focus on at the stage of document creation?

3 What function is performed by an electronic directory tree?

4 How should storage of records be organized?

5 How should vital records be treated?

6 What requirements for the disposal of records should be observed?

Why manage records?

Records as organisational and collective memory

Business continuity and risk management

LESSON 1: 4 STEPS TO BUILD YOUR IN-HOUSE DOCUMENTATION SYSTEM

I. Answer the following.

1 Why are businesses recommended to create in-house documentation

2 What documents are most frequently created by businesses?

4 Is securing documents limited to securing computers?

5 How can user access be controlled?

6 Where does the success of using an in-house documentation system lie?

LESSON 2: WHAT ARE THE BENEFITS OF RECORDS MANAGEMENT?

Records managers are needed in companies to:

 respond to information enquiries, giving appropriate access to information;

I. Answer the following.

2 How do businesses beneﬁt by managing records eﬀectively?

3 Do records managers perform most valuable functions in organizations?