1 COMP7780 Update 2010 Fall. RECORDS MANAGEMENT Records Storage/Filing Records Retrieval Records...
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Transcript of 1 COMP7780 Update 2010 Fall. RECORDS MANAGEMENT Records Storage/Filing Records Retrieval Records...
1COMP7780Update 2010 Fall
RECORDS MANAGEMENT
Records Storage/Filing Records Retrieval Records Retention Records Disposal
* When you study this session, please think ahead if IT helps and how?
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Main Activities in RMMain Activities in RM Records Storage/Filing
◦ A systematic way of storing records according to a plan◦ Processing, procedure, rules, equipment◦ Further processing of records may be required
Scanning, imaging, and data conversion Records Retrieving
◦ a process of locating a record or file from storage◦ Request, charge-out, logs
Records Retention◦ Decision about how long to retain records◦ Value, series, schedule, transfer
Records Disposition◦ Destroy or migrate records to another archival media such as
microform or electronic storage◦ Procedure, preservation
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Scanners can be used to convert paper records into digital images◦ TIFs, PDFs, JPGs
Use Optical and Intelligent Character Recognition (OCR and ICR) software during the scanning process◦ Images can be transformed into meaningful data. ◦ The data can then be sorted, indexed, organized
and fully searchable, for easy access.
Scanning, Imaging, Data Scanning, Imaging, Data ConversionConversion
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Inspect◦ Check for release mark of a record to determine whether it is ready for
filing
Index◦ Read content to determine filing segment
Code◦ Mark filing units on record
Cross-Reference◦ Indicate record location under alternate filing segments
Sort◦ Arrange records by filing segment
Store◦ Place record in appropriate folder
Storage/Filing Procedures Storage/Filing Procedures
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IndexIndex Determine the filing segment by which a
record is stored.
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CodeCode Assign a file designation Mark a record to indicate the name, subject,
or number by which it is to be stored◦ One or more filing units ◦ Underline the key unit, then number each
succeeding unit
Personal Name: Jane T. Shank
Personal Name Coded: Jane / T. / Shank2 3
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Filing RulesFiling Rules Filing is done to facilitate retrieving
information. Consistently following filing rules and
procedures helps in rapid retrieval of information.
Avoid misfiled and Lost Records ARMA’s alphabetic indexing rules provide
guidance
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Cross-ReferenceCross-Reference
• Direct attention to one or more related items
• Shows alternate name for a record • Shows the location of the record
CRAFT AND BURNS INC 106
Craft & Burns, Inc.489 Maple Ave.Iowa City, IA 52245-0350
CRAFT AND BURNS INC 106
Craft & Burns, Inc.489 Maple Ave.Iowa City, IA 52245-0350
Card Record
Cross-reference
BURNS AND CRAFT INC 106X
SEE CRAFT AND BURNS INC
BURNS AND CRAFT INC 106X
SEE CRAFT AND BURNS INC
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Misfiled and Lost RecordsMisfiled and Lost Records Result from improper indexing, coding, and
storage of records Often delay or affect the work of employees Reduce an organization’s effectiveness in
serving customers
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Storage EquipmentStorage Equipment Storage equipment commonly used for
paper records◦ Vertical file cabinets◦ Lateral file cabinets◦ Shelf files◦ Mobile shelving
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Vertical file cabinet
Lateral file cabinet
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Shelf files
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Mobile shelving
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Storage SuppliesStorage Supplies
Supplies commonly used for paper records ◦ Guides◦ Folders◦ OUT indicators◦ Labels
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GuidesGuides A guide is a rigid divider used to identify a
section in a file and to facilitate reference to a particular location.◦ Primary guide identifies a main file
section/division◦ Special guide identifies an individual folder or
subdivision
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Examples of GuidesExamples of Guides
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FolderFolder Folders are containers used to hold and
protect records.◦ A general folder holds a small volume of related
records.◦ A individual folder holds records for an
individual unit. ◦ A special folder follows a special guide.
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Folder Cuts and Tab Folder Cuts and Tab PositionsPositions
Drawer File
Shelf File
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OUT IndicatorOUT Indicator Control device showing the location of
borrowed records◦ OUT guide or sheet replaces a borrowed record◦ OUT folder replaces a borrowed folder
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ColorColor Color enhances the effectiveness of a
records storage system
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Iron Mountain◦ Document management, digital archiving, records
management and storage, film and sound archiving, ……
Online Tour of a Records Online Tour of a Records Management Center Management Center
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Records RetentionRecords Retention Decision about how long to retain records A set of policies and procedures for
discerning ◦ What documents to keep◦ Where and in what type of environment the
documents are kept◦ How long these documents are to be kept
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Control the unrestrained growth of records volume
Improve the ability to locate and retrieve records when required
Improve the overall utilization of resources Demonstrate compliance with statutory and
regulatory recordkeeping requirements Enforce the consistent implementation of
recordkeeping policies Reduce litigation risks
Why RetentionWhy Retention
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Records Values for Records Values for RetentionRetention
Nonessential Records Not worth keeping
Useful Records Short-term storage—up to three years
Important Records Long-term storage—seven to ten years
Vital Records Permanent storage
RECORDS MANAGEMENT
Records Retention Records Retention ScheduleSchedule A comprehensive list of records, indicating the
length of time records are to be maintained.◦ Records series—a group of related records that
normally are used and filed as a unit and can be evaluated as a unit to determine the records retention period.
◦ Retention period—the length of time that records must be kept according to operational, legal, regulatory, and fiscal requirements. Can also be expressed as contingent upon the occurrence
of an event such as the termination of a contract or conclusion of a project.
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Records TransferRecords Transfer The act of changing the physical custody
of records with or without change of legal title.
Records are moved from one storage area to another.
Records are transferred to an archives when they are no longer used frequently.
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Records CentreRecords Centre
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Disposition is the point at which the record should either be destroyed or migrated to another archival media such as microform or electronic storage.
Destroyed record documents require a destruction certificate to prove that the record was maintained in line with the retention requirement and then destroyed properly.
We need to maintain records to document when and how records are destroyed.
Records DispositionRecords Disposition
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Records PreservationRecords Preservation Processes and operations involved in
ensuring the technical and intellectual survival of authentic records through time.
Storage and accommodation provisions, staffing levels, policies, techniques and methods◦ Building and environmental control◦ Reformatting◦ Duplication◦ Disaster planning◦ Access control
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What are the problems of traditional records?
Can you draw some links of the above slides to common IT?
How does IT help?
DiscussionDiscussion
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