RECORDS MANAGEMENT Training for Coordinators

m cu • What is Records Management? o e • Why is it important? D us • Key Objectives of a Records ed Management System ct vate • What are Records? te ri • What is a Retentiono r Schedule p or p • Understanding Retention Periods t meanfto YOU? • What does h this rig nly • General Guidelines yand Don’ts • op Do’s O C What happens now? •

CONTENTS

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WHAT IS RECORDS MANAGEMENT? nt e m cu • Identifies all Company records o e D us • Sets policy for their retention d e te at c v • Assigns responsibilities te ri ro Management of records to • Integration of the p or p t f our processes h y rig nl y O p o C

nt WHY IS IT IMPORTANT? e m cu • A records Management Programo ensures D use consistent and cost effective management of d e records throughout their useful life cycle. te atis comprised of 5 c v • The life cycle of documentation te ri phases: ro r p – Creation t p h y fo – Activeg i Use nl r – Maintenance y O –p o Archiving C
– Destruction

• • • • • •

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m cu o e D us d e te at c v te ri ro r p p o t f h y rig nl y O p o

OBJECTIVES

Manage Company records so that they can be an active information source Manage Company records so that they are controlled and made available as required Ensure that employees create and retain only those records that are required to conduct business Ensure that official records are controlled by designated departments who are considered offices-of-record Ensure that company records are handled in the medium most appropriate to the task they perform Ensure that those records are protected and kept secure in an appropriate manner, considering their value and retention period Ensure that those records retained beyond their active phase are stored in a space and cost effective way, reviewed regularly and disposed of promptly To ensure that records, or the information they contain, can be retrieved accurately and quickly Ensure that records are retained as required by Law

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nt What are records? e m are u • Records are documents, parts of documents cand in any o e information contained on any media D us format: d e te at c v te ri ro r p p o t f h y rig nl y O p o C
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Letters Memos Handwritten notes Speeches Calendars Drafts Policies Computer printouts Data stored in computer or data processing equipment Visual recordings Videotapes/audiotapes

m Vital records cu o e D us d e te at c v te- Everything else Not Vital but necessary pri ro r p Protection • Information t hAsset fo rig nly yProtection Act O • op Data C – Personal Data
• Employee Records • Customer Records

Types of Records

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– A Record which is necessary for continuing the business – loss of which could be disastrous – A Record which if lost would be impossible or too costly to recreate – A Record which must be retained by law for a certain period of time – Includes Business Continuity Plans and Disaster recovery

– Records which must be kept confidential and accessed by authorised personnel only

– Most of these types of records would be VITAL

m • 1. What are the 5 major phases tocu records the o e Management Life Cycle? D archiving and – Creation, active use, Maintenance, d e us te at Destruction c v objectives for • 2. Two of the moree t important o management program ri maintaining apr records p r include ht foand ensure they are retained – Protect vital records ly rig to policy y O according n p Which of the following is not a record? •o C 3.
– Drafts – Calendars – Voice Mail

QUESTIONS

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What is a Retention Schedule? nt e m cu o e D us d e te at c v te ri ro r p p o t f h y rig nl y O p o C
An excel spreadsheet that details all records and the time we keep them • Record Title
– A brief Title describing the type of information

• •

Record Description Retention Period

– A summary description of the types of information

– The amount of time a record is to be retained by the company. This is broken down into “active (office)” and “archived (storage)” Active or Office retention period
• The amount of time a record is maintained in the department office

Archived or Storage retention period Total retention period

• The amount of time a record is maintained in an on site archive and/or an offsite storage facility • The total length of time the company retains the record

Office-of-record

– Indicates the listed department that is fully responsible for the official copy of the record for the duration of the total retention period

m • ACT Active cu o e • AR Annual Review D us • CY Current Year ed ct vate • CM Current Month te ri • EX Expiration ro r p p theoCorporation • LC Life of t f h ofythe Product • LP - rigLife l n • LS y Life of the System p O o - Superseded • CS
• ST • T Settlement Terminated

Retention Codes

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Understanding Retention Periods nt e m cuoffices are • Many of the records contained ino your D use copies and are used for reference purposes only – d e These copies must not be kept for longer than the teif there is a litigation or c vat schedule period EXCEPT te ri – “LEGAL HOLD” government investigation/audit ro r p p o t aref due to be destroyed, h • Whereirecords y r g nis needed from Management and a authorisation l y O p check with the Records Manager in case there is a o C litigation or government investigation due – “LEGAL
HOLD”.

m cu • What does the code ACT indicate? oit is no longer e – The record should be destroyed D after d e us ACTIVE or current e t tas CY +5, indicates that c va • A retention period listed e i tare torbe destroyed……….. the subject records o p rthe current year in which they were – Five yearst p after r generated h y fo rig ncopies of records even if there is a • I can destroy l y Hold since they are copies – True/False p Records O o– False C

QUESTIONS

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c o e D us d e te at c v te ri ro r p p o t in the event of an emergency h y – Readily available f g rirestrictedl to a list of authorised users under – Only y conditions n p O o certain for use in a non-emergency situation C – Not recalled

unless all other copies are not available

the CREATION OF A COPY WHICH IS STORED IN A LOCATION REMOTE FROM THE ORIGINAL. THE ORIGINAL TO BE KEPT OFF SITE WHERE POSSIBLE. • Vital records must be organised and stored so they are

Methods of Protection nt e ` m The protection of vital records is accomplished by u

nt Recovering from Disastere m cu o e D us d e te at c v te ri ro r p p o t f h y rig nl y O p o C
• • • • • • • Disaster strikes Plan is initiated New office occupied Computers installed Data loaded Hardcopy vital records retrieved from secure site Company Business Continues

m cu • Vital records are those that o e D and functional – Re-establish the legal, financial us d e status of the company e ct vat te a vital record protection • Companies without ri ro r p p o program and disaster recovery plan can t f heven go out of business – falterrand ly ig n y O True/False p o– True C

QUESTIONS

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What this means to you! t n e m • You have been chosen as the cu area o Records Management Coordinator for youre D us – Roles and Responsibilities d e te at c v te ri ro r p p o t f h y rig nl y O p o C
• Primary resource for the department regarding all Records Management activities • Compile and maintain Records Schedules for your department • Ensuring departmental compliance with the Company Record Management Policy • Ensuring that “Office of record” documents are properly maintained within the department • Ensure that documents are properly processed for active/inactive storage • Ensure that appropriate documents are submitted for microfilming • Advise your department in Records Management knowledge

cu • You have been chosen as the o e D for your area Records Management Coordinator us d e – Roles and Responsibilitieste c vat te ri ro r p p o t f h y rig nl y O p • There is an overall Records Manager whom you o Ccan ask!

What this means to you! – t n e continued… m

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• Compile and maintain a schedule of departmental databases (these hold records) (active and inactive) • Ensure that new databases/records are added to the schedule

RECORDS MANAGMENT

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m cu o e D us d e te at c v te ri ro r p p o t f h y rig nl y O p o
Understand the meaning of Records Management Understanding the meaning of Vital Records Develop Schedule showing all records but highlight Vital Get Management to make decision on Retention limits Complete Schedule - Copy to Records Manager Review records at Ardington control process to archive - short term (locally) Long Term (external) Give brief Training to individuals with group Ongoing review of records and updating including Mandatory Annual CLEAN OUT

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m cu o e D us d e te at c v your What are te ri ro r p p o t f responsibilities? h y rig nl y O p o

QUESTIONS

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What this means to you! nt e m • You have been chosen as the cu area o Records Management Coordinator for youre D us – Roles and Responsibilities d e te at c v te ri ro r p p o t f h y rig nl y O p o C
• Primary resource for the department regarding all Records Management activities • Compile and maintain Records Schedules for your department • Ensuring departmental compliance with the Company Record Management Policy • Ensuring that “Office of record” documents are properly maintained within the department • Ensure that documents are properly processed for active/inactive storage • Ensure that appropriate documents are submitted for microfilming • Advise your department in Records Management knowledge

nt General Guidelines e m cu • Protecting company information is every employees o e responsibility D assets which d e scompany • Data and information are the companies u te at may be used only for management-approved cpersonal gain. business purposes and e not tinformation are available to iv • Company records and ro r prbasis individuals on t need-to-know ap h y much be provided to control access fo • Protective measures rig integrity of all information systems to protect the nl y O • op Confidential information must be controlled via authorised C personnel

m cu to the – Keep writing factual, to the point, and confined o e D us area of expertise d on – Limit the distribution of informatione a need-to know te at c v basis te a department central file – Consolidate records in ri ro r p whenever possible p o t f documents as you do paper h y • Manage electronic rig nl files y should be named appropriately and be accessible p – Files O o for compliance C
• Actively manage working files
– Records should be grouped and filed in accordance with the Records Retention Schedule

Do’s

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m cu o e D us – Ensure these records are included in your schedule d contact person to – It is the responsibility of the key e te thet3 party is in c v ensure the record keeping by a te ri Management Policy accordance witho Records the r of an p consultant, all records p or business activities should be – Upon termination outside pertainingt company hortodestroyed f retrieved rig nly y O • Ensure there is a records review annually p oUse your records retention schedule • C
• Apply records Management principles to all records kept by outside consultants
rd

Do’s

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• Use your Records Management Manager

m cu • Don’t destroy records that are on HOLD o e D us • Don’t file transitory recordsd • Don’t forget to manage te te records, c electronicwithin your databases and 3 te records party iva ro r pr retention schedule p othat field based people have t f • Don’t forget records h y at home rig nl y leave information/documents on printers or p • Don’t O ofaxes for anyone to read C
rd

Don’ts

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nt What happens now? e m • Records Coordinators will start cu help) – Documenting Retention Schedules o will (RM D use – Educating their departments d e te at c v te ri ro r p p records control when generating new t – Thinking about fo h y g information rireferencel to Records Management Policy when y On – Add pchanging procedures o C – Be involved in clean outs
• A general overview will be given to all (training) • You are the expert within your department
– Policy/Procedure on Archiving

• Drive Records control within your department

– Be prepared to be audited against the policy

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Don’t be afraid – be in Control nt e m cu o e D us d e te at c v te ri ro r p p o t f h y rig nl y O p o

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