Getting Started with Records Management
Where do I start with
Records
Management?
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Housekeeping
Agenda
Introducing you!
In less than 30 seconds tell us:
•
Name
•
Organisation + v brief synopsis of what it does
Answers on a sticky note!
What is it that concerns
you most about Records
Management?
Identify your records
1.
On separate sticky notes – write down the types of records you hold in your
organisation, one type per sticky note.
(Be fairly specific – “invoice files” not “finance records” )
2.
Imagine a flood/disaster (plus simultaneous equivalent digital threat)
scenario & split notes into 3 categories:
◦
Absolutely save
◦
Just desert
◦
Dither pile
What is a record?
•
A record is any information created or received and maintained
as evidence of an action or decision by a person or organization
◦
current – used for day to day running
◦
historical – showing what decisions were made & how
Qualities of a useful record
authenticity
reliability
integrity
usability
What is Records Management
What is records management?
a comprehensive regime which controls records through
their lifecycle, including:
deciding what records to create
organising them so that they support business needs and
authorised retrieval
evaluating and imposing retention requirements
documenting destruction or designation as archives
Margaret Crockett, The No-nonsense Guide to Archives and Recordkeeping
Aims of records management:
Stages of Records Management
1.
Creation
2.
Organisation
3.
Retention
4.
Disposal (destruction/archiving
)
http://www.nationalarchives.gov.uk/documents/information-management/rm-code-guide4.pdf
Creation
How to decide what to create
http://www.nationalarchives.gov.uk/documents/information-management/rm-code-guide4.pdf
Creation:
Tips for naming documents
◦
Name them sensibly for the relevant activity.
◦
Titles should be concise, but contain enough relevant
information.
◦
Use standard terms or forms for names, places etc..
◦
Use the date format YYYYMMDD or YYMMDD
◦
Use whole names, or standard acronyms. If acronyms are used,
ensure that the full description is spelt out within the document.
◦
Put document path in the footer
Creation:
metadata for key records
Identity of creator
Function of creator
Date of creation
Location of record
Versions
Lay your cards on the table
In your groups:
The pack of cards in front of you each represent a folder or set of folders for an
organisation.
Please organise them into logical groupings – they may be in a number of layers
in a hierarchy – and name the groupings and suggest the top level names for
each section.
Organisation:
thoughts on filing structure
http://www.danceheritage.org/recordsmanagement.html#identification
Example filing structure
Poor design!
http://www.nationalarchives.gov.uk/documents/information-management/managing-
electronic-records-without-an-erms-publication-edition.pdf
Retention & security
Statutory requirements - GDPR considerations
http://toolkit.voluntarysectorarchives.org.uk/introduction/introduction/#record
-keeping-and-charity-regulation
Access issues – suitability of media – email attachments
Safety for digital records – at least 3 copies kept updated, in at least 2 locations
– one can be cloud
Good Housekeeping:
Suggested list of vital records
•
Insurance records
•
Financial records proving monies paid or owed
•
Employee records for current pay cycle
•
Records detailing operating rights, details of contracts,
protecting against litigation
•
Key operational records – contact lists,
•
Physical financial IP ownership records
•
Incorporation Records & Board Minutes
•
Manuals & codes for emergency procedures, - eg alarm
system
Disposal
Disposal decisions:
to destroy records
to retain records within in the organisation
to transfer them to an archives service.
http://www.nationalarchives.gov.uk/archives-sector/advice-and-guidance/managing-your-collection/archives-data-
protection-law-uk/gdpr-faqs/
Disposal schedule
http://www.nationalarchives.gov.uk/documents/information-management/rm-code-guide8.pdf
Coffee break
Records
Management Policy
Just the minutes
Imagine you are going to hold a Project/Board/Management Meeting and need
to record the decisions from it and ensure that the right people are informed
and can access the information in future.
In your group – work through the life of the minutes from their drafting at the
meeting (as well as the normal journey, add in a request to view them from a
member of staff not at the meeting) to their eventual archiving/destruction, and
at each stage identify:
Who needs to do something?
What do they need to do?
How is that verified/checked/confirmed?
Would there need to be any policy/procedure for this?
What areas does your Records
Management Policy need to cover?
•
Purpose
•
Scope
•
Responsibilities
•
Retention
•
Review
Example Policy:
University of London
1.
Records
are the evidence of our actions and decisions as a University
2. Keeping accurate records is the
Responsibility
of every member of staff
3. There are
Risks
around records (loss, damage, unauthorised access) which need to
be managed
4. We should keep our records only as long as they are relevant or as long as we are
required to by law and our
Retention
schedules
5. The public has a legal
Right
to access many of our records through FOIA or DPA
https://london.ac.uk/sites/default/files/governance/Records_Management_policy_2
017.pdf
Procedures
What records to keep
Where to keep them
Who should keep them
When to keep them
http://www.nationalarchives.gov.uk/documents/information-management/rm-code-guide4.pdf
Records Management in Charities:
A Toolkit for Improvement
http://toolkit.voluntarysectorarchives.org.uk/
written by Dr Charlotte Clements
Introduction
Self Assessment
Making and implementing your
records management improvement
plan
Off the cuff risk assessment
Think of a particular facet of your organisation’s work
How might your record keeping in this area:
◦
inhibit your organisation’s performance?
◦
disrupt your activity?
◦
otherwise pose a risk?
Make some notes for yourself to take back to work.
Be pragmatic
Take action!
List three things that you are going to do to start work on improving your
organisation’s records management, state:
what you are going to do
who you will be accountable to for it
when you are going to do it by
Final Thoughts
Any Questions?
Further resources:
Go to
http://www.voluntarysectorarchives.org.uk/
for a full list of further
resources
The National Archives implementation guides:
http://www.nationalarchives.gov.uk/information-management/manage-
information/planning/records-management-code/implementation-guides/
The course is designed to run informally with plenty of participation, so you might find that the participants lead you to cover things in a slightly different order.
My approach to training is to have fairly full slides so that attendees are free to participate in the conversations, knowing that the key points are already captured for them.
The slides therefore are a springboard allowing you to ask them for their experience and opinion. It goes without saying that adding in your personal examples is invaluable to the learning process.
The notes on each of the slides are suggestions/recommendations for what to cover in addition to the contents of the slide, based on experience of questions that have arisen so far.
You should check the highlighted links for additional information
Key references for trainers:
http://toolkit.voluntarysectorarchives.org.uk/introduction/introduction/
http://www.nationalarchives.gov.uk/information-management/manage-information/planning/records-management-code/implementation-guides/
Records management is a licensed work under the Creative Commons Attribution-NonCommercial-ShareAlike 4.0 International License. It involves understanding the definitions, purposes, stages, policies, procedures, and tools related to managing records effectively. This comprehensive regime encompasses deciding what records to create, organizing them to support business needs, and controlling their lifecycle. Identifying types of records, handling disaster scenarios, and maintaining the qualities of useful records are essential aspects of records management.
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Presentation Transcript
Where do I start with Records Management? T H I S W O R K I S L I C E N S E D U N D E R T H E C R E A T I V E C O M M O N S A T T R I B U T I O N - N O N C O M M E R C I A L - S H A R E A L I K E 4 . 0 I N T E R N A T I O N A L L I C E N S E . T O V I E W A C O P Y O F T H I S L I C E N S E , V I S I T H T T P : / / C R E A T I V E C O M M O N S . O R G / L I C E N S E S / B Y - N C - S A / 4 . 0 / O R S E N D A L E T T E R T O C R E A T I V E C O M M O N S , P O B O X 1 8 6 6 , M O U N T A I N V I E W , C A 9 4 0 4 2 , U S A .
Agenda The Cycle of Records Management Definitions Purpose of records management Stages of records management Records What should your policy cover? What about procedures? management policies Plans for improvement Records management toolkit Risk based approach Being pragmatic
Introducing you! In less than 30 seconds tell us: Name Organisation + v brief synopsis of what it does
Answers on a sticky note! What is it that concerns you most about Records Management?
Identify your records 1. On separate sticky notes write down the types of records you hold in your organisation, one type per sticky note. (Be fairly specific invoice files not finance records ) 2. Imagine a flood/disaster (plus simultaneous equivalent digital threat) scenario & split notes into 3 categories: Absolutely save Just desert Dither pile
What is a record? A record is any information created or received and maintained as evidence of an action or decision by a person or organization current used for day to day running historical showing what decisions were made & how
Qualities of a useful record authenticity reliability integrity usability
What is records management? a comprehensive regime which controls records through their lifecycle, including: deciding what records to create organising them so that they support business needs and authorised retrieval evaluating and imposing retention requirements documenting destruction or designation as archives Margaret Crockett, The No-nonsense Guide to Archives and Recordkeeping
Aims of records management: Inform decision making Track progress of projects and processes Provide evidence of: Policy Decisions Actions/activity Compliance with rules and regulations Compliance with regulations Institutional memory
Stages of Records Management 1.Creation 2.Organisation 3.Retention 4.Disposal (destruction/archiving) http://www.nationalarchives.gov.uk/documents/information-management/rm-code-guide4.pdf
Creation How to decide what to create Ask yourself if it will help you For different activities: Governance Day to day business Compliance with regulations Prove Remember Protect http://www.nationalarchives.gov.uk/documents/information-management/rm-code-guide4.pdf
Creation: Tips for naming documents Name them sensibly for the relevant activity. Titles should be concise, but contain enough relevant information. Use standard terms or forms for names, places etc.. Use the date format YYYYMMDD or YYMMDD Use whole names, or standard acronyms. If acronyms are used, ensure that the full description is spelt out within the document. Put document path in the footer
Creation: metadata for key records Identity of creator Function of creator Date of creation Location of record Versions
Lay your cards on the table In your groups: The pack of cards in front of you each represent a folder or set of folders for an organisation. Please organise them into logical groupings they may be in a number of layers in a hierarchy and name the groupings and suggest the top level names for each section.
Organisation: thoughts on filing structure Create structure to reflect your activities Create common practice across teams Set expectations for staff Keep it simple http://www.danceheritage.org/recordsmanagement.html#identification
Poor design! http://www.nationalarchives.gov.uk/documents/information-management/managing- electronic-records-without-an-erms-publication-edition.pdf
Retention & security Statutory requirements - GDPR considerations http://toolkit.voluntarysectorarchives.org.uk/introduction/introduction/#record -keeping-and-charity-regulation Access issues suitability of media email attachments Safety for digital records at least 3 copies kept updated, in at least 2 locations one can be cloud
Good Housekeeping: Suggested list of vital records Insurance records Financial records proving monies paid or owed Employee records for current pay cycle Records detailing operating rights, details of contracts, protecting against litigation Key operational records contact lists, Physical financial IP ownership records Incorporation Records & Board Minutes Manuals & codes for emergency procedures, - eg alarm system
Disposal Disposal decisions: to destroy records to retain records within in the organisation to transfer them to an archives service. http://www.nationalarchives.gov.uk/archives-sector/advice-and-guidance/managing-your-collection/archives-data- protection-law-uk/gdpr-faqs/
Disposal schedule http://www.nationalarchives.gov.uk/documents/information-management/rm-code-guide8.pdf
Records Management Policy
Just the minutes Imagine you are going to hold a Project/Board/Management Meeting and need to record the decisions from it and ensure that the right people are informed and can access the information in future. In your group work through the life of the minutes from their drafting at the meeting (as well as the normal journey, add in a request to view them from a member of staff not at the meeting) to their eventual archiving/destruction, and at each stage identify: Who needs to do something? What do they need to do? How is that verified/checked/confirmed? Would there need to be any policy/procedure for this?
What areas does your Records Management Policy need to cover? Purpose Scope Responsibilities Retention Review
Example Policy: University of London 1. Records are the evidence of our actions and decisions as a University 2. Keeping accurate records is the Responsibility of every member of staff 3. There are Risks around records (loss, damage, unauthorised access) which need to be managed 4. We should keep our records only as long as they are relevant or as long as we are required to by law and our Retention schedules 5. The public has a legal Right to access many of our records through FOIA or DPA https://london.ac.uk/sites/default/files/governance/Records_Management_policy_2 017.pdf
Procedures What records to keep Where to keep them Who should keep them When to keep them
http://www.nationalarchives.gov.uk/documents/information-management/rm-code-guide4.pdf
Records Management in Charities: A Toolkit for Improvement http://toolkit.voluntarysectorarchives.org.uk/ written by Dr Charlotte Clements
Making and implementing your records management improvement plan
Off the cuff risk assessment Think of a particular facet of your organisation s work How might your record keeping in this area: inhibit your organisation s performance? disrupt your activity? otherwise pose a risk? Make some notes for yourself to take back to work.
Be pragmatic Gather existing policies, procedures and practice Get the team involved Break it down
Take action! List three things that you are going to do to start work on improving your organisation s records management, state: what you are going to do who you will be accountable to for it when you are going to do it by
Final Thoughts Records management requires discipline - but does not need to be complex Improve step by step & take a risk-based approach Knowing what needs doing is just the start of it you need to bring people with you
Further resources: Go to http://www.voluntarysectorarchives.org.uk/ for a full list of further resources The National Archives implementation guides: http://www.nationalarchives.gov.uk/information-management/manage- information/planning/records-management-code/implementation-guides/
