Electronic Document

Management Systems EDMS

Overview and Learning
Outcomes

2
 OVERVIEW 3

▪ Records management is the systematic control of an organization’s records,

throughout their life cycle, in order to meet operational business needs,
statutory and fiscal requirements. Effective management of corporate
information allows fast, accurate and reliable access to records ensuring the
timely destruction of redundant information and the identification and
protection of vital and historically important records.
▪ The course focuses on using records management and archiving as a tool for
supporting organization’s business processes. Upon completion of this course,
participants will have the knowledge and skills necessary to perform their
records management and archiving duties more efficiently and effectively.
 OVERVIEW 4

▪ EDMS is a software system used to create, manage, track, and store important
documents and information. It keeps a track of the different versions modified
by authorized personnel over a period of time. It involves the digitalization of
information, standardizing document workflow systems, and records
management systems. It aims to get rid of the hard copy papers which
consumes space and time. Zoe Talent Solutions has designed this training
program for participants that belong to departments and functions that
oversee back-office processes or involved in a lot of repetitive documentation
processes.
▪ Implementing EDMS is a kick-start to digital transformation goals within a
company. Going digital with processes heads towards automation, analytics,
and modernized technological business operations
 Learning Outcomes 5

▪ Manage and control the flow of documents

▪ Carry out organizational recordkeeping within departments
requirements analysis ▪ Understand the concepts of scanning,
▪ Develop a robust records management plan indexing and archiving of documents

▪ Effectively implement a records ▪ Automate office support functions that

management system involve documentations

▪ Understand the best practices in records ▪ Understand the compliance requirements

management of ISO 9000 and other regulatory bodies

▪ Understand how to monitor and control a ▪ Know the different technologies available
records management system and involved in EDMS

▪ Understand the fundamental concepts of ▪ Engage in

Document Management Systems ▪ Automation of processed and business
▪ Learn the document lifecycle process workflow systems Ensure proper approval
processes are followed during the
▪ Comprehend the principles of unified document flow
archiving and indexing procedures ▪ Identify version and revision change during
▪ Create action plans for document and the history of the documents
records management framework
Unit 1: Introduction to
Records
 What is the Record 7

▪ "Public record" or "record" means recorded information that documents a

transaction or activity by or with any public officer, agency or employee of an
agency. Regardless of physical form or characteristic, the recorded information
is a public record if it is produced, collected, received or retained in pursuance
of law or in connection with the transaction of public business. The medium
upon which such information is recorded has no bearing on the determination
of whether the recording is a public record.
▪ Record is a “document, book, paper, photograph, sound recording or other
material, regardless of physical form or characteristics, made or received
pursuant to law or in connection with the transaction of official business.”
▪ State Record is defined as “A record of a department, office, commission,
board, or other agency, however designated, of the state government.”
 What is Record REALLY in
our lives? 8
▪ Documents a transaction or activity
▪ Includes all mediums regardless of
physical form or characteristic
▪ And is considered a public record if it is
produced, collected, received or
retained in pursuance of law or in
connection with the transaction of
public business
▪ Vital Records are those records
essential to the operation of the
organization and/or resumption of
operations following a disaster. These
are records that you must have to stay
in business, such as accounts
receivable, patents, current patient
files, or payroll records.
 What is not a record? 9

❑ Reference materials:
Reference texts, magazine and newspaper articles, textbooks, presentation handouts, extra
copies of official records, etc.
❑ Administrative and personal correspondence/e-mail:
meeting times, lunch dates, staff association memos, FYI memos, spam, etc.
❑ Personal materials:
serrand lists, bills, checkbooks, personal letters and/or photos, etc.
❑ Stationary, blank forms, and publications for distribution
❑ Copies of policy and procedure manuals
 What is not in a Record 10

▪ Transitory Information
▪ Duplicates
▪ Drafts
▪ Reference Materials
▪ Personal Communications
▪ Supplies
▪ Blank Forms/Media
 The role of an Employee
and the Agency in Records 11

▪ The Agency:
1.Ensure business continuity
▪ The Employee:
2.Support decision making
1. Control the growth of records
3.Preserve the corporate memory
2. Improve efficiency and
productivity
3. Integrate new Records
Management technologies
 Then what is Record
Management? 12

Providing the right information At the right time To the right people
Effectively & efficiently At the lowest possible cost.
 What about Formal
Emails 13

▪ Email is a format, not a record series. Asking how to file an email is the same as
asking how to file a piece of paper.
 What Email is a Record? 14

B. Criteria
Could this Email help make it clear how a business decision
A. Examples ▪
was made?
▪ Decisions ▪ Could this Email help me support or justify my actions?

▪ Policies, guidance or ▪ Could this Email form part of a financial, legal or business
procedures audit trail, claim or obligation?
▪ What has transpired or will transpire due to this message?
▪ Operations, organization
▪ Whose authority made a decision?
▪ Meetings or other activities ▪ What advice was given?
▪ Significant or historical ▪ What was involved?
information
▪ When did it happen?
▪ Is there a chronology of events?
 What Email is not a
Record? 15

▪ Emails which are for transmittal purpose only, contain no significant information
and do not require action
▪ Emails of a personal nature
▪ Emails received from a listserv
▪ Emails announcing social activities or events
▪ Emails that are the interim messages in a “string” of messages. Only the last
message in the “string” needs to be retained since all the information will be
contained in the “final” message in the series
 Managing Emails 16
▪ Email Management Responsibility
▪ Email generated within the Company
▪ The author of an Email deemed to be a record is responsible for the retention,
classification and disposition of the Email
▪ Recipients of the Email are not responsible for the retention of the Email. Their copy
can be deleted when it is no longer useful.
▪ Email generated outside the Company
▪ The recipient of an Email generated outside the company that documents official
business is responsible for the retention, classification and disposition of the Email
 Strategies for Managing
Email 17

▪ Manage Emails are soon as possible ▪ Print and Store

▪ Storage and Indexing ▪ Electronically (Recommended)
▪ Outlook Sub-Folders ▪ Perceptive Content
▪ Physically
▪ Create a structure of sub-folders and
move records from the Inbox ▪ Deletion
▪ Outlook Categorize ▪ Deleted records retained in Trash
for 45 days
▪ Create categories and apply to individual ▪ Sent Box
Emails
▪ Remember to purge non-records
▪ Search by category will assist with the from sent box on a semi-regular
application of retention basis
 Additional Information 18

▪ Public school employees are responsible for managing e-mails, including

messages sent and received.
▪ You are responsible for all e-mails you send. Your function within the school
system defines whether you keep e-mails you receive.
▪ Requests from the public for e-mail records, must be honored in the same
manner as other public records.
▪ E-mail records must remain accessible during their entire retention period and
should be maintained in such a manner as to permit easy access and timely
retrieval.
 Record Management Intro 19

▪ Sound/good records keeping and management practices are key to good

governance
▪ RM provides a basis for accountability and protection of rights and interests of
individuals
▪ It also forms the basis for policy formulation, managing resources and delivering
effective services to the public.
▪ Recorded information regardless of form or medium
❖Form [correspondence files, maps, plans, registers]
❖Medium [paper, microfilm, electronic format]
▪ Evidence of a transaction preserved for the evidential information it contains
 The Problem leaded to
Record Management 20

▪ Imagine:
I. Employees are keeping records in their offices;
II. Employees operating without approved File Plan and correct reference numbers;
III. Non and delaying in returning of files to Registries which created Internal Audit
Queries;
IV. Failure by the Office to dispose records from 2004; and
V. Loss of files/documents;
Any Solutions?

21
 Why is good recordkeeping
important? 22

▪ Information is a primary organisational asset that is needed now and into the
▪ future. Good recordkeeping underpins the provision of good business
information.
 Good recordkeeping helps
you to find and share the
information you need 23

▪ Your business relies on information. Without it, it cannot function. Good

recordkeeping can help you to find the information you need. It promotes the
creation of full and accurate records in the first place. It also involves storing
and managing records appropriately so that the information will be available to
you when you need it. It can also assist you to promote information sharing and
collaboration.
 Good recordkeeping results
in information that can be
trusted 24

▪ Good recordkeeping enables you to trust the information you find. Thanks to
proper recordkeeping processes, you can be confident that information has
authenticity and integrity, that data is in context, that you will be able to
understand past decisions and actions and that the information will withstand
scrutiny as evidence.
 Good recordkeeping helps
you to make sound
decisions 25

▪ If you can access and trust information then you can use it to make more
informed decisions and to take appropriate actions. Good recordkeeping helps
you to conduct better business.
 Good recordkeeping
protects you and your 26
organisation from risk
▪ Good recordkeeping can be your proof that you have made considered decisions
and taken appropriate actions. Records become your protection if you are
questioned or challenged. Without them, you are at risk.
▪ Good recordkeeping can not only protect you but can support your organisation
in legal or other challenges. It also protects the rights of your clients and
ensures that they have what they are entitled to. Without records, your
organisation and your clients are at risk.
▪ Good recordkeeping can also help you to comply with a range of legislation and
prevent legal challenges arising. It is a very powerful risk mitigation tool. It also
ensures that records are destroyed in a timely way which again mitigates risk.
 Good recordkeeping helps
you meet your
responsibilities for open 27
government
▪ Open government and the proactive release of information, under the
Government Information (Public Access) Act 2009, needs to be supported by
good recordkeeping. Good recordkeeping will help you to know what
information you have and what you can make more openly available.
 Good recordkeeping enables
information to be reused 28

▪ Business information that can be found easily and trusted can be repurposed
and reused in multiple ways. This creates efficiencies and business advantages.
It can help you to maximise scarce resources.
 Good recordkeeping can
bring you commercial
advantage 29

▪ Good recordkeeping can bring enormous competitive advantages and adds value
to your business. For example, information can be repackaged or mined for
business intelligence in innovative ways.
 Good recordkeeping can
save you money 30

▪ Good recordkeeping also helps you to routinely purge time expired business
information and therefore save money.
 Good recordkeeping helps
to build better business 31
systems
▪ Good recordkeeping involves the proactive identification of information
requirements and the configuration of business systems to meet these
requirements. Such work can guarantee that the business information can be
accessed, used and understood for as long as the business requires it, beyond
the life-span of individual business applications.
 Good recordkeeping
supports long term
accountability and 32
sustainability
▪ Good recordkeeping doesn’t only support your business now. It also supports it
in the future.
▪ With the challenges of media degradation, rapid technological change and the
barrage of new formats and applications lacking inherent recordkeeping
capability, this task is not easy and requires planning and vigilance.
 Good recordkeeping
supports long term
accountability and 33
sustainability
▪ Some government business information will continue to be needed for a long
time into the future. For example:
1.information that documents the rights and entitlements of staff and clients will
be needed to ensure rights and entitlements are honoured now and in the
future.
2.information about the expenditure of major public funds or the decision making
process for major policy developments will continue to be needed by
organisations to demonstrate their accountability
3.information about the construction of bridges, roads and other public
infrastructure will be needed to manage those assets in the future
4.key information will continue to be needed to document the rich history of our
localities, our states and our nation.
▪ Good recordkeeping ensures that longer term needs for information are
identified at creation and that the right information is sustained and remains
accessible for as long at it is needed.
Records Types

34
 1. Administrative Records 35
▪ Records which pertain to the origin, development, activities, and accomplishments of the agency. These
generally fall into two categories: policy records and operational records.
I. Policy Records:
▪ Records that relate to the organization such as plans, methods, techniques, or rules which the agency
has adopted to carry out its responsibilities and functions. These include three basic categories.
1. Organizational Documents: budgets and budget planning records, fiscal records, organizational and
functional charts.
2. Governing Documents: manuals, directives, orders, and interpretations issued from top authority levels,
correspondence files of high-level officials, regulations, circulars, instructions, memoranda or regular
issuances that establish a course of action, and staff studies or special reports relating to methods of
workloads and performances.
3. Reporting Documents: annual reports, periodic progress or summary reports, special reports or
accomplishment, transcripts of hearings, minutes of meetings and conferences, and agency histories.
II. Operational Records:
▪ Records necessary to implement administrative policies, procedures, and operations. The operational
value is the usefulness of a record in the conduct of an organization's business. Examples include
mandates, procedural records, or records that give direction.
 2. Legal Records 36

▪ Records of legal value include those with evidence of legally enforceable rights
or obligations of the State. These may include:

1.Records relating to property rights: land, probate, contracts, agreements,

leases, licenses.
2.Records relating to citizenship rights: vital statistics, such as birth, death,
marriage, some legal proceedings, and criminal cases.
3.Records relating to employment: veterans' records involving legal rights
attached to employment, basic state personnel records, and, in some cases,
payroll records.
4.Records containing information required to protect the State against claims or
to enforce statutes: executive orders, rules, regulations, and records to
establish or support judicial opinions and interpretations.
 3. Fiscal Records
37

▪ Records that have fiscal value relate to an agency's financial transactions. these
may be budgets, payrolls, vouchers, and accounting records. After records have
served their primary administrative purpose, it may be necessary to preserve
them to document the expenditure of public monies and to account for them
for audit purposes and requirements.
 4. Historical Records 38

▪ Records worthy of permanent preservation for reference and research purposes

are selected for deposit in the state Archives at the Connecticut State Library.
These records are retained for many uses. Public officials use archival records
to protect the government, to give consistency and continuity to their actions,
to prevent duplication of efforts, and to find successful ways for solving
recurrent problems. Records are also kept to protect citizens' legal rights and
for research in many fields to advance general knowledge and understanding.
 5. Research Records 39

▪ Records used in scholarly studies and investigations. Researchers want to extend

human knowledge using basic historical evidence. These records may include
important information on individuals, corporate bodies including their problems
and conditions, and significant historical events. Researchers may include case
files and correspondence of a regulative and quasi-judicial nature, statistical
and other data on economic development, population changes, and/or major
movements in our society. Many of these records have informational,
administrative, and archival value.
 6. Electronic Records 40

▪ The Connecticut Uniform Electronic Transactions act (CUETA) defines an

electronic record as "a record created, generated, sent, communicated,
received or stored by electronic means, including, but not limited to,
facsimiles, electronic mail, telexes and internet messaging" (CGS, Section 1-
267). Electronic messages sent or received in the conduct of public business are
public records.
 Some other types: 41

▪ Correspondence
▪ Grant decision letters
▪ Complaints
▪ Annual reports ▪ Photographs
▪ Investigative reports ▪ Publications
▪ Legislative reports ▪ Minutes
▪ Grant applications
▪ Drafts
▪ Laboratory reports
▪ Audio or video recordings
▪ Performance evaluations
▪ Workshop evaluations
 Important Qualities of
Records 42

▪ Scan & Upload Documents

▪ Use Detailed Naming Conventions
▪ Organize Files by Content Type & Date
▪ Re-evaluate Your System
▪ Make Organizing a Priority
Unit 2: Records Lifecycle

43
 Introduction 44

▪ Every record has a lifecycle which could be a few days or it could be

permanent. The records lifecycle is determined by how long it must be retained
to meet legal, administrative, fiscal, and historical requirements. Throughout
this process, a record must be appropriately managed and regulated for the
duration of its existence.
▪ Records lifecycle refers to the stages that each record must go through and be
managed during its lifespan. The lifecycle of records consists of three major
stages: creation or receipt, distribution and use, and disposition. Different
policies and procedures exist at each phase.
 Introduction 45

▪ The lifecycle is based on the notion that some records retain their value for a longer
period of time than others and that the value of records frequently changes throughout
time. A record with permanent retention, for example, retains its worth indefinitely, but
a record with three-year retention loses its value totally after three years.
▪ Records lifecycle helps organizations in effectively managing and maintaining records
from creation to disposition, ensuring that important records are accessible at any time
and improving compliance with various rules and regulations.
▪ Various records management activities occur at various stages of the records lifecycle,
which a records administrator undertakes at the beginning or end of the phase. The
duration of the life cycle is comprised of the phases taken together.
Records Lifecycle 46
 What Are The Stages of a
Records Lifecycle? 47

▪ Creation and/or Receipt

▪ Distribution & Use
▪ Disposition
 Creation and/or Receipt 48

▪ The first stage in the records lifecycle is creation. It refers to the reproduction
or production of recorded or documented data. This stage begins with the
creation or receipt of a record. For example, you may write a financial report
(creation) or receive a memo by email (receipt).
▪ Records must be created in the finest format available, and they must be of
high quality, accurate, valid, and dependable. They may be created in different
ways within organizations.
a)Compose and send emails
b)Creation of any MS office document types such as word, presentations,
spreadsheets, etc.
c)Transaction within an enterprise system
d)The receipt of word documents, emails, excels, and so on
▪ Records are considered active at this stage.
 Distribution & Use 49

▪ Stage two of the records lifecycle is called “Distribution & Use”. After a record
is created or received, it passes through a distribution and usage phase. The
distribution in the life cycle of a record includes both internal and external
distribution and the impact on the entire or a portion of a business.
▪ The record is widely used during this phase and must be maintained in an easily
accessible location for easy access and use. The record might be kept for a few
hours or years, depending on the retention schedule.
 Disposition 50

▪ The last phase of the records life cycle is the disposition and involves records
being destroyed. When inactive records retention periods expire, the records
life cycle comes to an end.
▪ Now that the records are no longer required, the record can be deleted or
transferred to archives.
▪ At the end of a record’s lifecycle, the records management team must
determine whether to destroy or keep the record. Records must be disposed of
properly to avoid future issues, whether this involves transferring them to
archive storage, another organization, or fully destroying them.
▪ In most situations, this will imply physically destroying the record or, in the case
of electronic records, removing the records from the electronic system and its
backups.
 Disposition 51

▪ Destruction can be carried out in a variety of methods, including, but not

limited to:
1.Disposing of in the bin
2.Shredding of paper document
3.Deleting of electronic document
4.Shredding of optical disk
 Other Records Lifecycle
Stages 52

A.Store
It is critical to ensure that records are correctly preserved in order to give simple access
throughout the firm.
This phase will cover how to properly keep paper documents as well as how and where to store
electronic documents.
B.Secure
Maintaining records appropriately ensures that they can always be accessible when needed, no
matter how old they are.
It is not enough to just gather and preserve records; it is also critical to guarantee that only
those with the appropriate access may examine their content.
Depending on the format of the documents, securing them is handled differently. Paper papers
must be filed in a cabinet that should only be accessible to authorized staff. Furthermore,
permissions on electronic documents should be addressed immediately following the storage
phase.
 What Are The Importance of
Records Lifecycle? 53

▪ Organizations may handle their records more efficiently and effectively with
strong records management practices, which increases productivity and the
overall effectiveness of corporate operations.
▪ Records lifecycle ensures that all records are managed and preserved
appropriately and that they are disposed of or archived in line with their
retention plan in order to comply with various compliance standards and
regulations.
▪ Without the lifecycle, records management initiatives would never be cost
viable, and the efficiency with which they are administered would suffer.
Unit 3: Introduction to
Records Management

54
 Identification 55
▪ The Record Management defined as Wikipedia: Records management, also known as
records and information management, is an organizational function devoted to the
management of information in an organization throughout its life cycle, from the time
of creation or receipt to its eventual disposition. This includes identifying, classifying,
storing, securing, retrieving, tracking and destroying or permanently preserving records.
The ISO 15489-1: 2001 standard ("ISO 15489-1:2001") 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".
▪ An organization's records preserve aspects of institutional memory. In determining how
long to retain records, their capacity for re-use is important. Many are kept as evidence
of activities, transactions, and decisions. Others document what happened and why. The
purpose of records management is part of an organization's broader function of
governance, risk management, and compliance and is primarily concerned with
managing the evidence of an organization's activities as well as the reduction or
mitigation of risk associated with it. Recent research shows linkages between records
management and accountability in governance.
 Concept of Record 56

▪ The concept of record is variously defined. The ISO 15489-1:2016 defines records as
"information created, received, and maintained as evidence and as an asset by an
organization or person, in pursuit of legal obligations or in the transaction of business".
While there are many purposes of and benefits to records management, as this
definition highlights, a key feature of records is their ability to serve as evidence of an
event. Proper records management can help preserve this feature of records.
▪ Recent and comprehensive studies have defined records as "persistent representations
of activities" as recorded or created by participants or observers. This transactional view
emphasizes the importance of context and process in the determination and meaning of
records. In contrast, previous definitions have emphasized the evidential and
informational properties of records. In organizational contexts, records are materials
created or received by an organization in the transaction of business, or in pursuit of or
in compliance with legal obligations. This organizational definition of record stems from
the early theorization of archives as organic aggregations of records, that is "the written
documents, drawings and printed matter, officially received or produced by an
administrative body or one of its officials
 MANAGEMENT OF
RECORDS 57

▪ Records management consists of several fundamental activities that each

program must undertake in order to ensure an effective program. Records must
be clearly identified, organized into series, and stored in offices using file plans
that document the method used to organize the records. Records must be
appropriately scheduled, in accordance with the country law, with their
retention period and disposition clearly noted. The disposal of records must be
consistent and systematic and must be conducted legally and in accordance
with the appropriate schedules.
 FUNDAMENTAL ACTIVITIES 58

▪ Records Creation
▪ Records Inventory
▪ Filing Plans
▪ Retention Schedules
▪ Records Storage
▪ Records Retention & Disposition
▪ Records Destruction or Historic Preservation
 RECORDS CREATION 59
▪ Records are normally created to document a transaction, to support a right or a claim,
to explain/implement a policy, to inform clients and users, to protect organizational
rights and liability and to provide accountability. In order for records to accomplish
these functions, they must:
▪ Be prepared in the normal course of business
▪ Have an independent business purpose.
▪ Be complete, accurate and reliable.
▪ Be created with no motive to misrepresent or commit fraud.
▪ Be prepared without foreseeing litigation.
▪ Be factual.
▪ Be authentic.
 RECORDS CREATION 60

▪ In order to be complete, accurate, reliable, and authentic, records must have content,
context, and structure. These concepts are critical to the creation and understanding of
any record, but are particularly necessary to the understanding of digital records.
▪ Content means: the intellectual substance of a document including text, data, symbols,
numerals, images, and sound.
▪ Context means: the organizational, functional or operational circumstances surrounding
the materials creation, receipt, storage, or use, and its relationship to other materials.
Context is information that will assist the user in understanding the content.
▪ Structure means: the manner in which elements are organized, interrelated, and
displayed. This can be the original way that the information was made and reproduced
on a screen. It reflects the logical hierarchy of and the relationship between the parts
of the record.
 Information Analysis 61
▪ Information analysis, also referred to as records appraisal, is the determination of the value of the
content of a given record. Multiple parties are involved in appraising records: the creating office,
campus legal counsel and internal auditors; and the campus records officer.
▪ Administrative Value: The usefulness or significance of records to support ancillary operations and the
routine management of an organization. Records having administrative value are generally considered
useful or relevant to the execution of the activities that cause the record to be created and during the
audit of those activities.
▪ Fiscal Value: The usefulness or significance of records containing financial information that is necessary
to conduct current or future business or that serves as evidence of financial transactions.
▪ Historical Value: The usefulness of records for historical research concerning an organization’s functions
and development, or for information about persons, places, or events.
▪ Legal Value: The usefulness or significance of records to document and protect the rights and interests
of an individual or organization, to provide for defence in litigation, to demonstrate compliance with
laws and regulations, or to meet other legal needs.
▪ Research or informational value: Within the University environment, records often have research value.
This is the value or significance to the materials based upon their content, independent of any intrinsic
or evidential value.
 RECORDS INVENTORY 62

▪ A records inventory is an identification, description, and qualification of all of

the records possessed by an organization, usually at the series level. It is a fact
finding process that identifies and describes the characteristics of records
created or received by all or part of a business, governmental agency, or other
organization. For electronic records, it is often beneficial to conduct an
information resources survey which collects many of the same types of
information but also identifies the function or process to which the information
relates. It also collects information about the supporting information system;
documentation, hardware, software, used to maintain the information system
that support the creation of records and or documents transactions.
 FILING PLANS 63

▪ Filing plans describe different types of files, how they are identified, where
they should be stored, and how they should be indexed for retrieval. These
plans classify and establish naming conventions for the appropriate organization
of records and information in order to support effective access and retrieval.
 RETENTION SCHEDULES 64
▪ Similar records, related by creator and function, are grouped into entities called record
series. Each series is assigned a specific retention period – the length of time required
for the records to fulfill their legal, financial, or administrative requirements. The
records retention schedule (RDA in state parlance, for Records Retention Disposition
Authorization) is the document that lists these elements. It describes the records at the
series level, including a brief description of the content and type of medium; denotes
the retention period; and gives instructions for final disposition. In accordance with
Wisconsin state law, all public agencies, including UW system campuses, produce RDAs
for all the record series that they create. Schedules expire, or “sunset” every ten years
and each campus should have in place a regular review process for submitting sunset
schedules to the Public Records Board for renewal. The UW System is working with its
component campuses to develop general records schedules that will apply to general
classes of administrative records that occur across the System. Each campus department
or office should make an effort to apply these particular schedules whenever practical
and thereby avoid the needless creation of specific office schedules.
 RECORDS STORAGE 65

▪ It is important to file and store records, no matter their medium, in accordance with
the department or office’s formal file plan in order to make records retrieval efficient
and accurate. In the absence of a formal file plan, offices must strive to store their
records in meaningful, practical arrangements that will allow staff to manage and
access them effectively and to make them available to citizens. Records, no matter
their medium, must be stored in locations that protect their physical security, their
intellectual integrity, and, in the case of confidential information, the privacy of their
subjects. Vital records, the essential records of an office, must be stored with particular
attention to their security. Active records need to be stored in or near the department
or office that created them, to facilitate ease of access by those who need them.
Inactive records can be transferred to offsite storage if desired. Records must be made
available only to users with appropriate permission. Electronic records must be
maintained on media that ensure ease of access, security, and authenticity. They must
be shielded from deletion until the end of their retention period has been reached.
Record copies of electronic records must be stored on a network server or an enterprise-
wide document management system. Record copies should never be primarily stored on
a local hard drive or on removable media such as CDs or memory sticks.
 RECORDS:
DISPOSAL/DESTRUCTION OR 66
HISTORICAL PRESERVATION

▪ When a record reaches the end of its scheduled retention period, it must be disposed of
in accordance with its approved schedule. Records are either destroyed or, in the case
of historically valuable records, transferred to the appropriate UW campus archives.
Confidential records must be destroyed by shredding, if they exist in physical form.
Confidential records in electronic format must be deleted in a manner that ensures that
the information contained in them is not captured and retained elsewhere.
Unit 4: ROLES OF VARIOUS
RECORDS MANAGEMENT
UNITS

67
 68

▪ https://blink.ucsd.edu/HR/policies/conduct/records.html
 69

▪ Records Classification is a hot topic. Discussions surrounding records

classification do not seem to cease, as this continues to be the centre of
records management issues experienced by many. In my view as a records
manager, the importance of classification often tends to be misunderstood or
dismissed by end-users and even IT professionals. On the other hand, I realize
that records managers should put more effort into developing strategies that
address the concerns expressed by others.
 70

▪ For those new to the concept, classification is the "systematic identification and
arrangement of business activities and/or records into categories according to
logically structured conventions, methods, and procedural rules represented in
a classification system" (ISO 15489-1).
▪ The term is also referred to as classification system, classification scheme, file
plan, and records retention and disposition schedule (makes up a part of a
classification system). Readers may also point out that classification and
classification system are considered two different terms. In this blog, I treat
both the same, but either approach is fine; basically, classification is
represented in a system (classification system).
 What does a records
manager do? 71

▪ establishing new records management systems

▪ developing, maintaining, verifying and evaluating existing systems
▪ overseeing the switch from paper to electronic record-keeping
▪ writing reports and publications
▪ dealing with enquiries and requests for information from both internal and
external clients
▪ ensuring that financial, legal or administrative requirements and regulations are
complied with
▪ ensuring that data is protected
 What does a records
manager do? 72

▪ classifying and indexing records

▪ destroying or archiving finished data/records
▪ ensuring that records are easily accessible when needed
▪ providing training to staff who require access or have responsibility for
maintaining records.
 Project Manager 73

▪ While the role is advertised for in its own right, in some organisations the job
might be combined with that of:

▪ a project manager (information management is a key element of project

management)
▪ an information science or management role (that often has a wider remit than
record management)
▪ an IT manager
▪ a regulation and compliance officer or regulatory affairs manager
▪ an archivist.
 Typical employers of
records managers 74

▪ Any organisation that handles large amounts of information may require the
skills of a records manager; key sectors where you might find record managers
are those where there is a great deal of regulations and supervision, such as the
nuclear industry, healthcare and finance.
 Typical employers of
records managers 75

▪ technology companies
▪ universities, higher education institutions and further education colleges
▪ local authorities, the Civil Service and the intelligence services
▪ financial services organisations
▪ construction companies, utility companies and other organisations connected
with power (particularly nuclear)
▪ pharmaceutical companies
▪ charities, retailers and other companies that store data for marketing or
consumer research purposes
 Qualifications and
training required 76

▪ You usually need a degree to become a records manager. There are one or two
undergraduate degrees in information management and record management
accredited by the Archives & Records Association (ARA) and CILIP, but employers
don’t usually ask for a specific subject at undergraduate level. However, it is
common for them to require applicants to have a postgraduate qualification in a
records, archive and/or information management specialism.
▪ The vast majority of vacancies do require you to have gained related work
experience, which you can gain through voluntary work or paid placements
(bear in mind that these can be competitive to secure).
▪ It’s also not unknown for entrants to have started out in a scientific research,
technology, government or financial role and to have moved across into record
management, having gained the relevant postgraduate qualification if required
 Key skills for records
managers 77

▪ Patience
▪ Meticulousness
▪ Capable of prioritising
▪ Good problem-solving skills
▪ Analytical skills
▪ Administrative skills
▪ Organisational skills
▪ Communication and influencing skills, especially when requiring colleagues to hand over
records or to use the systems correctly
▪ Confidence with using bespoke and standard databases, software and operating systems.
 Who is responsible of the
records? 78

▪ All government employees have a duty to create full and accurate records of
their actions, and file or capture them in a formal recordkeeping system.
Employees at all levels must not destroy government records except as provided
by an approved records schedule, and in accordance with established
procedures for records destruction. All government employees are encouraged
to take the online course “Introduction to Records and Information Management
in the Manitoba Government,” available through the Learning Management
System (LMS), to learn more about their role and responsibilities. For more
information on the course and a link to the LMS, see Training.
 Who is responsible of the
records? 79

▪ Program managers are responsible for ensuring that the specific records
requirements of their program are defined and understood, that responsibility
for creating and managing records is assigned, and that the necessary systems
are in place to support recordkeeping. Managers should ensure that all records
in their custody and control are covered by current records schedules, and that
schedules are regularly implemented.
 Who is responsible of the
records? 80

▪ Employees with responsibility for records management functions, such as

managing file systems or carrying out the provisions of records schedules,
should follow established practices and procedures and ensure that records
management actions are documented. It is recommended that every
department have an identified senior manager responsible for RIM, dedicated
records management professionals to analyse and lead RIM activities, and
technical staff responsible for digital and physical records management. These
roles and responsibilities are evolving as digital recordkeeping transforms how
we work and how we create and receive records.
 Who is responsible of the
records? 81

▪ The Government Records Office is responsible under The Archives and

Recordkeeping Act for establishing policies, standards, and guidelines for
recordkeeping across government, including the creation, identification,
maintenance, retention, disposition, custody, and protection of records. It
identifies records of archival value through the records scheduling process, and
is involved in planning for the long-term protection and use of these records.
The Government Records Office also provides records storage services to
government through the Government Records Centre.
why classification is
important

82
 Classification provides
context of records 83

▪ Many people, particularly IT professionals, question the need for classifying

documents when enterprise systems can fully index content. Indexing of content
or metadata is not sufficient for establishing the context of records. This is
important because we can segregate records of value from records of little or
no value. While the value of certain information can be a subjective matter and
differs depending on the goals for seeking the particular information, records
classification helps narrow down places where reliable information may reside.
 Classification provides
context of records 84

▪ Subsequently, it aids searchability. When there is a particular topic of records to

search but hardly any information other than a few keywords are provided,
users initiate the research by identifying classifications that may apply to that
particular topic. When records are filed properly and/or they are audited
systematically by records managers, the success rate for this methodology is
often high.
 Classification specifies
retention and disposition of 85
records
▪ “Storage is cheap, so why bother deleting data?” is another popular remark I
often hear others say. Indeed portable storage units are getting cheaper. But to
acquire sturdy, reliable and corporate-capable storage can be expensive. In
fact, why keep records when you don’t need them or are not required to keep
them and become subject to unnecessary litigation? Records that are destroyed
according to law and organizational policy along with the retention/disposition
schedule are far less likely, or not at all likely, to be subject to litigation or
accused of spoliation. This is a financially sound risk management strategy.
 Tips To Improve Filing
Accuracy 86

▪ Many would agree with me that an Electronic Document Records Management

System (EDRMS) is only as good as its implementation success rate. An
organization may have purchased the most up-to-date records management
application with all the bells and whistles, but if end-users do not favour using
it, the application hardly has any value or use to the organization. In other
words, if records are not filied to the correct classification, they cannot be
found easily, and the retention and disposition applied to them may be
incorrect. On the other hand, end-users often find identifying the correct
classification to file documents a time-consuming task while others fear filing
them incorrectly. Here are 4 tips to improve your organization's filing accuracy
while allowing users to classify records more easily:
 Simplify your file plan
scheme 87

▪ Do you have too many classification code subsets or subsets of subsets? While
end-users often favour a desktop folder-like structure, it can also be a
cumbersome task to continuously drill down to aggregates of aggregates to find
the right classification. Analyze which aggregates can be grouped together and
which should be broken down. Break down groups only if functional activities
seem too broad, the volume of records they fall under are so high that it is hard
to navigate through them or manage them, or when the retention schedules are
significantly different.
 Use easily recognized
codes 88

▪ File codes should be easy to recognize. Utilize numeric or alphabetic codes that
are easy to identify or frequently used by end-users as part of their business
activities.
▪ Acronyms and abbreviations can be easier to recognize, if they are adopted
organization-wide. Incorporate them as part of the classification code. Which
classification code is easier to understand and identify? For Circulation – Times
Magazine, "055-33" or "055-TIMES"?
▪ Incorporate unique identifiers or device numbers that the organization (office of
the primary responsibility) uses to specify any procedural or contract
documents. The fewer numbers or codes users need to become familiar with,
the easier it is to adopt.
 Create Cheat-sheets For
Users 89

▪ Perform a quick analysis of the end-user’s (or his/her colleague’s) types of

documents they often generate or receive. Find those codes and create a
commonly-used-classification list for the user to use as a reference. Or create a
list for a group of users who share a similar job responsibility.
 Consider an Intuitive
Solution 90

▪ What if we can still classify documents correctly while freeing users from having
to perform that task? Can we really have the cake and eat it, too? Collabware
CLM for SharePoint offers a way to classify documents automatically by utilizing
a type of metadata value that end users input or select as part of their regular
activities. For example, when a user creates a Contract document and inputs a
contract number into the document, CLM will recognize that contract number
value and classify the document accordingly. Furthermore, it can also complete
(populate) other necessary values that are associated to the classification to
metadata fields in the document’s profile.
 Sidenote 91

▪ Some argue records classification does not necessarily work for everyone. It
may be true, classification expresses one type of records context that is often
not specific enough. In a digital environment, records relationships can be
dynamic and can constantly grow. But with the classification as the basis, users
can utilize other metadata fields to create different types of records context.
Email Management Tool via
Outlook

92
 Introduction 93

▪ You launch a major project at work, complete a complex task on deadline, or find a
solution to an ongoing problem, but none of those accomplishments feel quite as
rewarding as that rare moment when your email inbox is empty.
▪ Automate your inbox
▪ There’s good news: achieving Inbox Zero doesn’t have to be a rare occurrence. Take
advantage of these sometimes-overlooked features in Outlook 365 to better organize
your emails and start focusing on more important tasks.
 Sort emails by priority 94

▪ This is where folders come in handy. Categories can help here too, but folders
will really help you sort your inbox and group them into similar email
collections.
▪ When looking at your inbox, you should be able to judge which emails are a high
priority and which ones can wait a little longer.
▪ How you choose to order your emails into folders is entirely up to you and your
preferences, but of course, we have some recommendations.
 Create a few different
folders that are similar to
the following: 95

1.To do: emails that need to be answered or dealt with but that aren’t highly
urgent.
2.Follow up: a reminder folder for emails you need to follow up on if you’re
waiting for a reply or for further information.
3.Later: for emails that aren’t urgent at all or don’t require a response, but that
you’d like to review at a later date when you have more time.
▪ Another recommendation is to leave your high-priority messages in your inbox
so that they’re the first thing you see when opening Outlook. This is where you
can use categories to mark an email as urgent.
▪ Aside from the standard categories listed above, you can also create folders for
very specific ones.
▪ For example, if there’s a special project you’re working on, you can create a
folder for it or a designated folder for email conversations with a certain
manager or coworker.
 Create automatic rules 96

▪ Wouldn’t it be nice to have your Outlook incoming emails set into specific
folders automatically? Well, it’s your lucky day, because I have a way for you to
do just that with automated Outlook rules.
▪ Automated rules will help filter and sort emails when they come into your
inbox. Creating rules helps emails land in the right folder so that they avoid
distracting you from the high-priority messages you still have in your inbox.
▪ You can create rules so that emails from a specific sender will always go to a
designated folder, or emails with a set word or phrase in the subject line will go
to a certain folder.
▪ Alternatively, if you’re regularly getting spam messages that land in your inbox,
you can set them to go to the trash folder (just be careful that you don’t
accidentally send important memos from your boss to the trash as well).
 How to create automated
rules in Outlook 97

1.Right-click on an email and in the dropdown menu click on Rules and then
Create Rule.
2.A popup will appear with a few different options. For example, to send a
message to a folder with a specific word in the title, select Subject Contains,
and set your words
3.Next, select the folder it will go to by ticking the Move the item to folder box
and then click on Select Folder to choose which one.
4.Click on OK to apply the new rule.
 Organize Outlook inbox
with coloured categories 98

▪ We already looked at the basics of categories and color-coding, but this can be an
extremely helpful organization tool, so it’s worth taking a second look at.
▪ Before, we saw how colour categories can be used to label emails based on their
priority, but there are many more ways to use these coloured labels to organize your
emails in Outlook.
▪ You can create categories for the following types of messages:
1.Email priority
2.Appointments
3.Meetings
4.Purchase confirmations
5.Personal emails
6.Newsletters
 Use Outlook’s Task List
Instead of Clogging Your 99
inbox
▪ Some emails don’t require an immediate response, but they do need to be handled
before the time you have scheduled to review items in your to-do folder. These
items can still be moved to your to-do folder so they’re not clogging your inbox, but
you’ll want to make sure that you have a reminder to take care of them before a
deadline.
▪ Create a reminder by adding these emails to Outlook’s task list:
▪ Drag the email and drop it on Outlook’s task list icon.
▪ Add a due date and set a date and time to receive a reminder. Save the task.
▪ You can now hover your cursor over the task list icon to see a quick view of your
task list, organized by due date. Click on the task list icon to open your to-do list
and review the respective tasks.
▪ If you set a reminder, the task will pop up like a meeting reminder at the specified
time.
▪ Once the task is complete, mark it as such to remove the task from your to-do list.
Open the task by double-clicking it, and click the "Mark Complete" button—or just
press the Insert key to quickly mark the item complete.
Supportive Videos

100
YouTube Videos as a
conclusion 101
YouTube Videos as a
conclusion 102
 Electronic Document
Management Systems EDMS
– Day 2
CLASSIFICATION OF
RECORDS

104
 Classification 105
▪ Records managers use classification or categorization of record types to logically
organize records created and maintained by an institution. Such classifications assist in
functions such as creation, organization, storage, retrieval, movement, and destruction
of records.
▪ At the highest level of classification are physical versus electronic records. (This is
disputable; records are defined as such regardless of media. ISO 15489 and other best
practices promulgate a function based, rather than media based classification, because
the law defines records as certain kinds of information regardless of media.)
▪ Physical records are those records, such as paper, that can be touched and which take
up physical space.
▪ Electronic records, also often referred to as digital records, are those records that are
generated with and used by information technology devices.
▪ Classification of records is achieved through the design, maintenance, and application
of taxonomies, which allow records managers to perform functions such as the
categorization, tagging, segmenting, or grouping of records according to various traits.
 Enterprise records 106

▪ Enterprise records represent those records that are common to most

enterprises, regardless of their function, purpose, or sector. Such records often
revolve around the day-to-day operations of an enterprise and cover areas such
as but not limited litigation, employee management, consultant or contractor
management, customer engagements, purchases, sales, and contracts.
▪ The types of enterprises that produce and work with such records include but
are not limited to for-profit companies, non-profit companies, and government
agencies.
 Industry records 107

▪ Industry records represent those records that are common and apply only to a
specific industry or set of industries. Examples include but are not limited to
medical industry records (e.g., the Health Insurance Portability and
Accountability Act), pharmaceutical industry records, and food industry records.
 Legal hold records 108

▪ Legal hold records are those records that are mandated, usually by legal counsel or
compliance personnel, to be held for a period of time, either by a government or by an
enterprise, and for the purposes of addressing potential issues associated with
compliance audits and litigation. Such records are assigned Legal Hold traits that are in
addition to classifications which are as a result of enterprise or industry classifications.
▪ Legal hold data traits may include but are not limited to things such as legal hold flags
(e.g. Legal Hold = True or False), the organization driving the legal hold, descriptions of
why records must be legally held, what period of time records must be held for, and the
hold location.
 Records retention
schedule 109

▪ A records retention schedule is a document, often developed using archival

appraisal concepts and analysis of business and legal contexts within the
intended jurisdictions, that outlines how long certain types of records need to
be retained for before they can be destroyed. For the retention schedule to be
utilized several guidelines need to be put in place so as to be considered for
implementation.
Types of classification
schemes

110
 EXPLAINING
CLASSIFICATION TYPES 111

▪ Two classification tools are compared: a records classification scheme and a

functions thesaurus. One is a hierarchical representation of a business
classification scheme and the other an alphabetical representation. The purpose
of the comparison is to help you make decisions regarding the most appropriate
tool for your organisation. The selection process should take into account your
organisations business information systems and the availability of resources to
develop the product. Organisations may adopt different classification tools over
time, depending on the nature of their business environment.
 What is a business
classification scheme? 112

▪ A business classification scheme is a conceptual representation of the business

activity performed by an organisation. It is a by-product of the analysis of
business activity undertaken in Step B of DIRKS. It is a hierarchical model of
what an organisation does. The business classification scheme is the foundation
from which the classification tools described in this overview are developed.
▪ Table 1 shows a ‘bare bones’example of a portion of the Attorney-General’s
Departments business classification scheme relating to the function of
legislative drafting and its associated activities. In a business classification
scheme, only the hierarchical relationship of activities to their particular
function is provided.
What is a business
classification scheme? 113
 What is a records
classification scheme? 114

▪ A records classification scheme is a classification tool presented in a hierarchical

structure. It is sometimes referred to as a file plan or record plan . Stemming from
an organisations business classification scheme, it is a tool for classifying records
and other business information, based on the business activities that generate
records in a particular organisational setting. When applied to a business
information system it can facilitate the capture, titling, retrieval, maintenance and
disposal of records and other corporate information.
 What is a records
classification scheme? 115

▪ Often a records classification scheme is depicted as a directory or folders

structure. It can provide classification to two, three, and sometimes four,
levels. Terms are allocated according to established rules or conventions. The
components of the records classification scheme are displayed hierarchically in
the order, or ranking, of function ñ activity ñ topic ñ subtopic. Records
classification scheme applications range from simple folder utilisation to
applications with relatively sophisticated navigation options.
▪ When a records classification scheme is accessed via a desktop application,
users may initially see only the top level of classification terms ñ ie, function
terms. The terms at this level of the hierarchical ranking are usually listed
alphabetically, as shown in Figure below, of the National Archives record plan in
its corporate business information system.
What is a records
classification scheme? 116
 What is a records
classification scheme? 117

▪ In an electronic business information system, users can select the folder with
the function term they wish to apply, to reveal a drop-down list of the second-
level classification terms –ie, activity terms –linked to that function. For
example, when the function term Access Management is selected, the activity
terms linked to the function are displayed, as shown in Figure 3.
▪ Figure 3 –The National Archives record plan showing activity-level classification
terms under the function of Access Management
What is a records
classification scheme? 118
 What is a records
classification scheme? 119

▪ Third-level classification terms are topic terms. In some records classification

schemes, the third level of classification is ‘free text’. This means users are able
to type in their own terms, or a short phrase, to describe the transactions being
documented. In other records classification schemes, clicking on the activity
folder reveals a list of third-level classification terms and phrases that users can
apply to records and other business information.
 What is a records
classification scheme? 120

▪ It is not always easy to identify the right terms for the activity –transaction being
documented. A user may find that, because they are thinking at the activity
level rather than the function level, the function –activity context that is
displayed is not appropriate. As a result, they may have to scroll through several
hierarchical relationships to find the right combination of terms for
classification.
 What is a records
classification scheme? 121

▪ Depending on the functionality of the classification tool, there may be several

ways to navigate to the correct classification terms. Sometimes scope notes will
be available to assist users. More sophisticated applications for records
classification schemes can have the functionality to list all the
classification ‘strings’in which a term appears. Users can then navigate to the
most appropriate combination by selecting from the displayed list.
 What is a records
classification scheme? 122

▪ Using a Keyword AAA (CV) term as an example, selecting the activity

term ‘Acquisition’could display the following classification options:
 What is a records
classification scheme? 123
▪ Equipment and Stores –Acquisition –Appliances
▪ Equipment and Stores –Acquisition –Order Forms
▪ Equipment and Stores –Acquisition –Stationery
▪ Fleet Management –Acquisition –Vehicles
▪ Financial Management –Acquisition –Requisitions
▪ Information Management –Acquisition –Library Materials
▪ Information Management –Acquisition –Publications
▪ Information Management –Acquisition –Inter-library Loans (ILL)
▪ Property Management –Acquisition –Building Materials
▪ Technology and Telecommunications –Acquisition –Hardware (computers)
▪ Technology and Telecommunications –Acquisition –Software
▪ Technology and Telecommunications –Acquisition –LAN
 What is a records
classification scheme? 124

▪ Records classification schemes always provide some navigational paths, such as

links between related terms. But their navigational paths are limited. For
example, records classification schemes do not link terms that a user may think
are appropriate but which are not used for classification –ie, non-preferred
terms –to terms that are used for classification –ie, preferred terms.13 Scope
notes are not always available to explain the meaning of terms, which can lead
to misinterpretation and incorrect classification. The limitations of a records
classification scheme can reduce efficiency of records retrieval.
 EXPLAINING
CLASSIFICATION LEVELS 125

▪ The number of classification levels required for classifying and titling records
and other business information must be decided, as this affects the depth of
detail in the classification tool and degree of training that will be required by
users. The terms used in the organisation’s business classification scheme form
the basis of the terms used in the classification tool. These terms will need to
be assessed for their suitability to translate into terms for titling purposes.
▪ As described in Part Two: Explaining Classification Tools, a classification tool can
be developed to four (or more) levels of classification. The number of
classification levels incorporated into the classification tool will depend on
factors such as the:
 EXPLAINING
CLASSIFICATION LEVELS 126

▪ Purpose(s) of the classification tool

▪ Expertise of users
▪ Sophistication of the technology
▪ Type of business environment in which users work
▪ Weight and support given to accountable recordkeeping practice by the
organisation
▪ Extent of the business information system in which it will be used.
 EXPLAINING
CLASSIFICATION LEVELS 127

▪ With some training, most users are capable of classifying records and other
business information to the first and second levels. In particular, users are often
adept at classifying at the activity level, as this is the context they are most
familiar with. However, sometimes users find it difficult to see above or below
the activity level when classifying their business information.
▪ It is important to keep the classification tool intuitive to users, as they are the
key to its success or failure. Maintaining communication with users is vital,
particularly when further analysis is required to develop appropriate terms that
have meaning to users. If user needs are not taken into consideration, the
classification tool may be ignored. As a result, unauthorised, parallel
recordkeeping systems will develop. This has consequences for the effective
sharing of knowledge, and efficient tracking of records and other business
information throughout the organisation.
 What are classification
levels? 128

▪ Classification levels are the degrees of specificity incorporated into a

classification tool. A business classification scheme has three components, or
levels:
▪ A broad, encompassing category, called a function
▪ A narrower subset of the function, called an activity
▪ A narrower and more specific subset of the activity, called a transaction.
 What are classification
levels? 129

▪ In general, the levels of classification incorporated into a classification tool

correlate to the levels developed in the organisations business classification
scheme. The same terms used in the business classification scheme are, in
general, used at the corresponding levels developed in the classification tool. In
most cases, the top level of classification is the same as the function level in
the business classification scheme, with the second level of classification the
same as the activity level. The third level of classification is known by various
names, such as the transaction level, the subject descriptor level or the topic
level. Terms from each classification level are ‘strung’
 What are classification
levels? 130

▪ together and known as a ‘classification string’. In this document, they are strung
together as ‘FUNCTION –ACTIVITY –TOPIC –SUBTOPIC’.
▪ Many terms in a classification tool are accompanied by scope notes. Scope notes
define the breadth of a term and clarify its meaning and use in a particular
organisation. Function and activity terms used in a classification tool that are
derived from the agency’s business classification scheme, should already have
scope notes, which were developed during the analysis of business activity
undertaken in Step B of the DIRKS process. If you need to compose scope notes
for topic or subtopic terms in the classification tool, further guidance is given in
Step B of the DIRKS Manual.
Classification Examples

131
 Organisation-wide business
information system 132

▪ Develop either an alphabetical listing of all terms or a standardised listing of

the records classification scheme to simplify the classification process, reduce
reliance on training and improve consistency in classification.
▪ Develop third level of classification to reduce reliance on free text.
▪ Incorporate non-preferred terms for navigation to preferred terms.
▪ Detailed, clear scope notes explaining the meaning of terms.
▪ Instant access through desktop icon in an electronic application.
▪ ‘User Friendly search options
 Remote users without ready
access to expert advice 133

▪ Develop either an alphabetical listing of terms or a standardised listing of the

records classification scheme to simplify the classification process, reduce
reliance on training and improve consistency in classification.
▪ Develop third level of classification to reduce reliance on free text.
▪ Incorporate non-preferred terms for navigation to preferred terms.
▪ Detailed, clear scope notes explaining the meaning of terms.
▪ Instant access through desktop icon in an electronic application.
▪ ‘User friendly’search options.
 Use of discrete business
information systems 134

Use of discrete ▪ Display preferred terms limited to functions used by

business workgroup.
information systems ▪ Develop third level of classification to reduce
where users create reliance on free text.
and capture most of ▪ Incorporate non-preferred terms for navigation to
their records and preferred terms.
other business ▪ Detailed, clear scope notes explaining the meaning
information within a of terms.
small range of ▪ Detailed user training.
business functions
and activities.
 Previous extensive use of
a subject thesaurus, 135

▪ Incorporate these terms into the

third level of classification.

Previous extensive use of a

subject thesaurus, which users
wish to continue using for
retrieval purposes.
 Titles of paper-based
records 136

▪ Incorporate non-preferred terms to

allow cross-reference to preferred
terms for retrieval and sentencing
• Titles of paper-based purposes.
records have been loaded
into the business
information system. These
records were titled using
free text or subject
headings.
Unit 6: RECORD INDEXING,
RECORDS RETENTION AND
DISPOSITION

137
 Record Indexing 138

▪ Document indexing is the process of linking or labeling digital documents with

certain attributes or labels. It makes discovering files easier and so allows the
user to access any document at any moment with a few clicks.
▪ Document indexing offers a long-term solution to the difficulties of document
storage, access, organization, and protection.
▪ Document indexing is important in information retrieval because it establishes
the speed and accuracy with which information and documents can be retrieved
within your organization. It provides a link from the terms to the documents
that contain them. Without proper document indexing, retrieving information
will be time-consuming and costly.
 Record Indexing 139

▪ It is the next step toward a comprehensive document management

implementation when you begin converting physical records to digital.
▪ As you work toward becoming a paperless office, there are particular products
and strategies you need to engage in to fully reap the benefits of becoming
paperless.
▪ During working hours, we spend a significant amount of time looking for
documents. In fact, according to recent research, knowledge workers spend
over an hour every day just locating the documents they want.
▪ That is why it is critical for businesses to use document indexing to make
dealing with documents easier.
 What is Document
Indexing? 140

▪ The term index derives from Latin and means ‘to point out, lead, direct, or
find.’
▪ Document indexing is the practice of tagging documents with certain attributes
so that they may be easily searched for and retrieved later. For example, a
corporation may index records based on client name, customer number, date,
purchase order, or other critical characteristics that may be useful later.
▪ Indexing, in other words, develops a path to documents based on how a
company’s business processes operate and how its employees work.
▪ One of the most important aspects of a good document management
implementation is the creation of indexes. Every organization is different, and
choosing what indexing criteria to employ is a vital choice for getting the most
out of your new digital data.
 Examples 141

▪ Vendor name
▪ Patient name
▪ Addresses
▪ Account numbers
▪ Invoice number
▪ Purchase order number
▪ Dates
 Document Indexing
Methods 142

▪ Full-Text Document Indexing:

▪ Full-text search, or FTS, is one of the most effective methods for retrieving
documents as rapidly as possible.
▪ When documents are scanned, they are converted into digital images. To
comprehend the text, we use several technologies such as OCR, which builds an
index of each phrase and its position.
▪ These technologies read each page of a digital document, extracting
information and indexing it for subsequent retrieval.
▪ When interacting with multiple languages, difficulties may develop. However,
many of the available tools are quite accurate and support a large range of
languages.
 Metadata 143

▪ The term “metadata” refers to “data that contains information about other
data.”
▪ To put it another way, it is “data about data.” It contains all of the information
required to comprehend and efficiently utilize the data.
▪ However, its relevance becomes clear when we consider its functional use.
▪ Metadata can be added to digital documents as tags or other information for
subsequent search and retrieval.
▪ It is a highly strong approach, but executing it manually is prone to errors.
There are other technologies on the market to automate this procedure, which
will increase staff productivity, and efficiency, and make them less prone to
errors.
 Field-Based Indexes 144

▪ Field-based indexing, which is conceptually related to metadata indexing,

refers to various information sources inside a database, also known as fields.
▪ This type of indexing option enables the user to search for details that are
unique to each page. The field might be a vendor name, received data, type, or
any other designated area, for example.
 How does Document
Indexing work? 145

▪ The process of document indexing involves manually or automatically scanning

through scanned and digitized documents to identify predefined key phrases. Of
course, manual document indexing is a time-consuming and error-prone
operation. The most suggested method is to automate this process.
▪ Manually, an employee must go through all digital documents and extract
critical information to use when producing a document in the document
management system.
▪ The majority of current technologies allow for the complete automation of this
operation. When the document is scanned, the system will use optical character
recognition algorithms to extract significant information from the page, store it
as metadata, and make full-text search available.
 Why Is Document
Indexing Important? 146

▪ Digital document indexing ensures that you can find the file you need in
minutes. Information from stored documents must be used to make critical
decisions. It enables organizations to save time searching for documents, save
money on storage, improve collaboration, and improve information flow.
▪ Document digitization enables rapid and easy retrieval, saves space, and offers
security, legal compliance, and disaster recovery.
▪ Document indexing is critical for providing staff with the capacity to find
information quickly. Let’s have a look at some of the additional advantages of
indexing.
 Save Time 147

▪ To be agile in today’s fast-paced environment, it is vital to be equipped with

the right technology, tools, and processes. One of the most significant aspects
of being able to react quickly is the capacity to easily discover papers.
▪ Document indexing, when done effectively, will save your staff a significant
amount of time on a daily basis.
 Less Storage Costs 148

▪ When it comes to storing paper documents, they take up a lot of room.

Digitized papers simply need virtual storage space, which is typically
inexpensive.
 Audit Compliance 149

▪ Audits are frequently time-consuming and expensive, especially when dealing

with tangible records. Having your data scanned and indexed will help the
process move much more smoothly and quickly.
 Easier Collaboration 150

▪ When employing paper documents, internal organization coordination between

different departments is necessary and difficult.

▪ Digitizing papers and indexing documents should allow for faster sharing,
transferring, and reading, putting everyone on the same page.
 Decision Making 151

▪ The information included in saved documents is dependent on effective

decision-making. If your business requires a significant amount of time to
identify and access papers, the decision-making process is delayed, and you
may miss out on possible possibilities.
▪ Digital document indexing significantly accelerates your decision-making
process.
 Faster Access 152

▪ It goes without saying that digital and indexed papers are easier for your staff
to obtain and access, increasing their productivity and efficiency.
 Record Period and
Retention 153

▪ Records retention refers to methods and practices organizations use to maintain

important information for a required period of time for administrative,
financial, legal, and historical purposes. It applies to paper documents as well
as the retention of electronic records such as word documents and
spreadsheets.
▪ A record is considered evidence of certain events that took place within an
organization such as purchase orders, contract approval, or correspondence.
 Record Period and
Retention 154

▪ What is retention period?

▪ The retention period is the amount of time that an organization should keep
records. It is based on factors such as the organization’s legal obligations, risk
management, and the type of business.
▪ There are many reasons why organizations have a records retention period. The
most important reason is to make sure that they are complying with regulations
and laws. For example, an organization might be required by law to keep
information for six years. This is so that it can be accessed if necessary in a
lawsuit or investigation.
 The Importance Of Records
Retention Schedule 155

▪ Records retention or document retention is an essential part of records lifecycle

management. Not all records should be maintained and the cost of managing
and maintaining them would have a significant effect on the budget and would
necessitate more storage space.
▪ Records retention is important because it helps organizations save storage and
operating expenses when dealing with paper records, reduce litigation risks by
adhering to various rules and regulations, and increase record security by
preventing unauthorized access.
 Document Retention
Policy Best Practices 156

▪ Define the types of records you need to retain

▪ Determine how long you need to keep each type of record
▪ Develop a policy for retaining records
 The Importance Of
Automating Records 157
Retention
1.Reduced Human Errors: When we automate human processes, the business
operations will run more effectively and with less error-prone. In case of
retention & disposition, automating the destruction of records based on the
schedule defined will make sure that no expired information retain.
2.Increased Employees Productivity: Less manual & repetitive tasks will help your
employees focus on more crucial projects. That will surely improve their morals
& increasing office efficiency.
3.Improved Compliance: Using a system to automate the destruction of electronic
records will surely improve compliance with different regulations requirements.
Companies need to verify that only information that needs to be retained is
available.
 Benefits Of Using A Digital
System For Records 158
Retention
▪ Dynamic Schedule Based On Classifications
▪ The disposal schedule of records should be set based on their classifications.
▪ Classifying information associated with legal and operational retention
requirements and setting their retention period will allow you to define the
document retention policies to comply with your current rules and regulations.
 Benefits Of Using A Digital
System For Records 159
Retention
▪ Audit Trail
▪ Powerful RM or enterprise content management solutions should give the ability
to monitor records throughout their lifecycle. In that case, employees will be
able to get insights into their information, status, retention period, and even
assigned disposition dates.
 Benefits Of Using A Digital
System For Records 160
Retention
▪ Automated Destruction Of Records
▪ The system should automatically be able to either dispose of or archive records
based on their schedule.
▪ This automated process is essential for reducing human error-prone thus
reducing the risk of non-compliance.
 Record Transfer Process 161

1.Identify records suitable for transfer

2.Propose a transfer of records
3.Receive confirmation the records are eligible for transfer
4.Prepare documentation about the records, including a list of items, and their
access status
5.Receive approval for physical transfer of the records
6.Physically transfer records and receive receipt of transfer.
 Identify records suitable
for transfer 162

▪ sort records into their recordkeeping systems by file number or date (or
however they were originally arranged) e.g. sort minute books in chronological
order, dockets in docket number order, etc.
▪ separate permanent records from temporary records using an RDS or GDS (we do
not accept transfers of temporary value records)
▪ separate active records from inactive records (we do not accept transfers of
actively used records)
▪ separate sensitive records that will not be publicly accessible (we may not
accept transfers of records which are restricted from public access for a long
period)
▪ remove duplicate copies of records where the official records are in digital
format (we may not accept transfer of physical records where they duplicate
digital records)
▪ locate any missing records from the sequence that are no longer active,
checking all storage areas and offsite storage providers.
 Propose a transfer of
records 163

▪ Once you have identified records eligible for transfer, you need to prepare a
Transfer Proposal. The Transfer Proposal summarises all of the records you want
to transfer at the same time.
▪ Records Access and Description Lists and the physical transfer of records will not
be processed or accepted unless a Transfer Proposal has been approved by us.
▪ If you are unsure about how to complete a Transfer Proposal contact State
Records.
 Receive confirmation the
records are eligible for 164
transfer
▪ An archivist will review your Transfer Proposal and notify you whether the
records are eligible for transfer.
▪ Although you might box and list records for your own storage purposes, you may
not want to start completing any documentation required by us (e.g. records
access and description lists) until you receive confirmation that the records are
eligible for transfer, as the effort may be wasted.
▪ If the records are not eligible for transfer, you will be advised what options are
available for managing the records.
 Prepare documentation
about the records, including
a list of items, and their 165
access status
▪ Once you have received confirmation that the records are eligible for transfer
you can start preparing the required documentation, which includes:
1.a Records Access and Description List for each set of items from different
recordkeeping systems e.g. a list of minute books, a list of correspondence
dockets, a list of corporate files, etc.
2.answering questions about each recordkeeping system (if the records do not
already have a Government Record Series, or GRS, number)
3.a public access determination identifying whether the records are openly
accessible, or are closed to public access for a set period before they become
open as their sensitivity diminishes (if a determination has not already been
made).
 Receive approval for
physical transfer of the
records - within 4 weeks 166
from submission of all
paperwork
▪ An archivist will review all of the documentation received and advise you
whether any changes or more information is required.

▪ Once the documentation has been finalised and approved you will be advised
that the physical transfer of the records is approved. You will be offered
possible dates and times for the physical transfer of the records, and advised
which repository the records will be received at.
 Physically transfer the
records 167

▪ You are responsible for arranging and paying for the transportation of the
records to the nominated repository at the agreed date and time.
▪ When the records are received in the repository, they will be barcoded, shelved
and our systems will be updated with details of the records.
 Receive receipt of
transfer 168

▪ You will be sent confirmation of the records received and reports detailing how
the records can be identified in our catalogue.
▪ You should retain this information in your recordkeeping system, as you remain
responsible for records of your agency (and its predecessors) which are in our
custody.
 Unit 7: METADATA IN
RECORDS MANAGEMENT

169
 What is METADATA 170

▪ Metadata is the data that describes other data. It can be used to identify, locate
and describe digital objects, such as files, images, videos, and websites. It is as
valuable as data, and experts recognize its ability to assist users in finding,
organizing, and using information.
 What is METADATA 171

▪ Metadata and effective metadata management have gotten a lot of coverage in

recent years. Most people have heard of the term but they don’t know what it
is, how it functions, or why it is so important in modern industry.
▪ Metadata is the data that describes other data. It can be used to identify, locate
and describe digital objects, such as files, images, videos, and websites. It is as
valuable as data, and experts recognize its ability to assist users in finding,
organizing, and using information.
 What is METADATA 172

▪ Findability refers to how simple it is to locate a document when you need it.
How much does it cost to locate a certain resource? which medium workers can
access information? Employees will be able to browse and view their data more
easily if meta information is implemented correctly.
▪ An example of metadata is an ISBN number. The ISBN number is a 13-digit
number that uniquely identifies books and other publications. It contains
information such as the publisher, the title of the work, and the publication
date.
▪ In this post, we will define metadata, examine why it is essential, and discuss
how it may help companies organize, categorize, and retrieve documents more
quickly.
 What is METADATA 173

▪ By definition, metadata is described as “data that contains information about

other data”. To put it another way, it is “information about data”. It contains
information needed to understand and effectively use the data. However, its
significance becomes apparent as we consider its functional use.
▪ Knowledge workers spend 50% of their time looking for information; it is our
responsibility as content managers professionals to improve their experience by
providing quick access to resources they need whenever they are.
▪ Classification and implementation of content metadata play a crucial role in
that manner. Anyone with the right to add content to any platform should at the
very least have a clear understanding of these concepts.
 What is METADATA 174

▪ When adding a new document to a content management system, the user must
primarily define two key elements.
▪ Document type: What kind of document is it? Is it an invoice, a contract, a
drawing, or anything else?
▪ Document metadata (some systems refer to them as properties or tags):
information from or relevant to this particular document.
▪ As a business metadata example, consider an invoice: the most relevant info to
provide are the invoice number, customer, amount, and date. If these values are
set correctly, customers will be able to find invoices in a matter of seconds,
increasing efficiency and overall company operations.
 Why Is It Important? 175

▪ People are feeling frustrated by the amount of content available. They simply
need to locate the required document without any difficulty or complication.
▪ So where does significance come from? The source of importance is not a
mystery, but it is motivated by something that may seem mysterious: meta
data.
▪ When users complain that their search does not yield relevant results or that
they are unsure where to look for business-critical information, it is usually due
to a document metadata issue.
▪ Traditionally, we learned to organize content using folders and tree structures.
▪ Consider how difficult and time-consuming it will be to sift through various
directories in order to find the material you’re searching for.
 Why Is It Important? 176

▪ Can you recall where you saved the document six months ago? This method,
without a doubt, is not efficient.
▪ Here’s where document metadata comes in handy. Content creators would be
able to classify information, make it findable and searchable, conveniently
drive workflows, and automate their retention plan by correctly using and
applying the principle of tags on a document.
▪ Metadata is important because it allows you to organize your data in a way that
is meaningful to you and makes it easier to find the information you are looking
for. It also helps to keep your data consistent and accurate.
▪ We should classify key insights so that we can figure out what the content is all
about.
 Good Quality Metadata
Benefits 177

▪ Dynamic Document Classification: Classification is the process of automatically

identifying the type of info according to its content (invoice, letter, drawing,
etc.). Using tags to label documents, you can create dynamic views for each
user, and these views can be changed by simply adjusting the value of a specific
tag on a specific document.
▪ Faster Searching: One of the most important aspects of IM is the ability to easily
and quickly allocate documents. Having high-quality content metadata ensures
that employees can get accurate search results depending on the appropriate
criteria.
▪ Driving Workflows: Most documents have a process to fulfil, such as an approval
cycle, collaboration, signature, and so on. We may set up workflows to start
when a document with special data is generated.
▪ Automate Retention Policies: Record retention is critical but mostly overlooked.
Tagging documents will assist us in automatically disposing or archiving them
depending on their preservation policies.
 How To Get The Most Out Of
Metadata? 178

▪ Get Employees Buy-in: Employees must appreciate the business importance of

document metadata. Take the time to explain the true value of this principle
and how it can affect their productivity in the long run.
▪ Create Management Strategy: Determine and monitor what information is
important to your company and what isn’t. It’s possible to overuse document
metadata and generate a long list of tags, but this defeats the intent. Pay
attention to the relevant details.
▪ Create Good Quality Definitions: Every company is unique. Each must tailor its
metadata model to its particular business requirements. You must ensure that
companies have the proper concepts and types in place to solve complex
business issues.
 Types of Metadata 179

▪ You already know what metadata tagging is and why it’s an important
component of efficient digital asset management. But did you know that there
are several types of metadata? Actually, there are only three main types, but
it’s important to understand each type and how they function to make your
assets more easily discoverable. So, if you’re not sure what the difference is
between structural metadata, administrative metadata, and descriptive
metadata (spoiler alert: those are the three main types of metadata), let’s
clear up the confusion.
 Structural Metadata 180

▪ Let’s start with the basics. Structural metadata is data that indicates how a
digital asset is organized, such as how pages in a book are organized to form
chapters, or the notes that make up a notebook in Evernote or OneNote.
Structural metadata also indicates whether a particular asset is part of a single
collection or multiple collections and facilitates the navigation and presentation
of information in an electronic resource.
 Structural Metadata
Example 181

▪ Page numbers
▪ Sections
▪ Chapters
▪ Indexes
▪ Table of contents
▪ Beyond basic organization, structural metadata is
the key to documenting the relationship between
two assets. For example, it’s used to indicate that a
specific stock photo was used in a particular sales
brochure, or that one asset is a raw, unedited
version of another.
 Administrative Metadata 182

▪ Administrative metadata relates to the technical source of a digital asset. It

includes data such as the file type, as well as when and how the asset was
created. This is also the type of metadata that relates to usage rights and
intellectual property, providing information such as the owner of an asset,
where and how it can be used, and the duration a digital asset can be used for
those allowable purposes under the current license.
 Administrative Metadata 183
▪ Technical Metadata – Information necessary for
decoding and rendering files
▪ Preservation Metadata – Information necessary
for the long-term management and archiving of
digital assets
▪ Rights Metadata – Information pertaining to
intellectual property and usage rights
▪ A Creative Commons license, for instance, is
administrative metadata. Other examples
include the date a digital asset was created, and
for photos, administrative data might include
the camera model used to take the photo, light
source, and resolution. In addition,
administrative metadata is used to indicate who
can access a digital asset, the key to effective
permissions management in a DAM system.
 Descriptive Metadata 184

▪ Descriptive metadata is essential for discovering and identifying assets. Why?

It’s information that describes the asset, such as the asset’s title, author, and
relevant keywords. Descriptive metadata is what allows you to locate a book in
a particular genre published after 2016, for instance, as a book’s metadata
would include both genre and publication date. In fact, the ISBN system is a
good example of an early effort to use metadata to centralize information and
make it easier to locate resources (in this case, books in a traditional library).
 Descriptive Metadata 185

▪ Essentially, descriptive metadata includes any information describing the asset that can
be used for later identification and discovery. According to Cornell University, this
includes:
▪ Unique identifiers (such as an ISBN)
▪ Physical attributes (such as file dimensions or Pantone colors)
▪ Bibliographic attributes (such as the author or creator, title, and keywords)
▪ Descriptive metadata can be the most robust of all the types of metadata, simply
because there are many ways to describe an asset. When implementing a DAM solution,
standardizing the specific attributes used to describe your assets and how they’re
documented is the key to streamlined discoverability.
 How to collect metadata 186

▪ Gathering metadata usually entails numerous sources and strategies. The most
efficient methods migrate data that is already attached to assets, including:
▪ Metadata that is embedded in assets: Many digital files already have metadata
embedded in them through standards like XMP, Exif, and IPTC. This could
include file date, file size, creation date, and other attributes. With the help of
a reader or photo editing application you can extract this information and
populate the correct metadata fields in the DAM system.
▪ Metadata that is migrated from other systems: Look at what data is already
available in other systems. It’s possible to export asset metadata as a CSV or
XLS file, and upload these values into the correct fields in a DAM system. You
can also explore the possibility of completing this migration using a web service
integration (which is called metadata mapping).
 How to collect metadata 187

▪ Metadata from other sources is also valuable, but can require significantly more
time and energy to collect. Here are some avenues to consider:
▪ A folder system: Businesses that are new to a DAM solution are often
transitioning from a homegrown, folder-based system on a network drive. This
folder structure can be very useful in creating metadata fields or values. Users
are also already familiar with naming conventions used in the folder structure
which can help with user adoption of the new tool.
▪ Other resources: Catalogues, sales sheets, fliers, website data, and other
marketing materials are all good sources to review to identify the types of
information you’ll need for each asset.
▪ Once this metadata is identified and collected, it usually has to be added to
assets in the DAM system manually.
 How to organize and
name metadata 188

▪ Asset Type
▪ Asset Metadata Type
▪ Key Dates
▪ Creator or Photographer
▪ Product Models Numbers
▪ Part Numbers
▪ Product Marketing Names
▪ Asset/Product Geographic Availability
▪ Geographic Use Restrictions
▪ Asset Protections
▪ Usage Rights and Restrictions
 How to organize and
name metadata 189

▪ Keep it clean and concise

▪ A sustainable metadata structure doesn’t use more detail or fields than
necessary. To determine if a field should be used, consider if it will:
▪ Help execute marketing programs?
▪ Affect rights?
▪ Add value to the user?
 How to organize and
name metadata 190
Use controlled fields
▪ Some metadata fields — such as pallets, checkboxes, and dropdowns — can use controlled
vocabulary lists (CVLs) for metadata values. This gives users a list of pre-set options to select
from when populating metadata. Because controlled fields eliminate the need to key in
values manually, they can reduce human error and increase consistency across assets.
Document, document, document
▪ A metadata standards document creates system-wide standardization and alignment among
users that upload assets into the system. It also supports routine administration and ensures
that the metadata strategy could be effectively transferred to a new DAM administrator
down the road, if need be.
Continual refinement
▪ Many DAM systems generate reports on user search activity, including most frequent search
terms or searches that yield zero results. Understanding what your users are searching for —
and how — can help you identify opportunities for metadata optimization. Adding or editing
fields or values help ensure that users can find what they need.
Unit 8: Record Appraisal

191
 What is Appraisal 192

▪ Appraisal is the process of distinguishing records of continuing value from those

of no further value so that the latter may be eliminated. Records can possess
different types or degrees of value to an organisation, which will affect how
long collections need to be kept.
 What is Appraisal 193

▪ Primary value: the value to the organisation that created them for
administrative, legal and fiscal purposes. Identifying records of ongoing business
value will: assist efficient and effective administration; enable decision making
and policy development based on current information; and allow organisations
to be accountable in terms of the management of resources, as well as legal
and financial scrutiny
 What is Appraisal 194

▪ Secondary value: the additional historical value to the organisation and wider
society. This can include ‘evidential’ value derived from the way the record
documented the history, structure and functions of an organisation, and
‘informational’ value in providing research material on persons, places and
subjects. Select records for permanent preservation which show the significance
of the functions and activities of departments, and which provide information
relevant to themes outlined in The National Archives’ Records collection policy.
These records tend to include high level policy or complex case files