TOPIC TWO

RECORDS MANAGEMENT
FOR EFFICIENT
ORGANIZATION’S
PERFORMANCE
Prepared by Mr. Jumanne James
 PRESENTATION OUTLINE

 Defining the terms related to records management

 Explaining characteristics of a record
 Explaining records, information, and non-records, (records, published
information and non-records, non-published information)
 Outline the importance of records management
 Explain records life cycle model
 Explain records continuum model.
Terms related to records
management
 Record
 Content
 Context
 Structure
 Records management
 Record keeping system
 Record
There is no a single universal definition of records
because there are many definitions of records.
Hence, for the purpose of this lecture, we can define
record as follows:
Record is an information generated or received in
the initiation, conduct or completion of an
organizational or individual’s activity as an evidence
of the activity.
 Examples of records include: correspondence, invoices,
maps, travel vouchers, and photographs.
 Such records can be in any media e.g. paper,
microform, film, magnetic tape or disc, optical disc,
video or audiotapes.
 They come in various shapes, sizes and formats e.g.
letters, paper files, diaries, registers, index cards,
maps, plans, microfiche, aperture cards, photographs,
videocassettes, computerized databases, and
electronic mail (Ellis, 1993).
CONTENT, CONTEXT & STRUCTURE OF RECORD
In defining records, the International Council on Archives (ICA) has
stressed key properties or elements inherent in all records (accessible
on www.jisc.ac.uk/guides/records management/what-is-a-record)
(Jisc, 2012). That is that every record must possess the following
properties or elements:
 Content,
 Context, and
 Structure
 Content
oContent of record can be defined
as part of record which conveys
information, the content can be
text, symbols, numerals, images,
sounds, and videos.
 For example, a content of a
business letter can be found by
reading careful the main body of
the letter.
 Context
o A context of a record is a background
information which enhances understanding of
technical and business environments to which
the records relate. It includes provenance
information like address, title, link to function
or activity (Suderman, 2009).
 For example, the context of
patient’s case notes will be in
hospital or medical treatment
context. This may be discovered by
looking on the language used and
the title itself of the document.
Consider the image below
 Structure
o Structure of a record implies the
appearance and arrangement of the
content of a record. Structure includes
writing style, fonts, page and paragraph
breaks, links and other editorial devices.
 For example, the most common layout
or structure of a business letter is known
as block format. By using this format,
the entire letter is left justified and
single spaced except for a double space
between paragraphs.
CHARACTERISTICS OF A RECORD

Trustworthy records are essential for an agency to meet

its legal and internal business needs. The following
characteristics are used to describe the trustworthy
records from a records management perspective:
 AUTHENTICITY
 RELIABILITY
 INTEGRITY
 USABILITY
 Authenticity
 Authenticity implies the quality of being real.
 Authenticity of record refers to a
trustworthiness of a record as a record.
 A record will be authentic when it is what it
purports to be and has not been tempered
with or otherwise corrupted. It was duly issued
by an authorized person or agency.
 Authenticity is established by assessing
the identity and the integrity of a the
record. It must be possible to ascertain
at all times what a record is, when it was
created, by whom, what action or matter
it participated in, and what its juridical/
administrative, cultural and
documentary contexts were.
 To ensure authenticity, organizations should
implement and document policies and
procedures which control the creation, receipt,
transmission, maintenance and disposition of
records to ensure that records creators are
authorized and identified and that records are
protected against unauthorized addition,
deletion, alteration, use and concealment (ISO
15489).
 Reliability
Reliability of a record implies the truth-value of record
as a statement of facts and it is assessed in relation to
the proximity of the observer and recorder to the facts
recorded.
A reliable record is one whose contents can be trusted as
full and accurate representation of the transactions,
activities or facts to which they attest and can be
depended upon in the course of subsequent transactions
or activities (ISO 15489).
 A reliable record is the one whose
content can be trusted as a full and
accurate representation of the
transactions, activities, or facts to which
it attests and therefore it can be
depended upon in the course of the
subsequent transactions or activities.
 Integrity
The integrity of a record implies the state of being complete
and unaltered. For a web records, the agency’s web
management policies and procedures for routinely updating
and modifying their websites help to ensure integrity of
records.
According to ISO Technical Report 15489-2, sec.7.2.4, “records
systems should maintain audit trails or other elements
sufficient to demonstrate that records were effectively
protected from unauthorized alteration or destruction”.
 The record management policies
should prescribe clearly on how
changes to the website are to be
documented.
Usability
A usable record is the one that can be located, retrieved,
presented and interpreted. In retrieval and use you should be
able to directly connect the records, or website to the business
activity or transactions produced it. You should be able to
identify both the record and its content within the context of
broader business activities and functions. The links between
content, context and structure of records should be maintained.
The contextual linkages of records should provide an
understanding of the transactions that created and used them.
RECORDS, INFORMATION AND
NON-RECORDS
 IMPORTANCE OF RECORDS
MANAGEMENT
Records management is very important due to the following reasons:
 Reduces records volume and storage costs
 Effective retrieval of records
 Enables regulatory compliance
 Enables business continuity
 Automates workflow
 Safeguard important information
 Minimizes litigation risks.
RECORDS MANAGEMENT MODELS
 RECORDS LIFE CYCLE MODEL
 RECORDS CONTINUUM MODEL
 INTRODUCTION
 The care of records and archives is
governed by two important
models/concepts introduced here. These
are:
 That records follow a life cycle and
 That the care of records should follow a
continuum.
 THE LIFECYCLE CONCEPT

Introduction

 The records life cycle is a concept in common use. It

indicates that records are not static, but they have a
life similar to that of biological organism and that
records becomes less important as time passes..
There for after the end of this topic learners are
expected to have acquired knowledge on the
lifecycle concept of records with its advantages.

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Introduction cont…
 The lifecycle concept of records is analogy from the life
of a biological organism, which is Born, Lives and Dies.
In the same way a record is created, used for so long as it
has continuing value and the disposed of by destruction or
transferring to an archival institution.
 In the simplest version of the lifecycle concepts three
biological ages are seen as the equivalent of the three
phases of the life of records.

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Definition

 Records lifecycle is the life span of records from

creation to disposition or from birth to death.
Records have a life similar to that of biological
organisms; they are born that is Creation stage.
This is when records are received or created by an
organization or individuals. They live (active
stage) this is when records are always used to
transact organization business.

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Definition cont…
 It grows old (semi active).This is when records are
maintained and kept for reference purpose. Finally the
records die (non active stage). This is the last stage of
records when the decision is made whether to destroy
the records or to keep them for permanent
preservation.
 Therefore after creation, records pass some stages
includes Active Stage, Semi-Active Stage, and Non
Active Stage.

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Phases of a Records

1. Active stage.
 This is when records are readily available to
transact the daily business of an organization and
are stored in the records office or registry.
 Active / Current Records: are records regularly
used by the organization and therefore maintained
in their place of origin.
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Features of active stage.
 Records received from outside the organization or
created by the organization.
 Records are frequently used in an organization to
transact organizational business.
 Stored in records office/registry within the
organization.
 Custodians are professional records staffs

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2. Semi-Active Stage

 This is when records become rarely used and used

for reference purpose, such records are stored in
record Centre
3.Semi –Active / semi Current Records
Are records required so infrequently in the conduct
of current organizational activities, thus they
should be transferred to the records cent re.

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 Features of semi-Active records

 Records are infrequently used in an organization to

transact organizational business.
 Stored in records centre
 Custodians are professional records centre staffs
 Its management requires records centre procedures.
 Appraisal decision/review should take place at this
stage.

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3. Non-Active phase
 This is the stage where records are no longer
used in organization activities or business
 Under this phase disposition process is
conducted where records seems to have no
archival value are destructed and those with
archival are transferred to archival institution
 Traditionally appraisal must take place before
destruction of records
PREPARED BY JACQUILINE DANIEL 05/12/2024
 Features of Non-Active phase

As most records destroyed (95-97%) therefore only

3-5% of the records are retained not used regularly.
 Kept for reference, legal, evidential, historical,
artifact and research purpose.
 Records received from records centers.
 Stored in archival repository

PREPARED BY JACQUILINE DANIEL 05/12/2024

Features of Non-Active records cont…
 Records can be accessed by the public if required.
 Its management requires archival finding aid
which are user friendly instructions

PREPARED BY JACQUILINE DANIEL 05/12/2024

 RECORDS LIFE CYCLE DIAGRAM

 Active Stage
 Semi-Active Stage
 Non-Active Stage

PREPARED BY JUMANNE JAMES 2021

PREPARED BY JACQUILINE DANIEL 05/12/2024
Importance of Records life cycle

 Helps the records managers to have clear perspective of

managing records as a continuous process whereby each
stage compliment the other
 Helps the records managers to make a prior decision
whether to create a records or not by making judgments
of the value of records and information that is present
 Helps the records managers to make retention scheduling
of the records at the right time and appropriately
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Importance of records lifecycle cont…
 Helps the records managers to understand in
advance in what media the records could be
created, e.g.; in paper forms or electronic records,
this also will help to determine appropriate means
of storage.
 Helps the records managers to recognize the value
of records at each stage.

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 RECORDS CONTINUUM MODEL

In this model, the Records management is viewed as

a continuous process from the moment of creation, in
which both archivists and records manager are
actively involved at all points in the continuum
(Bantin, 1998).

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 The life-cycle principle recognizes that
records are created, used, maintained
then disposed of, either by destruction as
obsolete or by preservation as archives for
their ongoing value.
 The continuum concept suggests that four
actions continue or recur throughout the
life of a record: identification of records;
intellectual control of them; provision of
access to them; and physical control of
them.( IRMT 1999)
 Continuum concept: A consistent and
coherent process of records management
throughout the life of records, from the
development of record-keeping systems
through the creation and preservation of
records, to their retention and use as
archives
 According to the continuum concept, the
distinction between records management
and archives management need not be
rigidly maintained.
Continuum concept cont…
 This model was introduced as an alternative model
because of the emergence of electronic records.
 The term continuum model see records management as
the whole extent of a records existence.
 It refers to a consistent and coherence regime of
management process from time of the creation of
records and before creation in the design of records
keeping system through to the preservation and use of
records as archives.
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 FOUR ACTIONS OF CONTINUUM
MODEL
Process Records management Archives
actions management
actions

identification and creation or receipt selection or

acquisition acquisition

intellectual control classification within a arrangement and

logical system description

access maintenance and use reference and use

physical control disposal by preservation

destruction or
transfer as archives
The records continuum consists of four coordinated and integrated dimensions

i) Create

ii) Capture

iii) Organize

iv) Pluralize (upward&Mckemish,2006)

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 Create

This is where transactions occur between the

author(s) of a document and the systems in which the
document is created.
It describes the relationship between the author and
the organization for which records is created.
The end result of the creation is piece of data called a
record with a representation of that transaction
embodied in that record.
 Capture

This involves the routine storage and linkage of

documents and/or data in systems in ways that
enable sharing and re-use in the immediate business
or social activities within which the transactions are
being recorded.
Here is where metadata is created for purposes of
maintaining the integrity of the document in
whatever form or forms it is captured.
 Organise

 Relates to documents and records being organized.

 It is meant to allow others not directly involved in specific
business and social processes, but with oversight
responsibilities, organization-wide perspectives or
stakeholder interests, to have access and use what has been
created and captured. This is for the organizational use
only.
 It takes documents to the points of access in anticipation of
being used for transactional, evidentiary and memory
purposes.
 Pluralize

This involves taking information out to points

beyond organisational contexts into forms of societal
totalities, still more distant from the organisations.
In other words, this dimension expands access to the
documents to the larger societal functions.
There fore in this stage records can be accessed by
other users other that the organization that created
it, through different ways eg website and blogs
Records Continuum model
In managing Continuum model you must ask the following questions;

 What records to be captured to provide evidence of

activities?
 What systems and rules are needed to ensure those records
are captured and maintained?
 How long the records should be kept to meet business and
other requirements?
 How they should be stored?
 Who should have access to them?
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 Importance of Continuum model

 Continuum model provide the records managers and

archivists with a way of thinking about the
integrations of record keeping and archival process.
 It brings records managers and archivists in one
records keeping umbrella
 It focuses on unifying purposes shared by all
records professionals which provide a framework
for accountable records keeping regime
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Importance cont…
 Continuum model encourages participation of the
organization future need for evidential documentation as
an integral part of both operational and strategic
management
 By placing disposal including the identification of records
of continuing values, as the last stage in the records life
cycle, a life cycle model does not emphasize the need to
design systems which ensure the capture of those records
of continuing value in the first place

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Importance cont…
 The records continuum model is a conceptual
guide for the development of records keeping
policies and programs.

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 DIFFERENCES BETWEEN THE TWO
MODELS Records Continuum
Model
Records Life Cycle Model
 Records pass through 3  No distinct stages and not time
stages and they are time based and not time sequenced.
based.  Integration of the
 Strict demarcation of responsibilities and
responsibilities ie. Rec mgt accountabilities.
and archives mgt.  Distributed archival custody
 Centralized archival custody and responsibilities to the rec
approach, or “Archives as a manager
Place.  Appraisal is done much earlier
 Appraisal is done at every in the process, preferably at
stage of the record life. the design stage.
  THIS MARKS THE END
 THANKYOU FOR YOUR ATTENTIVE LISTENING