Unit 1 DEFINITION AND ROLE OF RECORDS

MANAGEMENT

Learning Outcome
By end of this unit, learners should be able to stipulate the purpose that record play in
organisations. They should be sensitized with information regarding records
management practices.

1.10 Introduction
Records management offers tangible benefits to organizations, from economic good
practice in reducing storage costs of documents, to enabling administrative, financial
and legal requirements to be met. Poor management of record system makes the
performance of duties more difficult, costs organizations time, money and other
resources. In this section we are therefore going to explore the concepts of record,
records goals and objectives, roles, record management, record life cycle versus record
continuum, the benefits of records management, the principles or practices for effective
records management and other areas that are necessary for the better understanding of
the introductory part of records management.

1.11 Objectives
By the end of this unit you should be able to:
 Give various definitions a record and records management
 Discuss the role of records management
 Describe the importance and benefits of records management
 Discuss records management practices/principles
 Describe the difference between data and record
 Explain records life cycle vs. records continuum model
1.12 Definition of a record and records management

1.12.1 What is a record?

This is information captured in reproducible form required for conducting any transaction
or activity. This kind of information can be in any form or medium, which is either be in
paper or electronic form. Other scholars have described record as information created,
received and maintained as evidence by an agency, institution or organisation or
individual in pursuance of its legal obligations or in the transactions of business (ISO
15489-1, 2001).
International Council on Archives, International Standard Archival Description (General)
ISAD (G)) defines records as:
All recorded information, regardless of media or physical characteristics, made or
received and maintained by an organisation or institution in pursuance of its legal
obligations or in the transaction of its business.
This term is also used to refer to any kind and in any form, either originated or received
by an organization. Include papers, correspondence, forms, books, photographs, films,
sound recordings, maps, drawings

Coming out of the above definitions is that:

 Records are captured information
 Records are not associated with a single media type
 They are assets to an organisation.
 Reasons why records are created being:
 To transact business
 To meet/show and defend legal obligations
 Reasons why records are held:
 As information
 As evidence
1.12.2 What is records management?
Records management is a logical and practical approach to the creation, maintenance,
use and disposition of records.
It can also be defined as that area of general administration that aims at achieving
economy and efficiency in the creation, maintenance, use and disposal of records.
It covers the management of records regardless of age, form and medium to meet the
needs of; private sector, public sector organization, the wider society and the research
community. Record management is also a systematic control cord of records in their
entire lifecycle (from creation up to the disposition of records).
Proper records management ensures that records are available at the right time, in
proper way and to an authorized person.
ISO 15489-1 of 2001 has defined records management as that field of management
responsible for the efficient and systematic control of the creation, receipt,
maintenance, use and disposition of records. Therefore, records management
principles and practices used to care for and maintain records must be efficient and
appropriate in order for the records to have long lasting values

1.13 Record-keeping Terminologies

 Administrative Records: Records documenting the daily operation and
administration of an office.
 Archival Records: Records of enduring value, documenting the history and the
development of the organization.
 Archives: Records preserved permanently because of their long lasting values.
A place where are preserved and stored.
 Appraisal: The process of determining the value of records for further use.
 Disposal: The final removal, whether for destruction or formal transfer to another
agency, e.g., records storage center or archives, of records that have reached
the end of their retention period. Any means of changing the location or physical
format of the records (shredding or recycling, digitizing, microfilming, duplication,
or transfer)
 Vital (Essential) Records: essential to resume or continue operations of the
organization.
 Format: The physical form in which material appears (books, slides,
photographs, film, recordings).
 Medium (Media): The physical form of recorded information (paper, film,
magnetic tapes and disks, CDs).
 Non-Record Material: Material that does not need to be filed or that can be
destroyed after a short retention (drafts, worksheets, routine replies, and extra
copies of documents created for convenience).
 Legal Value: The usefulness of records as evidence supporting an
organization’s transactions, activities, claims and obligations.
 Record Office: The office assigned responsibility for custody and maintenance
of specific records.
 Records Retention Schedule: A comprehensive schedule of record series (by
office or department), indicating for each series the length of time it is to be
maintained in office areas, in a records center, and when and if such series may
be digitized or microfilmed, destroyed, or transferred to the archives.
 Records Values: The usefulness of records for operating, administrative, legal,
fiscal, and historical purposes.
 Retention Period: The length of time records must be kept before they are
qualified for destruction or archival preservation. The retention period begins at a
cut-off date (e.g., the end of the fiscal, calendar, or academic year) or is triggered
by a cut-off event, such as a termination of employment, contract closure, etc.
 Records Manager: A person assigned primary responsibility for the records
management program.
 Recordkeeping: A process of maintaining, distributing, indexing and storing
records for their proper use.
 Records Centre: a low-cost facility for the controlled maintenance, retrieval, and
disposal of inactive records. A commercial records center, operated by a private
company, houses records of many organizations on a fee basis. A building or
 part of a building designed for the low-cost storage, maintenance, and
communication of semi-current records pending for their ultimate disposal.
 Active/current Records: Records regularly used in day to day operation of an
organization and are kept in the records office/ place of origin. Records providing
current or most recent information.
 Semi-current records: Records required infrequently in the conduct of current
organizational activities, are kept to the records centre.

1.14 Records Management Aims and Objectives

i. This field is concerned with consistent and cost effective management of records
throughout their life cycle.
ii. To ensure that only records necessary are created.
iii. To ensure that records are kept appropriately (helps with design of file
plans/classification systems based on organisational functions).
iv. To ensure that records are disposed off appropriately when no longer needed.

1.14.1 Goals of Records Management

The goals of records management have been identified as follows:
i. To create only necessary records for efficient and successful operation of the
institution.
ii. To produce records when they are needed.
iii. To retain or preserve only records needed for continued operation of the office or
institution, and dispose what is not needed.

1.15 Roles of Records Management

Records Management ensures that:

i. That protection of records against disaster and unauthorized access is adequate

ii. Provision of adequate security mechanisms, e.g use of passwords or access
cards
 iii. To create awareness to officers
iv. Development of relevant records management tools and practices such as RM
policy, system and classification schemes
v. To facilitate performance of activities throughout an organisation regardless of
the medium of records.

1.16 Benefits of Records Management

i. It reduces storage capacity & associated costs: records will be disposed of in a
timely manner, thereby reducing the total volume of records being stored
ii. It provides saving in human resources: Less time spent on processing, filing &
retrieval & less time wasted looking for records
iii. It leads to the development of proper filing systems: ensure easy access
iv. It ensures easy retrieval of records and information: fewer records in
organisation, coupled with proper filing, will ensure easy location & identification
of records needed for decision making
v. It ensures better image of organisation: when retrieval is quick, decisions are
made on time and this helps in improving image of organisation.
vi. It ensures provision of efficient & effective service delivery: This is achieved
through quick & easy retrieval of records & information
vii. It reduces legal or regulatory risks
viii. It provides security & preservation of records

1.17 The importance of Records

Records are important for their values. Those values have been explained below;

 Fiscal value: financial records are used as proof of how money has been
allocated and used, for example tax returns, invoices and financial statements.
 Legal value: as proof of evidence in courts & for purposes of compliance in
regulated areas, for example in pharmaceutical companies
 Business continuity & risk management: for organisational survival in
operations and in disasters
  Historical value: evidence of organisational accomplishment, for example
minutes of meetings.
 Informational value: as information relating to activity, but which may not
necessarily be evidence. This information can help an organisation restructure
 Accountability and transparency: transparency and accountability deals with
being open and doing things in the right manner and whatever decision one
makes in an organisation they must be able to answer for such actions thus
accountability.

1.18 The Importance of Records Management

i. Records Management provides continued access in the event of a disaster.
Records are to be managed and maintained properly so that in case a disaster
strikes, they can still be accessible.
ii. It protects records from inappropriate and unauthorized access.
iii. It also promotes timely access to information required to make informed
decisions. When records are managed according to the right standards and
procedures, they can be accessed in a short period thereby enhancing
organisation’s performance.
iv. Records are a source of accountability in any organisation: records serve as a
source of accountability because they show the reasons of actions taken,
therefore proper records management will ensure that accountability is upheld.
v. It protects the rights of the organisation, employees and customers.
vi. Records Management improves productivity within an organisation through
adoption of effective & controlled mechanisms and thus enhances easy & quick
access.

1.19 Records Management Practices

1.19.1 Records Creation
 Records are being born, captured within an organisation or they are received
from another organisation.
 This is whereby records enter their active stage because they are actively and
frequently used.
 Records creation deals with correspondence management, reports control,
forms and analysis and design, directives’ management amongst others.

1.19.2 Records use

 Creators and users of records must ensure to use the records for the purpose
they were created for in order to maintain their values whether fiscal, historical or
informational.
 Records are to be used accordingly as per the organisation’s procedures.
 Depending on whom the records have been created with in mind, they must be
used by the right users.

1.19.3 Records Maintenance

Records maintenance deals with:
i. Adoption of files plan
ii. Choice of equipment or supplies
iii. Mail management
iv. File management
v. Filing procedures
vi. Cross-referencing

 Records custodians must ensure to file properly all the time for best maintenance
practices and hence easy records retrieval.
 Proper files and file folders are to be used in order to prevent loss of information
through incorrect filing and unauthorised access.
  It must be ensured to secure the files especially confidential and secret records
through the use of cctv cameras, passwords and alarms.

1.19.4 Records Storage

 Records are to be stored under the correct temperature (very cold temp) to
maintain the colour for paper records.
 Proper shelves and storage files are to be used.
 Files must not be packed too closely to one another to avoid them tearing up
 Ensure that cleanliness and housekeeping procedures are correctly followed.

1.19.5 Records Appraisal

Records appraisal is an act of determining the worth of records to their creator or
user.
 Records can be appraised in the following manner:
i. In terms of use (primary or secondary).
ii. In terms of content (evidential or informational).
iii. Categories (administrative value, fiscal value, legal value,
historical/research value and intrinsic value).
Below are Records with Evidential Values
 Organisational charts
 Annual reports
 Directives/policy memos
 Official histories
 Correspondence
 Accreditation records
 Legal opinions/decisions
 Handbook and manuals
 Minutes of meetings
1.19.6 Records Retention and Records Disposition
 They both prescribe the length of time for keeping records and disposal action in
line with business transactions.
 The retention and disposal must be developed under the guidance of a records
manager, in accordance with the prescribed international standards.
 There must be a disposal date that stipulates a point in time specified in a
records schedule when records should be destroyed or transferred to archives.
Disposal dates based on the date a record was created are often designed to
batch records for disposal; for example, destroy one year after the end of the
fiscal year in which the records were created. Disposal dates may often be
triggered by an event associated with the record; for example, disposal of
contracts is often timed from the date the contract is completed.
 In Botswana, the decisions must be approved by Botswana National Archives
and Records Services (BNARS).

[Link] Ways of Records Disposal

 Records disposal can be done in two ways:
i. Transfer records with long term value from permanent preservation to
archival institution
ii. Through destruction of records that are of no value. Destruction should be
done in an environmentally friendly manner such as shredding and
recycling. Paper records can be recycled and produce toilet paper.
 NB: No records should be destroyed without the written permission of BNARS.

1.19.7 Records Preservation

[Link] What is preservation?

This is prolonging the life span of records for long term use.
[Link] What is Restoration?
Restoration entails treatment procedures that are undertaken to return the
document to its near original status.
Preservation includes the following:
 Activities that prevent damage to a document such as housing, environmental
control and handling controls.
 Treatment activities e.g., deacidifying, reformatting and scanning
 Restoration procedures
 Disaster preparedness
 Document recovery
 Storage and handling
 Security of records
 Records must be maintained and stored safely to avoid deterioration.
Deterioration is whereby records get damaged or destroyed anyhow.

[Link] Causes of deterioration

i. Temperature and Relative Humidity (RH)
RH is the amount of water vapour in the air. It is expressed as a %.
ii. Light
It affects the longevity of records. Light makes paper to brittle
iii. Disaster: it can either be by human error or natural events eg, fire, earth quakes
or flooding

[Link] Maintenance of the building

It deals with the following:
 How the building is maintained.
 Who maintains it?
 Who cleans it, and if those persons trained.
 How often is cleaning done and checked.
 Are there humidifiers.
  Are there air conditioners available?

1.19.8 The Role of BNARS in Archives and Records Management

The Botswana National Archives and Records Services was established in 1967 as
portfolio responsibility of the Ministry of Home Affairs. From that time the Archives
operated on Administrative instructions issued by the Ministry until 1978 when
Parliament enacted the Archives legislation which formally established the National
Archives of Botswana for the preservation of public Archives. The 1985 organisation
and methods review of the Ministry of Labour and Home Affairs led to a revolutionary
development in Botswana’s Records Management establishment. The Permanent
Secretary to the president Circular No.4 of 1993 established BNARS as a department
and gave it the mandate to provide a Records Management service to Government.
BNARS is now under the Ministry of Youth, Sport and Culture established in 2007. The
mandate of BNARS involves managing all public records throughout their life cycle from
creation to disposition. This is achieved through Records Management and Archives
Administration functions. The Records Management division of BNARS coordinates
records management functions through Records management Units (RMU) and
Records centers by ensuring systematic storage and timely retrieval of information as
and when needed for any government business activity. Valuable records are
transferred to archives repositories for permanent preservation while ephemeral records
are destroyed.

1.20 The Records Life-cycle

This is the life span of records from creation to disposition or from birth to death.
Records life-cycle is also known as a journey through which a record travels on its way
from birth to heaven (archive), hell (destruction) or purgatory (review). Records have a
life similar to that of biological organisms.

Below is a diagram depicting the records life-cycle.

1.20.1 Active or Current Stage
This is when records are received or created by an organization or individuals. In this
phase, records are readily available to transact the daily business of an organization.
The records are stored in the records office or registry. Such records will generally be
referred to at least once a month. Files are created in volumes, e.g., 1-1000. Once
volumes get old, they are closed and move to another stage and they will be in an office
called the records center.

1.20.2 Semi-Active or Semi Active Stage

In the second phase of the cycle records are maintained and kept for reference
purpose. They become rarely used, but must be kept for operational or legal reasons to
be retained. The records are required for compliance with procedural, statutory or
financial requirements. Such records are required so infrequently in the conduct of
current organizational activities; they should be transferred to the records centers. They
end up being boxed and fewer will be left in the Records Management Units (RMUs)
and therefore easy to locate. Once records are easy to locate, decision making
processes in the organisations will be made efficiently and effectively. While records
are in this phase, they should stay for some period and should be accompanied by a
retention schedule (timetable), e.g., DA2 (Destroy after 2years).
1.20.3 Inactive or Non-Current Stage
Finally the records die. Records would no longer be required for the work of the
organisation. Thus, they are subject to appraisal procedures for final disposition.
Records with value beyond disposition and cannot be destroyed are (archives) are
taken to archives for permanent preservation. As most records are destroyed (95-97%)
only 3-5% of the records are retained.

1.21 Records Continuum Model

This refers to a model of recordkeeping practice that emphasizes the overlapping
dimensions of recordkeeping and the related axes of accountability. The records
continuum, developed in Australia, is a model of recordkeeping practice that
conceptualizes the interactions of records across interrelated dimensions and axes,
without distinguishing where the creation and active management of records ends and
the archival management of them begins. The dimensions track the records across
creation, capture, organization, and pluralization (making the records available as
evidence). The axes represent different facets of accountability: the identity of the entity
involved in a transaction documented by the records, what that entity did, what the
records provide evidence of, and how the records are found and retrieved for later use.
The diagram below shows the records continuum model.
1.21.1 Comparison between the Life Cycle Model and Records Continuum
Model
 The records life-cycle evolved from the need to effectively control and manage
physical records after WWII while the continuum model evolved from the need to
exercise control and management over electronic record for digital era.
 The life-cycle model has clearly definable stages while the records continuum
does not have definable stages in recordkeeping.
 In records life-cycle, records serve organisational memory early in their creation
stage and collective memory later while on the other hand, with records
continuum model, records are both current and historical from the moment of
creation.
 The life-cycle focus on records as tangible physical entities that is the physical
existence of records themselves while continuum focus on the nature of the
record, the record keeping process, the behavior and relationship of the records
and their environment.
 In a life-cycle model, records pass through stages which are time based and in a
given sequence while in a continuum model records are multi-dimensional
meaning that the records process can happen at any point in the record’s
existence.

1.22 Consequences of Poor Records Management

 Misfiling & loss of files
 Untidiness/disorder in the area
 Time wasted by staff searching for information
 Loss of important operating information required for auditing
 Poor file tracking system
 Poor layout of the record unit/registry
 Bulky files & lack of control of file movement
 Misfiling & loss of files
 Untidiness/disorder in the area
  Time wasted by staff searching for information
 Loss of important operating information required for auditing
 Poor file tracking system
 Poor layout of the record unit/registry
 Bulky files & lack of control of file movement

1.23 Data, Information and Knowledge

 Information can be defined as the processed data which have complete meaning
for decision making.
 Data is incomplete information collected for interpretation.
 Raw material stored in a structured manner that, given context, turns into
information.
 It can be symbols, letters, & numbers.
 Data is the representation of facts as text, numbers, graphics, images, sound or
video.
 Data is raw data that is used to create information. Facts are captured, stored
and expressed as data.
 Information is data in context.
 Without context, data is meaningless-we create meaningful information by
interpreting the context around data.
 Knowledge is information in perspective, integrated into a viewpoint based on
the recognition and interpretation of patterns, such as trends, formed with other
information and experience
 Knowledge is about understanding the significance of information
 Knowledge enables effective action