LIS 111 Introduction to Records Mgt.
and Archives
Topic: Managing Current Records
Learning Objectives
By the end of the module, students should be able to:
1. identify the simple filing system, use and tracking records, security, and vital
records.
Use and tracking
Tracking of the movement and use of records within a records system
is required to:
1. Identify outstanding action required,
2. Enable retrieval of a record,
3. Monitor usage for systems maintenance and security , and maintain
an auditable trail of records transaction (i.e. capture or registration,
classification, indexing, etc. and
4. Maintain capacity to identify the operational origins of individual
records where systems have been amalgamated or migrated.
ISO 15489-1:2001
Why track files?
Files are tracked:
1. To monitor and ensure actions are taken
2. To prevent loss of records
3. To maintain security
4. To manage current storage needs.
Security
Security for current record systems is important for a number of
reasons. Ensuring that records are kept security and that only those
authorized to create, manage and access them can do so is crucial to
confidence that the records are reliable. If the records are not kept at a
standard of security that ensures they cannot be change or removed
without due authorization , there can be neither accountability nor
confidence in the function.
How can we keep records secure?
We keep records secure by implementing:
1. Appropriate levels of security assigned to record groups depending
on sensibility of work and content
2. Individual usernames
3. Good password practice, regularly changed, never shared
4. Encrypted mobile devices and record storage media
5. Locked filing cabinets and/ or file rooms
6. Clear desk policy
7. Effective staff training and regular awareness raising.
Staff training and awareness
In order for security measures and controls to be effective, staff need
to be aware of the security issues and ways to protect records, both within
the organization and outside. Security policy and procedures are always a
fine balancing act between ensuring safety and hindering productivity, so
taking into account the views and suggestions of staff working with the
records is always important. Successful implementation of record and
information security protocols requires regular staff awareness campaigns
and effective baseline training for all staff
Identification vital records
Identifying vital records can be tricky, because it depends on several
factors. First of all there needs to be an overview of the organization, its
functions and the records that support it. Secondly, senor level staff need
to engage with the process of identifying the vital functions and activities
to ensure that the correct records are prioritized. Finally, it is necessary to
involve record creators or users in identifying vital records, but it can be
difficult to tactfully explain to them that all their records.
The vital records list should be list of vital functions agreed by senior
management who understand the mission-critical operations,
fundamental responsibilities and essential activates of the organization. It
should be drawn up by or at least developed in consultation with the
records manager and/or archivist because of their knowledge of the
relationship between functions and records.
Vital records criteria
The precise set of vital records that need protection in case of a disaster
will depend on the organization – its status, its business, the way it
operates and its culture. However , there are some general guidelines to
follow:
1. Financial records proving payment or monies owned to the
organization
2. Employee contact information and ongoing obligations such as
payroll and benefits
3. Records which fulfill legal and government requirements, allowing
the organization to operate within the law, protect itself and /or
individuals, and protect against litigation.
4. Manufacturing records such as production specifications, inventory
list, current research and development, licences to operate.
5. Insurance policy information
6. Ownership records for property, patent and trademarks, registration
numbers, franchise information, capital investments
7. Major contracts and agreements
8. Corporate records such as minutes of directors meeting,
incorporation papers, organization charts
9. Core operational records such as case files, membership records etc.
10. Facility records providing information on location, plans and
operation of building, entrances, safes, sprinkler and heat and air con
system, alarm system, security systems.
References:
1. Crockett, M. (2016). The no-nonsense guide to archives and
recordkeeping. London : Facet Publishing.
