Cnaq records mgmt_advanced_draft_2017-03-22
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This document provides an overview and agenda for a records management training session. It discusses records management basics, including what constitutes a record, classification and retention schedules. It covers best practices for naming conventions, metadata and tagging. The presentation also addresses challenges around information retrieval and email management. Attendees are introduced to a sample records classification structure and retention schedule. Examples are provided throughout to illustrate key concepts.
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Cnaq records mgmt_advanced_draft_2017-03-22
- 1. Records Management 2.0 Presented by: Erin Clupp, Archives and Records Librarian & Sandra Pettifer, Library Technician (Records Specialist)
- 2. Agenda 1. Review of RM Basics 2. Information Retrieval Issues 3. Classification and Retention 4. Naming Conventions, Metadata and Tagging 5. Email Management 6. Wrap-up http://blog.parityresearch.com/new-ibm-ecm-capabilities-dazzle-so-why-are-most-organizations-slow-to-adopt/
- 3. What is a Record? • Documentation created or received and used by a department in the transaction • Evidence of a transaction or activity • The format of a record does not matter!
- 4. Record vs Non-Record Game • Kahoot: – Is this a record? Y/N – 4 options: pick the one that is a non-record
- 5. What is a Record? Record • Correspondence, meeting minutes, letters, policies, (evidence of decisions made) • Financial transactions (bank statements, accounts payable/receivable, budgets) • Final drafts of reports and project files • Data files and tables • Personnel and employee documentation • Student and course records • Official publications • Digital files (electronic media, tapes, disks, hard drives, and portable storage devices) • Electronic messages (email, instant messages, voicemail) Non-Record • Information brochures or pamphlets from other organizations • Reference material • Drafts (only need to keep the final copy for most documents) • Duplicate or copies of documents (only need to keep the original) • Blank forms or files • Meeting invites • Routine requests • Distribution list emails (general to staff, listservs, etc.)
- 6. record
- 8. Records Classification • We classify records and put them into a hierarchy based on what the record is about • Group records by subject or function • Benefits: – Standardized classification structure means everyone files the same way – Easy to train new staff – Easy to move between departments and fill in for others
- 9. CNA-Q Classification Structure AC Academic AD Administration FN Finance GV Governance IT Information Technology LG Legal RE Research RG Registrar EV Environmental Health & Safety FM Facilities Management HR Human Resources IM Information Management MK Marketing &Communications PR Procurement RM Risk Management SM Security Management ST Student Services
- 10. CNA-Q Classification Structure AD Administration AD-01Policies and Procedures AD-02 Correspondence AD-03 Meeting Minutes AD-04 Strategic Planning AD-05 Project Management AD-06 Event Planning AD-07 Business Licenses, Permits and Certifications FN Finance FN-01 Cash Management & Banking FN-02 Accounting FN-03 Budgets FN-04 Funding and Investments FN-05 Financial Reporting FN-06 Taxes FN-07 Trusts and Endowments FN-08 Payroll HR Human Resources HR-01 Employee Records HR-02 Recruitment and Hiring HR-03 Compensation and Benefits HR-04 Scheduling HR-05 Training and Development HR-06 Labour Relations HR-07 Personnel Management MK Marketing &Communicatio ns MK-01 Communications MK-02 Marketing MK-03 Sales MK-04 Graphic Design
- 11. Applying Classification to a Network Drive Function “Communications” Activity “Requests – Support” These three documents are classified under COMMUNICATIONS – REQUESTS-SUPPORT … and are further sub-classified by “YEAR”. Substructure By ‘Year’
- 12. Applying Classification to Email in Outlook Function “Governance” Activity “Board Meetings” These three E-MAILS are classified under GOVERNANCE – BOARD MEETINGS … and are further sub-classified by “YEAR”. Substructure By ‘Year’
- 13. Applying Classification to SharePoint
- 14. Classification Exercise Paper filing test? Can we do it electronically?
- 15. Records Retention • Retention = ‘retain’ • Is a timetable saying how long you are going to keep a record for • The length of time is written in what is called a ‘retention schedule’ • Often the retention schedule and classification scheme go together (often in a single document) that shows how to classify and dispose of records properly • Some records are governed by laws that say how long you have to keep a record (like financial records)
- 16. Records Disposition • Disposition = ‘dispose’ • The final stage of the records life cycle (the death phase) • Happens when you no longer need to keep the record anymore (based on the retention schedule) • You either: – Destroy it (shredding or deletion) – Send it to the archives • Must have permission from the archivist or records manager before destroying records
- 17. Example of a Records Retention Schedule
- 19. Example: Accounting Invoice Creation • Received from vendor and sent to Finance department to be classified and filed Use • Used to approve payment; kept in office until paid; stored for fiscal year +10 years; retrieved for audits Disposition • No archival value; destroyed
- 20. Example: JOB Meeting Minutes Creation • Created as a result of JOB meeting; classified and filed Use • Used to document decisions made and refer back to them; keep recent years as active; send inactive for storage Disposition • Sent to archives to document the history and decision-making of the College
- 22. Naming Conventions • Help with finding records/information • Important details in the title • Standardization means everyone names files the same way • Allows sorting in a logical sequence as you can sort records by name, date or version number https://www.youtube.com/watch?v=Hi_A4Ywn4VU&spfreload=10
- 23. Naming Conventions Use specific, meaningful keywords Double up the numbers: 01 / 10 / 32 Avoid acronyms unless common (like CNA-Q) Avoid special characters: $@%&!?/<>* Standardize dates: YYYY- MM-DD Use_Underscores_Instead _Of_Spaces Version control: v1.0 / v2.1 / Final / Draft File extensions: .ppt / .doc / .xls / .pdf
- 26. GAME?
- 27. Email Management
- 28. Archives and Records Contact Info • Email: college.archives@cna-qatar.edu.qa. • Phone: 4495 2686 • Location: Building 16, Room 16.01.22 • Drop by or make an appointment
Editor's Notes
- It isn’t just any piece of paper, file or a document A record is any documentation created or received and used by a department in the transaction of College business A record provides evidence of a transaction or activity The format of a record does not matter (more than just papers)!
- When developing the records classification schedule, we decided to take a functional approach in which we have The categories begin very broad as with the function-level (i.e. Finance) and eventually become more narrowed as you go from the activity-level to the transaction-level Example: Finance levels
- Help with finding records/information Can know details of what’s in a record without having to open up the file as important info is in the file title (both electronic or paper) Standardization means everyone names files the same way (we all may have a different way to name files) Allows sorting in a logical sequence as you can sort records by name, date or version number