records management

1. FUNDAMENTAL OF RECORDS.
MANAGEMENT, RIT(05101)
ODRIM I
FACILITATOR: MS ZAINA AMIRI OMARI
PHONE NUMBER: 0654101063 OR 0622960245
EMAIL ADRESS: zainaomary094@gmail.com
OFFICE NUMBER: 17 NEW LIBRARY (IAA)
INSTITUTE OF ACCOUNTANCY ARUSHA.
Prepared by Ms Zaina Amiri Omari .

2. LECTURE 2.
CONCEPT OF RECORDS
LIFE CYCLE.

3. Records life cycle
The life-cycle concept of the record is an analogy from the life of a
biological organism, which is born, lives and dies. In the same way, a
record is created, is used for so long as it has continuing value and is
then disposed of by destruction or by transfer to an archival institution.
The lifecycle of records is divided into three phases namely:- current
phase, semi-current phase and non-current phase.

4. 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.
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.

6. RECORDS MANAGEMENT LIFE
CYCLE.

7. STAGES OR STEPS OF RECORDS LIFE CYCLE.
i. Creation or Capture ( ACTIVE STAGE )
Management of creation and capture of all types of
correspondences, issuances, reports and records necessary in
the conduct of the official function of the office.
ii. Maintenance and Use ( SEMI-ACTIVE STAGE )
 Registration
 Tracking
 Classification. Coding and Indexing
 Access and Security Classification
 Storage and Handling
 Inventory, Appraisal and Scheduling
iii. Disposition ( NON-ACTIVE STAGE )
 Transfer to Records Center/Archives or Disposal.

8. i. Creation or capture ( ACTIVE or
CURRENT STAGE ).
Process of identifying which records
should be created/captured in paper and digital form,
including records received by the organization.
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).

9. 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.
 Compose and send emails
 Creation of any MS office document types such as
word, presentations, spreadsheets, etc.
 Transaction within an enterprise system
 The receipt of word documents, emails, excels,
and so on
Records are considered active at this stage.

10. In creation/capture the aim is to identify and
assess the following,.
the requirements of the organization or business
units for records that provide evidence and
information for operational use and collective
memory and that the evidence can support
accountability
the costs of creating/capturing and maintaining
the required records, and the risk to the
organization if it does not have those records

11. Features of current or active phase.
o Records are kept at Registry
o Records are received from outside or created during the business
processes
o Records users are designated officers within the organization only
o Records are used in day to day activities
o Records are always have primary value
o Records are managed by RMA’s

12. ii. Maintenance and use. ( SEMI-
ACTIVE STAGE ).
Stage two, of the records lifecycle is called “ Maitainance,
Distribution & Use”. After a record is created or received, it
passes through a maitainance, 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.

13. While many records may be disposed of after their
initial use, others are required to be kept for a longer
period of time for legal, fiscal, or other administrative
reasons. Since immediate access to these records is
no longer required during this phase, they are
typically stored offsite or offline so as can easily
accessible location for easy access and use. The
record might be kept for a few hours or years,
depending on the retention schedule.

14.  Registration, evidence that a record is
created or captured in a records system;
Involves recording brief descriptive
information about the record in a register or
logbook or
registration system, and assigning the record a
unique identifier.

15.  Tracking
Process of documenting the movements and use of
records so that their whereabouts are known at all
times.
Tracking System - monitors the physical
movement of records, control the issue of
records and document their transfer between.

16.  Classification and coding
Classification System, A predetermined logical
scheme for the physical and intellectual
arrangement, storage and retrieval of records.
Coding Scheme
A representation of a classification scheme, in
letters or numbers and in accordance with a
pre-established set of rules.

17.  Access and Security Classification
Determining access classification as:
 open access records or
 restricted access records
 P e r s o n a l i n f o r m a t i o n
 C o n f i d e n t i a l i n f o r m a t i o n
 P r i v i l e g e i n f o r m a t i o n

18.  Storage and handling
Records require storage conditions and handling
processes that take into account their specific
physical and chemical properties.
• Archival records require higher quality storage
and handling
• Storage conditions and handling processes
should be designed to protect records from
unauthorized access or loss and from theft and
disaster

19.  Appraisal and disposition
Refers to the study of records, their relationships and
contents, to determine their time and utility values.
Time Value
*Permanent
* Temporary

20.  Inventory
Descriptive listing, generally by records series and
subseries, of all the records created, received and
maintained by an organizational unit, indicating fields
such as reference code, period covered,
volume/quantity, location, frequency of use,
duplication, format, arrangement, access restrictions,
vital records status, time and utility values, and
retention period.

21.  Appraisal
The process of assessing records and
identifying which are to be kept permanently
as archives and which are to be kept for a
specific period until these can be destroyed
or removed permanently.

22.  Scheduling
The process of prescribing RETENTION PERIOD of
records for the development of a Records
Disposition Schedule
 Retention Period –length of time as provided
by existing legislation, administrative
procedure or regulation or based on
predetermined length of need or use

23. Features of semi- current stage.
o Records are received from records office
o Records are kept in low-cost storage area (Record center)
o Records are only accessed for reference by the creating office
o Records are infrequently used
o Appraisal and Disposal activities is done
o Records are managed by Records Centre Staffs (RMA’s)

24. iii. Records disposition (NON -ACTIVE
STAGE).
The last stage 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.

25. Destruction can be carried out in a variety of
methods, including, but not limited to:
 Disposing of in the bin
 Shredding of paper document
 Deleting of electronic document
 Shredding of optical disk

26. Features of non -current stage
o Records are received from the records center, private
offices and from individuals
o They are kept in Archival Institution
o They are no longer used in current business transaction.
o Always have secondary value

27. o Records are basically used for reference, evidential,
historical and research purposes
o Records can be accessed by the general public in
accordance with access policy
o They are managed by Archivist

28. Importance of records life cycle.
1. Help the records managers to have a clear perspective of
managing records as a continuous process whereby each
stage complement the other.
2. Helps records managers to make prior decisions whether
to create records or not by making judgment of the values
of the records and information that is present.

29. 3. Helps records managers to make retention scheduling of
records at the right time and appropriately
4. Helps the records managers to understand in advance in
what media the records could be created
5. Recognize the values of records in each stage of its
lifecycle

30. END OF TOPIC 2
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