Lecture two records

The Mwalimu Nyerere Memorial
Academy (MNMA)
Introduction to Records Management
for TCHRM /SST 05111
By, Mr. Sanchawa, Denis H
Assistant Lecturer-Social Studies
9/24/2014 1

Introduction
• Records management offers tangible benefits to
organisations, 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
organisations time, money and other resources
and e.t.c
9/24/2014 Mr. SANCHAWA, Denis H 2

Introduction (ctd)
• Thus, in this lecture we are going to see the
concepts of record, document, record
management, record life cycle , the benefits of
records management, the principles for
effective records management and other
areas which deem to be necessary

What are records?
• Records are official documents that should be
stored for later use
• Records and Archives management Act,2002
defines records as recorded information
regardless of form or medium created, received
and maintained by institution or individual in the
pursuance of its legal obligations or in the
transaction of its business and providing evidence
of the performance of those obligations

• Thus, records are information kept in various
forms such as paper or computer disk needed for
carrying out the activities of the organization.
The captured information can be in form of :-
• Paper (e.g. Files, reports, maps, print outs
invoices etc)
• Microfilm
• Compact disk
• Tapes and etc

• Records are information that have been
documented by an organization in the course
of its business and maintained in pursuance of
certain obligations.
• Records are document created, received,
maintained and used by an organization or an
individual in transaction of business which it
provides evidence.

Healy, S (1997) sees records as documented
information consist of books, papers, maps,
photographs or other forms regardless of
physical characteristics made or received by
any public or private institution in connection
to functions, policies, procedures, operations
and activities of an organization

Forms of records may INCLUDE?
• Paper reports, directives, forms,
correspondence
• Phone call notes
• Photographs, videotapes, posters
• Maps and drawings
• Databases
• E-mail
• Microfilms and etc

What is NOT a record?
• Material that does not meet the statutory
definition of the record include but not limited
to (Samson, 2012) :-
i. Technical reference material
ii. Catalogs , trade journals, manual
iii. Extra copies
iv. Black forms
v. Some electronic information

Why records?
To ensure continuity in administration
To ensure tax-payer’s interest is protected at all
times
For providing evidence in case of disputes
For planning & scheduling organisation activities
For historical value
To make available needed facts, figures,
correspondence etc.

Why records?
• Documentation of workforce performance
• Provide evidence about past actions and
decisions
• For accountability and transference purpose

Criteria in creating records
• Is it necessary?
• What constitutes adequate
documentation?
• Is it desirable to have it in a consistent
format?
• What is its future life ?
• What is the best way to store and
retrieve it?

What are the characteristics of
records?
• Records are evidence of actions and transactions
• Records should support accountability, which is
tightly connected to evidence but which allows
accountability to be traced;
• Records are related to processes, i.e.
“information that is generated by and linked to
work processes” [Thomassen, 2001, p 374];
• Records must be preserved, some for very short
time and some permanently.

Other characteristics of records
• Authenticity : proven to be purport to be created
and sent by the Person implied to have
sent/created them
• Integrity : Must remain complete and unaltered
over time
• Usability : Can be located, retrieved, presented
and interpreted
• Reliability: contents can be trusted as a full and
accurate representation of the transaction to
which they attest

Records contain information and
date from which ?
• Decisions are made
• Plans are developed
• Policies are made
• Objectives are realized
• Obligations are discharged
• Questions can be answered
• Historical evidence can be taken
• Investigations can be handled and etc

What are the categories of records ?
• Records can be categorized in a number of
different ways:- Commonly recognized
categories include: (Standard Australian, 1996)
• Administrative Records : procedures
documentation, forms and correspondence ;
examples are staff manuals, rosters, logging of
property maintenance jobs, travel bookings

What are the categories of records?
• Accounting records : reports, forms and
related correspondence. Examples are
invoices, bank account reports, customer
billing reports
• Project reports: correspondence , notes ,
product development documentation e.t.c
related to a specific project

What are the categories of records?
• Case files: client records, personnel records,
insurance, contacts and lawsuit files

Meaning of a document
• A document is any piece of written information in
any form, produced or received by an
organisation or person. It can include databases,
website, email messages, word and excel files,
letters, and memos.
• Recorded information, which can be treated as a
unit (URT, 2011)
• Structured unit of recorded information either
published or unpublished, in hard copy or
electronic form and managed as discrete units in
information systems( Standard Australian, 1996)

A document and a record
• When document s are kept as future evidence
they become official records.
• In other words, all records start off as documents,
but not all documents will ultimately become
records.
• A FILE : An organized physical assembly (usually
within a folder) or documents grouped together
because they relate to the same subject, activity
or transaction (URT, 2011)

What is records management?
• Records management is the systematic control of
an organisation's records (both paper and
electronic), throughout their life cycle, in order to
meet operational business needs, statutory and
fiscal requirements, and community expectations
• A field of management responsible for the
efficient and systematic control of the receipt,
maintenance , use and disposition of records
(GoT, 2011)

What is records management?
• Record management refers to administrative
management concerned with systematic
planning, controlling, creating, maintenance,
efficient and economic use and disposal of
records throughout the entire life cycle of
records of an organization (Samson, 2012)

What is records management ?
Activities involved in controlling the life cycle of a
record, beginning with its creation and ending
with ultimate disposition
Leads to prevention of creation of unnecessary
documentation
Early identification of papers lasting value and
systematic planning of retirement procedures

Why is records management
necessary?
• RM ensures information can be accessed easily,
can be destroyed routinely when no longer
needed,
• RM enables organisations not only to function on
a day to day basis, but also to fulfil its legal and
financial requirements
• Through effective record management for
example, organization can be held accountable
for its actions or in actions .

Why records management ?
For essentially planning, organizing and
coordinating of certain functions relating to
information gathering, information processing,
communicating and records keeping
Key to efficient administration

The benefits of effective records
management
Systematic management of records allows
organisations to:
• know what records they have, and locate them
easily
• increase efficiency and effectiveness
• make savings in administration costs, both in staff
time and storage
• support decision making
• be accountable

Benefits of effective records
management
• achieve organisation objectives and targets
• provide continuity in the event of a disaster
• meet legislative and regulatory requirements,
particularly protect the interests of
employees, clients and stakeholders

Legal and regulatory frameworks for
RM in Tanzania
• The National ICT policy of 2003
• The cultural policy of 1997
• The national security Act No.3 of 1970
• The records and archives mgt Act No. 3 of
2002
• The founders of the Nation Act No. 18 of
2004
• The evidence Act(R.E) of 2002

Summary of the benefits of record mgt
Item /variable Benefit (s ) : How? : Means
Time By ensuring that information can be found easily and quickly
Space By preventing record from being kept longer that necessary
Money /cost By reducing storage cost and maintenance cost
Efficiency By ensuring that information is readily accessible
Legal By keeping documentation in line with the legal and regulatory needs
control By preserving important data and preventing the accumulation of
short-lived material
Quality By providing staff with access to accurate and reliable records
Security Increases security of confidential information
Continuity Support business continuity and risk management
9/24/2014 29
Mr. SANCHAWA, Denis H

The Life cycle concept of a record

What is the life cycle of a record?
• The record life cycle is a concept based on the
idea that records may be regarded as having a
life similar to that of living organism.
• Refers to the life cycle of records from their
creation to their destruction or permanent
retention(GoT,2011)
• Thus, the concept goes into stages as
described in this presentation

The life cycle of records
• Current: Initially records are current or active
while they are used to carry out day-to-day work.
• Semi-current: Next records become semi-current
or semi-active, when they only need to be
referred to occasionally or have to be retained for
legal or regulatory reasons.
• Inactive: Finally records become inactive, and a
decision has to be made whether to discard them
or, in a few cases, keep them permanently
because they have historical value.

The importance of the life cycle
concept of records (Mhina, 2012)
• Helps the record managers to have clear
understanding of managing records from their
creation stage to disposition
• helps record managers to make prior decision
whether to create a record or not by making
judgement of the value of a record
• Helps the record liason to understand in advance
in what media the record could be created
• Helps the record managers to apply records
retention scheduling of records at the right time

Key elements for records management
• Records management involves controlling records
throughout their life cycle. Thus , the activities
involved in records management can be described
into the following key elements or items

Records creation
• Each department must create records that are
accurate and complete, so that it is possible to
establish what has been done and why.
• The quality of the records must also be
sufficient to allow staff to carry out their work
efficiently, demonstrate compliance with legal
and regulatory requirements, and ensure
accountability and transparency expectations
are met.

Information audit
• Information audit is helpful in order to
establish what information (both paper and
electronic) is held by a department and where
it is held; and to clarify who is responsible for
keeping the definitive versions of documents
and who is simply holding copies.

Classification
• All records (e.g. paper files, electronic
documents, emails) should be arranged
systematically, so that they can be retrieved
easily and quickly.
• The main areas of work carried out by a
department should be identified, and then a
paper filing structure and electronic directory
tree developed into which all the documents
can be logically placed

Storage
• Records that are consulted frequently should
be kept close-at-hand within the immediate
office space, while semi-current material can
be housed in separate store rooms or stored
off-site

Security
• Paper records containing confidential
information must be stored in locked cabinets
or drawers when not in use, and access only
granted to authorized staff.
• In the case of sensitive electronic data, access
should be controlled through the use of log-ins,
passwords and read-only settings, and
computers should not be left unattended
when logged-on.

Tracking
• In departments where several people need to
consult the same documents, it may helpful to
track the movement of files to ensure they can
always be found.
• For example, a form can be used to record the
name of the person retrieving a file, as well as
its reference, title and the date of retrieval;

Vital records
• It is essential to store all critical business data
on a network drive, so that it will be protected
by appropriate back up and disaster recovery
procedures. Vital records that are only
available in paper format should be
duplicated, and the originals and copies stored
in separate locations.

Preservation
• Records of continuing value need to preserved
and remain accessible. Wherever documents
are stored, they should be protected from
potential hazards, such as fire and flood, and
the temperature and humidity maintained at
stable levels (to prevent the development of
mould).

Retention
• Each department should have a retention
schedule listing its major categories of records
(both paper and electronic) and for how long
they are required; documenting retention
periods will assist departments to control their
information effectively and in compliance with
the legal requirements

Destruction
• There must be clear, auditable procedures for
destroying records.
• The disposal of each department’s core
administrative records (both paper and
electronic) should be controlled by retention
schedules, and a record should be kept of
what is destroyed and when .

Principles for effective records
Management
• The guiding principle of records management
is to ensure that information is available when
and where it is needed, in an organized and
efficient manner, and in a well maintained
environment.
• There fore, the organisations must ensure that
their records are guided by the following
principles

management
Appraisal: Review at appropriate stages, starting
from last action on current file
Weeding: There should be constant weeding and
review of records so that the cost of maintenance
of records kept to minimum
Accessibility: Should provide an easily accessible
store house of information relevant to the
changing needs of the organisation
Control: There should be control on growth of
record since its creation tile final disposal stage

management
Speed & Retrieval: Records should be kept in such
a way that they should be capable of being
retrieved quickly
Economy: Economy should be observed by
ensuring that records occupy minimum space,
cost of equipment's for storing records is low, cost
of retrieving information is low
Retention Schedule: Should provide a uniform &
systematic schedule for retention & disposal of
records

References
• http://www.authorstream.com/Presentation/ran
dhawakiran23-1131597-records/ accessed on
19/09/2014 at 16:35 Pm
• http://www.authorstream.com/Presentation/sad
ada2008-1541785-records-management-adada
on 20/09/2014 at 20:30 Pm
• http://www.nas.gov.uk/recordKeeping/recordsM
anagement.asp accessed on 17/09/2014 at 10:05
am
• GoT(2011), The National records and archives
mgt policy: Dar es Salaam Government printers

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