Discussion of records life cycle

1. MLIS 108
Archives and
Records
Management

2. Lesson 3
• Records Life Cycle
2

3. Learning Objectives
At the end of the lesson, we will be able to:
➜ understand and articulate the phases and
processed of the records life cycle.
3

4. Takeaways from Lesson 2
What are Documents
➜ written policies, process
descriptions, procedures,
blank forms
➜ a work in progress and
can still be added to,
edited and updated
➜ change is possible so
documents don’t
necessarily adhere to
specific regulations
4
What are records
➜ information captured on
worksheets, forms, charts,
and other forms of media
➜ final and official
➜ cannot be edited and
recreated
➜ requires backup system
and stored for security

5. 5
➜ Organizational chart
➜ Manuals
➜ Financial statements
➜ Employment contracts
➜ Invoices
➜ Procedures and work instructions
➜ Supplier lists
Which is a Record?
Which is a Document?

6. 6
Identify the kind of record
Birthday notice Collection
letter
Board meeting
minutes
Sales
contract
Department
newsletter
Internet usage
report
Operating report Deed to
property
All-staff memo Product
change letter
Financial report Land use
contract
nonessential
useful
important
vital

7. Records Life Cycle
the theory of this concept is
that records are born
(creation), it lives (maintenance
& use) and it dies (disposition)

8. 8
Records over time go from an active phase to an inactive phase to final disposition

9. 9
Records Creation/Receipt
Process of identifying which
records should be created or
captured in paper or digital
format, including records
received by the organization
NAP Circular No. 1

10. What makes a record
 it is the CONTENT and FUNCTION
that determines a record –
regardless of format or technology
used to create or capture it or where
it is located
• paper, carved on a rock, written on a
cocktail napkin, in an electronic device,
or whatever media contains the
information.

11. who captures record
EVERYONE
 Heads
 Administrators
 Staff/Personnel
 Other stakeholders

12. why capture/create a record
➜ “Information created,
received, and
maintained as evidence
and information by an
organization or person,
in pursuance of legal
obligations or in
transaction of
business.”
ISO 15489
➜ Provide enduring
value
➜ Evidence
➜ Basis for decision-
making
➜ Business continuity
➜ Transparency &
accountability
➜ Management of data
& information

13. which records to capture
➜ record captured must
contain complete
content, structural &
contextual information
➜ authentic
➜ be meaningful &
understood
➜ secure
➜ accessible
➜ any record that
documents a decision,
action taken, or any
recommendations
advice or instruction
given
➜ Any records that meet
are created, received or
kept to meet
- legal requirements
- organization
expectations
- business requirements
the cost & risk to the
organization if it does not
have those records

14. 14
when to capture records
 when they are created – to reduce
risk of them being missed or lost
 new process or procedure
 any change to an existing process
or procedure
 but may have to wait to capture
others
 if original not available, capture a
copy on a backup or in an archive

15. 15
after capture – registration
 provides 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
R.A. 9470, Art. 3, Sec. 14

16. tracking system
 involves recording
brief descriptive
process of
documenting the
movements and use
of records so that
their whereabouts are
known at all times
 monitors physical
movement of records,
control the issue of
records and
document their
transfer between
offices or persons and
their return to storage
 periodic review to
identify any missing
records

17. 17
Activity Description Record created
Formal Meeting Meetings of committees, boards, working
groups, etc.
Includes conference calls/video
conferencing
Formal meetings of committees, boards and
working groups are often governed by
standard procedures and rules. It is
important that such procedures and rules
identify records that must be created and
kept of the business conducted at the
meeting as well as outlining responsibilities
for creating records of the meeting
Delegate someone to take minutes
documenting:
• date and location of the
meeting
• attendees
• supporting documents
• items discussed
• information
provided/communicated
• advice given
• dissent or concerns expressed
• decisions/agreements
• authorizations/approvals
• actions to be taken
Circulate and confirm the accuracy
of the minutes of the meeting
sample activity that merits the creation of a record

18. ➜ producing the record when necessary
➜ adoption of a filing system
➜ storage
• choice of equipment/supplies
➜ mail management
➜ files management
• filing method
• cross references
• releasing
➜ security
Maintenance & Use

19. 19
The systematic
process of locating,
finding and
removing a file or
record from a
storage area.
What is records retrieval?

20. 20

21. 21
1. Request for stored record or record series -
requisition form prepared.
2. Check index for location of stored record.
3. Search for record or record series.
4. Retrieve record or record series; remove from
storage.
5. Charge out record - insert OUT indicator in place of
records removed – complete charge-out log.
6. Send record to requester.
7. Follow up borrowed record.
8. Receive record for re-storage.
9. Store record again.
10. Remove OUT indicator.
11. Update charge-out log.
Sample Retrieval process

22. 22
Filing System
 Filing should be interesting and attractive
 Offer quick and easy filing and retrieval information
 Ensure integrity and continuity of record keeping despite
changes in office personnel
 Have uniform practices
 Allow for easy identification and disposition of inactive
records
 Clear and simple filing categories
 Expandable and flexible enough to meet everyone’s
needs

23. 23
Collect information
Utilize Records
Retention Schedule
Assign
responsibility
Develop a Filing
System
Implement the
system
Train users

24. ➜ Centralization or Decentralization
➜ Subject
➜ Chronological
➜ numerical
Arrangement

25. 25
Subject Chronological Numerical

26. 26
Equipment & Supplies
Storage and
retrieval
requirements
Space
requirements
Security
requirements
Equipment
costs
Operation costs
Number of
persons regularly
accessing
records
Physical
characteristics of
records
Equipment
compatibility
Efficiency
Quality Economy
Criteria for Selection
Equipment Supplies

27. 27
Vertical & Lateral cabinets
Shelf files

28. 28
Box files
Folders

29. 29
Suspension files
Optical Disc in sheet protector
File out tray
File fasteners
Index Cards File
Rotary card index

30. Storage area
Active storage area
– a handy place
within the office
– records are active
thus they are used
frequently
Archive storage area
– a place that is less
accessible
– records are not used on
a regular basis

31. 31
transferring, retaining, or destroying records

32. Disposition
 final phase of
record life cycle
 final destination of
records after the
end of their
retention period in
active and/or
inactive storage
 disposal refers to the
act of selling, burying
or any way of
discarding valueless
records in accordance
with the provision of
RA 9470
 based on Retention
Policy
 certificate of
completion required
for any disposal

33. 33
Records
transfer
1. act of changing the physical custody
of records with or without change of
legal title
2. relocating of records from one
storage area to another
3. Basis for making the decision to
transfer records is the frequency of
use of the records; as records age
they are less frequently accessed
4. Degrees of records activity

34. 34
Disposition
 No more active records storage
space available
 Costs of more storage
equipment and extra office
space is increasing Degrees of
records activity
 Stored records no longer
requested
 Workloads have been
lightened and time is
available for the records
transfer activity
 Established organizational
policy required every
department to transfer
records at stated time

35. 4 important questions to answer in Transfer of Records
1. WHAT records are to be moved?
2. HOW are the records to be
prepared for transfer?
3. WHEN are the records to be
transferred?
4. WHERE at the transferred records
to be stored?

36. Transfer methods
Perpetual Transfer method
 Records continually
transferred from active
storage to inactive
storage whenever
records are no longer
needed for reference
Examples: student records
after graduation; legal cases
that are settled; research
projects when results are
finalized
Periodic Transfer method
 Active records are
transferred at the end of
a stated period of time,
usually one year, to
inactive storage
 Completed on a
scheduled bases from
active storage to inactive
storage whenever
records are no longer
needed for reference

37. Assassination of records
disposal of records no longer of value
➜ Destruction date
file—tickler file
with scheduled
destruction dates
and related
information
➜ Destruction
file—contains
information on
the actual
destruction of
inactive records

38. 38
Records over time go from an active phase to an inactive phase to final disposition
Records Life Cycle