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The collapse of central registry systems
in the 1960s and 1970s followed by the retirement of staff
who ‘knew’ about records held has left many organisations
bereft of formal record keeping systems. Legal compliance
issues and requirements for increased efficiency and accountability
is focussing attention on procedural records management systems
in the public sector.
Why keep records?
Records are retained to: • Know what
we know • Provide evidence of work done •Support
business functions • Provide organisational accountability
• Ensure legal compliance
Definition of a record:
• Information created or received in the course of everyday
work and
• Retained to provide evidence of work activities (ref:
ISO 15489 International Standard for Records Management)
It should be noted that in Australia, part of the definition
of an official record includes its existence within a formal
record keeping system.
The two major elements of a record keeping
system (for both digital and hardcopy records) are a Classification
Scheme and a Retention/Disposition Schedule.
Record Classification
Scheme
The Classification Scheme or fileplan is
the architecture within which records are arranged so that
they may be found when required. Traditionally, records were
arranged according to the structure of the organisation (e.g.
by Department/Section/Office), then by function (e.g. Finance,
Information Technology) and only then by subject or record
type (e.g. invoices, project files, licences, etc.).
Since the structure of organisations is prone
to change over time, Records Managers, increasingly, put emphasis
on functional arrangement of records. Functions are less prone
to change over time. In addition, records are created as a
result of particular functions or activities. Arranging records
according to the source that created them allows the context
of a record to be preserved and its integrity as evidence
to be heightened. For example a single email or letter may
form part of an extended correspondence and should be kept
in the context of that correspondence to provide a full and
reliable record of what was discussed.
The Classification Scheme facilitates access
to and retrieval of records and aids preservation of the context
of the records that in turn provides evidence. Records should
be arranged (i.e. categorised or filed) according to the functions,
processes and activities that created them.
Record Retention
and Disposition Schedule
The retention and disposition schedule lists
main record series and how long after closure of a file that
it should be retained before disposition. Disposition could
mean destruction, or transfer to another agency, or permanent
preservation as archives. A Retention/Disposition Schedule
avoids the costly practice of indefinite storage of records.
Retention decisions are based on three factors:
• User requirements • Legal requirements
• Future historic requirements
Records are kept as long as staff require
them and others are kept for a longer time to comply with
legislation. For example, invoices are required by staff for
a year or two however they must be retained for 6 years in
total to comply with the Irish Finance Acts. EU funded projects
need to have financial records retained for 10 years to comply
with EU retention regulations.
When staff in an organisation no longer require
certain records, the records may be of interest to future
generations in documenting the functions of that organisation
at a particular time. Traditionally less than 1% of all records
created are worthy of continued preservation as archives.
Storing all records indefinitely is not financially
practical or necessary and can be avoided by implementation
of a Record Retention/Disposition Schedule.
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