LOCAL GOVERNMENT TRAINING

INSTITUTE
PRINCIPLES OF RECORDS
MANAGEMENT
TCRAIM 05101
 Topic one:
CONCEPT OF RECORDS
MANAGEMENT IN CREATING
RECORDS
 Meaning of terms related to
records management and creation
Record
There is no single universal definition of records because
there are many definitions of records. Hence, for the
purpose of this lecture, we can define record as follows:
Record is an information generated or received in the
initiation, conduct or completion of an organizational or
individual’s activity as an evidence of the activity.
 Meaning of terms…..
• Records comprises content, context, and structure
sufficient to provide evidence of the activity.
• Content implies information or data
• Context implies that it should be possible to ascertain how it
relates with other records and to the organization created.
• Structure implies that there must be an inherent logic to the
way in which information it contains and the metadata which
is likely to define its context.
 Meaning of terms….
Examples of records include: correspondence, invoices,
maps, travel vouchers, photographs and invoices.
Such records can be in any media e.g. paper, microform,
film, magnetic tape or disc, optical disc, video or audiotapes.
They come in various shapes, sizes and formats e.g. letters,
paper files, diaries, registers, index cards, maps, plans,
microfiche, aperture cards, photographs, videocassettes,
computerized databases, and electronic mail (Ellis, 1993).
An Image showing records in
different format and media
 Meaning of terms…
Document
Document is a piece of written, printed or drawn or
recorded representation of thoughts.
Or
Document is A unit of recorded information. for
example a Birth certificates, a pictures, Minutes,
Bills, Invoice, Contracts and so on
 Meaning of terms….
Archives
The term archives can be defined in two ways
which are:
Archive as a building
Archive as a document
 Archive as a building
An archive is the building which provides a repository of
the permanently valuable records of an organizations.
Such records are traditionally transferred to an archival
building, both physically and legally, when the
organization that created them no longer needs them in
the course of business. An example of archive is the
National Archive located in Dares salaam in Tanzania.
 Archive as a document or
material
• Archives are documents made or received and
accumulated by a person or organization in the
course of the conduct of affairs and preserved
because of their continuing value (Ellis, 1993).
• Historically, the term has often referred more
narrowly to non-current records deposited or
selected for deposit in an archival institution.
 Meaning of terms…

Record keeping

o A process of maintaining, distributing, indexing

and storing records for their proper use. The
processes of creating and maintaining complete
and accurate records of business activities
 Meaning of terms…

Records management
o Records management can also be defined as the
field of management responsible for the
efficiency and systematic control of the creation,
receipt, maintenance, use and disposition of
records ( ISO 15489-1:2001)
 Meaning of terms….

Information can be defined as

the processed data which have
complete meaning for decision
making.
 Meaning of terms…
Records management system
Records management system is the system that ensure
that all organization’s created and received records are
captured and maintained to support business activities.
It is the system that captures, manages, and provides
access to records through time.
It is a management tool used to direct and control
organization records.
 Meaning of terms…
Document management system (DMS)
o DMS is a system used to receive, track, manage, and store
documents and reduce paper. In the case of the
management of digital documents such systems are based
on computer programs.
o Document Management System commonly provides
storage, versioning, metadata, security, as well as indexing
and retrieval capabilities.
Difference between records and
documents
• These two terms may seem to be synonymous but are not the same.
• Document is a piece of written, printed or drawn or recorded
representation of thoughts.
• Or A unit of generated information. for example a Birth certificates,
a pictures, Minutes, Bills, Invoice, Contracts and so on
• While record is refers to the acquired information regardless of form
or medium, created or received and maintained by an institution or
individual in the transaction of business and kept as evidence of
such activity
 Rationale for records
creation
There are many reasons which make the
creation of records to be a necessary task in
the organization as follows:
Evidential reasons
Records are created to be used as an
evidence of communication, decisions,
actions and history.
 Rationale….

Openness and transparency

reasons
Records support openness and
transparency by documenting and
providing evidence of work activities and
making them available to the public.
 Rationale…

To support quality program

Records support quality program
and services, inform decision
making and help to meet
organizational goals.
 Types of records
Types of records can be grouped into four (4)
categories as follows;
Types of records based on the format
Types of records based on the level of sensitivity
Types of records basing on the
specialization/function.
Types of records basing on ownership
Types of records based on the format

Types of records basing on the format are of two major types namely:

Paper records
Electronic records
 Types of records based on format
continued……..
a. Paper records Is type of record which involves writing on pieces of paper
for the transaction of business. e.g. Paper files, paper reports, letters,
financial statements , birth certificates, etc.

b. Electronic records Is type of record which is held in digital form, they can
be born electronically or can scanned. e.g. Emails, electronic text, databases,
spreadsheets, Audio tapes, Video tapes, microfilms, CDs etc .
Records can be in all media
Types of records continue…
 Types of records based on the
level of sensitivity
In this type records are categorized into four types
a. Top secret Records: This are records that contain disclosure information (opening
for access) of which is likely to cause major harm to an individual, organization or
society when disclosed/ accessed by unauthorized person.
b. b. Secret Records: This are records that contain information that has no major harms
like top secret documents but being restricted for access.
c. Confidential Records: normally are personnel (employees) in nature and
are available to other people except the individual prescribed in that
documents.

d. Open Records this are records that are accessible to all people. Are open
to all people to access them.
 Types of records based on
functions or specialization
Legal records

Legal records may be defined as those records generated

specifically from the legal processes, from the work of the
courts, the police and public prosecutors.
These records document and provide evidence on protecting
rights of individual, individuals or organization. E.g.
contracts and agreements
b. Financial Records
These are recorded information resulted from the conduct
of business or other activities related to financial
management in the organization. For example receipts,
financial statements, cheque, voucher, etc
c. A medical record is documentation of medical and health care services
provided to a patient at the directions of a physician, nurse or other
caregiver .
Or Is a legal document providing a written account of important or historical
events in the order of their occurrence of a patient's medical history and care.
E.g. patient case note and x-rays
d. Land records

These are records generated in the process of governing and administration

of land i.e title deeds, plans, maps, etc.
• e:Administrative records- are those records relating to
general administrative activities common to all
organization, such as maintenance of resources care of
the fiscal plan or other routine office matters also some
time known as housekeeping record. Or records that
carries administrative matters such as recruitment,
planning, promotion, demotion, transfer, personnel
records.
f. Personnel records
These are defined as an employers' saved documentation of the history and
status of the entire employment relationship with an individual employee.
Employee personnel files should contain only that information which is
directly related to the employees job duties, salary, performance and
general employment history. Eg birth certificate, application letter,
appointment letter, etc
 Types of records based on
ownership
In this type records are grouped into two groups;
a. Public records are records that are created, received or maintained by
public offices for conducting their business transaction. Eg memos,
reports
b. Private records are records created, received or maintained by family,
individuals or private institutions for conducting different activities. Eg:
birth certificate, academic certificates, marriage certificates, pictures.
 Process for creating records
All departments and offices should create records which
accurately document their core activities. To do this,
departments and offices should:
Determine which of their departments or offices’
members have the responsibility and authority to create
records.
Incorporate those records creation activities and
responsibility into their policies and procedures.
 Process…
Periodically review the their records
creation procedures
• Creation is the first phase in a record’s life cycle.
It involves the receipt of a record and classification
of it as a record in an organization’s records
management system. The organization has to
ensure that the records are created correctly,
which means including the right information and
using proper format.
o When to create record?
Records should be made whenever there is a
business need, legal requirements or expectation for
evidence and information.
How records are created? (processes for creating
records)
Records can be created through various processes. The
basic processes for records creation include the
following:
Through routine business activities where
documentation is by a product of undertaking the
business activity.
Through the use of business
systems or electronic forms
as part of transaction or
business process.
A conscious decisions to
document an action, event, or
outcome or decisions (for example
taking minutes of a meeting)
• Records can be created in various
formats such as email, letters,
documents, spreadsheets, technical
drawings, text messages, technical
drawing, social media, photographs
and audio or visual recordings.
What to document during
record creation?
To ensure that records are full,
accurate and reliable, records
need to document the following:
What?
The record has to show what
happened, what was decided, what
advice or instruction was
communicated?
Where?-Location
When?- date & time
Why? – a decision was made
Who? – who participated in the meeting,
discussion or telephone conversation and
their position or role.
Any question??
This marks the End!!!!!!