A Quick Guide to Records Management

Summary

The transcript explains the importance of records, both personal and organizational, highlighting their legal significance. Personal records include documents like birth certificates and tax returns, while organizational records encompass contracts, invoices, and safety certificates. It addresses the transition from hardcopy to electronic records, stressing the need to protect their integrity. The concept of a retention schedule is introduced, which governs how long records must be kept before destruction. The challenges of identifying, filing, and managing records in a structured file plan are also discussed, emphasizing the complexities of electronic record management.

Takeaways

• 📜 Personal records include important documents like birth certificates, tax returns, and medical records.
• 🏢 Organizations keep records as legal evidence, such as contracts, invoices, and corporate tax records.
• 💾 Records used to be in hard copy but are now frequently stored electronically, like emails and PDFs.
• ⏳ Each record has a retention period defined by law or organizational policies.
• 🗑️ After the retention period ends, records become eligible for destruction.
• 🔒 Since records are legal documents, it is crucial to ensure they are not altered, especially in electronic form.
• 📁 Records are organized through a file plan, a classification system that also manages retention schedules.
• 🏭 Industry-specific file plans, like LGCS, exist but tend to be inflexible.
• 🤷‍♂️ It can be difficult for employees to identify what constitutes a record and where to file it.
• 🕒 Determining when a record should be declared is also challenging for individuals in an organization.

Q & A

What are some examples of personal records mentioned in the transcript?

Examples of personal records mentioned include birth certificates, tax returns, planning applications, and medical records.

Why do organizations keep records?

Organizations keep records as evidence in pursuance of legal obligations, such as contracts, invoices, procedure manuals, corporate tax records, safety certificates, and more.

How have organizational records changed in format over time?

Organizational records used to be in printed hardcopy form but are now more frequently found in electronic forms, such as emails and PDFs.

What is a retention schedule?

A retention schedule, also called a disposition schedule, defines the period during which a record must be kept by law or organizational policy before it is eligible for destruction.

Why is it important for records not to be changed?

It is imperative that records are not changed because they serve as legal documents. Altering them could lead to issues of compliance and authenticity, especially in legal contexts.

What is the challenge in ensuring the integrity of electronic records?

Ensuring that electronic records are not altered is more difficult than with hardcopy records due to the ease of modifying digital information.

What is a file plan and what does it do?

A file plan is a classification scheme that organizes records and provides the framework for the retention and disposal schedule of those records.

How are file plans typically structured?

File plans are well-structured, often ready-made for specific industries, such as the LGCS (Local Government Classification Scheme). They are usually inflexible and rarely change.

What is a key challenge for employees regarding record management in organizations?

A key challenge is that it is often difficult for employees to identify the type of record that should be declared, where to file it in a potentially complex file plan, and when they should declare it.

What is the difference between documents and records in the context of the transcript?

Records are structured, legally-bound documents with retention schedules, while documents can originate from various sources and do not necessarily have the same legal requirements as records.

Outlines

00:00

📜 Personal vs Organizational Records

This paragraph introduces the concept of records, distinguishing between personal records (like birth certificates, tax returns, and medical records) and organizational records (such as contracts, invoices, and safety certificates). It emphasizes that records, whether in hardcopy or electronic form, need to be kept for a specific period due to legal obligations or organizational policies. The paragraph also explains the concept of a retention schedule, which defines the length of time a record must be kept before it can be destroyed.

⚖️ Importance of Record Integrity

This paragraph highlights the legal nature of records and the importance of maintaining their integrity. It points out that while it's relatively easy to ensure hardcopy records are not altered, electronic records pose more challenges. Ensuring the unaltered state of records, especially electronic ones like emails and PDFs, is crucial due to their legal standing.

📁 File Plans and Record Management

This paragraph delves into the use of file plans, which serve as a classification system for records and provide the framework for their retention and disposal schedules. These file plans are often pre-designed for specific industries (e.g., the LGCS for local governments) and are typically rigid in structure, rarely changing over time. They play a crucial role in organizing records within an organization.

🗃️ Challenges in Declaring and Filing Records

This paragraph discusses the challenges faced by regular employees in identifying and managing records within a complex file plan. It acknowledges the difficulties employees encounter in determining what constitutes a record, where to file it within the organization’s file plan, and when they should declare it as a record. The complexity of file plans and the abstract nature of record identification make the process challenging for non-experts.

Keywords

💡Personal records

Personal records refer to documents that individuals keep for personal or legal purposes, such as birth certificates, tax returns, or medical records. In the video, these records are highlighted as important assets for individuals that must be kept secure and accessible for various needs.

💡Organisational records

Organisational records are documents kept by organizations to comply with legal obligations and serve as evidence of business activities. Examples include contracts, invoices, and safety certificates. The video emphasizes their importance for accountability and legal compliance.

💡Retention schedule

A retention schedule is a predefined period during which records must be kept before they are eligible for destruction. The video explains that this period is determined by law or organizational policies, ensuring that records are kept only for as long as necessary.

💡Disposition schedule

The disposition schedule refers to the timeline or plan for when records should be destroyed once their retention period is over. It is closely related to the retention schedule and ensures proper management of records throughout their lifecycle, as discussed in the video.

💡File plan

A file plan is a structured classification scheme used to organize records, providing the framework for their retention and disposal. The video mentions that file plans are typically industry-specific and rigid, making it easier for organizations to manage their records systematically.

💡Legal obligations

Legal obligations are responsibilities that require organizations to maintain records to comply with laws and regulations. The video points out that failing to properly manage records could lead to legal consequences, hence the emphasis on records management.

💡Electronic records

Electronic records are digital versions of documents, such as emails and PDFs, which have become more common as organizations shift away from paper-based records. The video highlights the challenges of ensuring these records remain unaltered due to their digital nature.

💡Hard copy records

Hard copy records refer to physical, printed documents. In contrast to electronic records, the video suggests that hard copy records are easier to manage in terms of ensuring their integrity, as they are less prone to unauthorized changes.

💡Record declaration

Record declaration is the process of officially categorizing a document as a record within an organization's file plan. The video explains how challenging it can be for employees to identify when a document should be declared as a record, especially within a complex filing system.

💡Alteration prevention

Alteration prevention refers to the measures taken to ensure that records, particularly electronic ones, remain unchanged after being created. The video stresses the importance of preserving the integrity of records, especially since they serve as legal documents.

Highlights

Personal records like birth certificates, tax returns, and medical records are valuable for individuals.

Organizations keep records as evidence to fulfill legal obligations.

Organizational records include contracts, invoices, procedure manuals, corporate tax records, and safety certificates.

Most records, once in printed form, are now increasingly stored electronically, such as in emails and PDFs.

Each record has a legally mandated retention period, which can also be set by the organization itself.

The retention period is referred to as a retention or disposition schedule.

At the end of the retention period, records are eligible for destruction.

Ensuring records are not changed is critical, especially since they serve as legal documents.

Hardcopy records are easier to preserve without alteration, while ensuring electronic records remain unaltered is more challenging.

Records are organized in a file plan, which is a classification scheme also used for retention and disposal schedules.

File plans are highly structured, often pre-made for specific industries, like LGCS.

File plans are generally inflexible and seldom change.

Documents can originate from various sources, making it difficult for employees to recognize records that need to be declared.

It can be challenging for employees to know where to file records within a potentially complex file plan.

Knowing when to declare records is another challenge for employees in organizations.

Transcripts

When we think of records we often think of our personal records; birth certificates,

tax returns, planning applications, medical records and so on.

These are all valuable records we want to be able to keep as individuals.

For organisations, records are kept as evidence in pursuance of legal obligations.

Organisational records can be contracts, invoices, procedure manuals, corporate tax records,

safety certificates, export licenses, tenders or a myriad of others.

These used to be found in printed hardcopy form, but now more frequently in electronic

forms like emails and PDFs.

Each record will have a period for which it needs to be kept by law, or may be imposed

by the organisation itself.

We call this a retention or sometimes disposition schedule.

At the end of the retention period, the record is eligible for destruction.

Because records are legal documents, it is imperative that they are not changed.

With hard copy records this is much easier, ensuring that electronic records are not altered

is a little trickier.

Records are managed in a file plan, this is a classification scheme which also provides

the framework for the retention and disposal schedule.

File plans are well structured and often they are ready made for an industry, for example

the LGCS

File plans are inflexible and rarely change.

Documents on the other hand can come from almost anywhere.

For normal people in an organisation it is hard for them to identify the type of record

that should be declared.

It's also difficult for people to know where to file the records in a potentially complex

file plan and even when they should be declaring those records.