Records Management Overview

What is Records Management?

Records Management is the organization and control of the information that you require to conduct business, information such as:

• Customer Invoices

• Quotations

• Payroll Records

• Minutes of Meetings

• Project Files

Why is Records Management important to you?

Records Management is important to you because without efficient organization of information you can:

• Misplace valuable documents

• Waste time searching for information

• Waste money on costly storage facilities

 Classifications

A classification system is the framework for records management.  It defines the types of information that can exist within an organization and ensures consistent coding of documents according to their subject matter.

A Classification System consists of:

          Primaries, which are a set of categories that define all the different types of information that may be created by an organization.

          Secondaries, which are the second level and are a further breakdown of the type of information within each Primary Number.

 Classifications may be incorporated electronically with the QRMS system when it is first purchased. 

 Classifications that can be included are:

• British Columbia, Provincial Government, Administrative Records Classification System (ARCS) and/or Operational Records Classification System (ORCS)

• British Columbia Municipal Classification System (MOA)

• QRMS Universal Classification System

You can also design and enter your own Classification System.

Note:  QRMS is automatically loaded with the British Columbia Administrative Records Classification System (ARCS) for the QRMS Records Management Software training course.

Files may only be opened with valid Classifications (i.e. the Primary Number and Secondary Number have been set up in the system).

Keywords

A Classification system not only consists of Primaries and Secondaries, but it also consists of Keywords that assist you in filing or finding information.

Schedules

 You may also have Schedule Numbers, which can be used to identify

• Different Sections

• Different Versions of the Classification System

 Schedule Numbers are optional.

If you have multiple Classification Schedules, the Schedule number is displayed in corresponding windows where this information is displayed.

For example, the Schedule Number for ARCS is 100001, and the Schedule Number for ORCS is unique to your organization and specifically assigned (and differs across organizations).

Retention Schedules

Retention Schedules are also part of the Classification System.  Each record that is created in an organization must be retained for a specific period of time (this period of time may be based on legal requirements, usefulness of information, number of times a record is accessed, etc.).

A Retention Schedule defines this period of time. The retention schedules are the main basis of Culling. They define the period of time for which records must be retained.

A Retention Schedule is separated into sections called Life Cycle Stages. The Life Cycle Stages define how long an item is retained in active storage, semi active storage (off site) or when it can be destroyed.

Each Secondary Number in the Classification System is assigned two sets of retention schedules:

• One for the Office of Primary Responsibility (OPR)

• One for the all other offices which do not have Primary Responsibility (Non-OPR)

Generally, the Office who has Primary Responsibility for a File retains it the longest (information in other offices usually indicate that they are copies and therefore can be kept for a shorter period of time).

Retention Schedules can be predefined.  For example CY might indicate calendar year (a set date December 31st).  Retentions can also just be a fixed period such as 6Y (six years).

Life Cycle Stages

As mentioned, each Retention Schedule is broken down into sections called Life Cycle Stages.

The Life Cycle Stages define what happens to the File/Volume, i.e. how long it is retained in Active storage, when it can be moved to Semi-Active storage and when it can be destroyed.  There are four Life Cycle Stages:

Open:               The records within the volume are referred to frequently, and new records may be added to the volume.

 Active:              The records within the volume are referred to frequently, but no new records may be added to the volume.

 Semi-Active:    The records within the volume are only referred to occasionally, and can therefore be stored off-site. No new records will be added to the volume.

 Final:               The records within the volume are rarely or never referred to. If they have historical or legal value, you can keep them in storage. If they don't have historical or legal value, then you can destroy them.

• The Open stage of the life cycle does not have a set period of time: you control how long a File/Volume is in the open stage. A File/Volume is considered to be Open until a Close Date is entered. You can enter a close date through the Files/Volumes window or through the automatic Close Files/Volumes function.

• Once a Close Date is entered, the Retentions are applied to the volume to determine if it is in the Active stage, Semi-Active stage or Final stage of the life cycle.

• The Active, Semi-Active and Final stages have fixed periods of time, as defined by the Retention Schedule.  Retentions are set up for each Secondary.

• The retentions are applied to each individual Volume Close Date if the Use File Date option is not selected.

•   If the Use File Date option is selected, then the retentions are applied to the File Close Date to determine if the volume is Active, Semi-Active or Final.

Files

 As mentioned, Files may only be opened with valid Classifications (i.e. the Primary Number and Secondary Number have been set up in the system).

          Files

Since the management of individual records would be a time consuming and tedious process, groups of similar records can be stored together in a FILE.  A file is a collection of records arranged according to a predefined system.

        Volumes

VOLUMES contain a collection of files and other data storage methods (such as videos, etc.) that move through the Life Cycle Stages as a unit.  This "collection" can be defined by a number of different criteria.

        Components

Components further define the information within a volume.  This can include media types of records, actual dates of records, and detailed descriptions of records.  Your Records Administrator can define the terminology assigned to a component; i.e. it may be called SUPPLEMENTALS, GROUPS, ITEMS, etc.

For additional information, you can also refer to the following topics in the QRMS online help:

• “Records Management Overview”

• “Classification System”

• “QRMS Universal Classification System”

• “Retention Schedules”

• “Life Cycle Stages”

• “Volume, Close Date”

• “Use File Date”

• “File Close Date”

• “Schedules”