Documentation and Records Management for Quality flashcards

A document says what should happen: a policy, procedure, work instruction, specification or blank form. It is prospective and is revised, and only the current revision is valid. A record says what did happen: a completed form, a result, a report. It is retrospective and fixed once created; if it is wrong you add a correcting record and keep both.

Authenticity: it is what it purports to be, made by the purported person at the purported time. Reliability: its contents are a full and accurate account, captured at or near the time by someone with direct knowledge. Integrity: it is complete and unaltered, and any permitted addition is identified and traceable. Usability: it can be located, retrieved, presented and interpreted while it is needed.

1. Creation or receipt: made or received and captured with its metadata. 2. Active use: consulted regularly, more than once a month, in the registry or office of origin. 3. Semi-current: consulted less than once a month, moved to a records centre. 4. Appraisal: assessed against the retention schedule. 5. Disposition: destroyed, transferred to archives, or retained permanently.

The longest applicable requirement governs, never an average and never the period the department prefers. List the competing periods, pick the longest, and state the trigger it runs from (creation, file closure, end of contract, end of employment). A legal hold overrides the schedule while litigation, an investigation or an access request is pending.

Public Archives and Documentation Service Act (Cap 19): public records generally. It establishes the Kenya National Archives and Documentation Service, and public offices may not destroy public records without the Director's authority. Records Disposal Act (Cap 14): the disposal of court records and prescribed statutory registers.

Personal data may be kept in a form that identifies the data subject for no longer than is necessary for the purpose. Indefinite retention is itself a breach, so every class needs a defined period and trigger, and disposal must actually happen. The schedule now sits between a floor set by evidential and tax law and a ceiling set by data protection law.

The party relying on it must be able to show that: the system was operating properly; the record was produced in the ordinary course of business; its integrity has been maintained. That is why audit trails and access controls are legal controls, not only technical ones.

Standard: developed by consensus through a recognised body, of general application in a field, voluntary unless made compulsory by law. Example: ISO 16175. Specification: written by a purchaser, designer or single organisation for a particular transaction, detailed, and contractually binding on the parties who adopt it. Example: a county's EDRMS tender specification. A good specification cites standards rather than repeating them.

Declaration is the act by which a document becomes a record, after which it is locked and cannot be altered. Before it, the document can be checked out, edited, versioned and deleted. After it, the record carries mandatory metadata, a classification and a retention rule. A system with no declaration moment is a document management system, whatever it is called.

Recovery Point Objective (RPO): how much data you can afford to lose, measured backwards from the incident. It sets backup frequency. Recovery Time Objective (RTO): how long you can afford to be down. It sets the recovery infrastructure. Both are business decisions costed against loss, not technical preferences.

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