CHAPTER 1: THE
FUNDAMENTALS OF
RECORDS MANAGEMENT
LEARNING
OUTCOME
At the end of the
course, students should be
able to:
▪ CLO1 Explain
the overview and
concept of
records
management.
(PLO1, C2, LOD1)
2
Data
Representation of
info. in a formalized
manner suitable for
communication,
interpretation and
processing,
generally by a
computer system.
Raw data refers to
unprocessed data.
Document
A medium through info. is imprinted
for conveyance to one/more person.
Document is defined as the smallest
unit for filing.
Also refer to other non-paper-based
such as computer files.
Something that can
lead to knowledge
regardless of the
Information medium of its
conveyance to
one/more persons.
Recorded info. in
form of document
regardless of form or
medium made or
received by an org.
Record and that is useful in
the operation of the
org.
It provides evidence
of a business
transaction.
Continue…
Records can be among
others:
Forms
Microfilm
Circulars
Disk
Reports
Tape
Posters
Film
Certificates
Signs
Files
Records
Center
It is a building
designed or
adapted for the
low-cost
storage,
maintenance and
communication
of semi-current
records pending
their ultimate
disposal.
Archives
Records, usually but
not necessarily non-
current or enduring
value selected for
permanent
preservation.
Will normally be
preserved in an
archival repository
(storehouse/wareho
use).
Archival repository
A building or
part of a
building in
which archives
are preserved
and made
available for
consultation
also known as
an archives.
Use of Records:
In pressing for claims due
to a person.
To show that someone is
responsible for a particular
action.
To tell us the story of what
has happened in the past.
To boost the corporate
image of a particular firm
by showing the success in
its long past.
To tell us our past mistakes
and provides continuity in
charting our future.
People may tolerate
misplacing a few items in
their personal lives.
But very intolerant of
office workers who
misplace, lose, or
accidentally destroy
records.
For an organization,
failure to locate records
can be costly.
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As the volume of records stored in organization are increasing, record
management is complicated by the different kind of records kept
Some familiar types of office records
Letters and memo
Card
Blueprints and maps
Reports
Inventory and price list
Purchase orders
Shipping receipts
Newspapers and catalog
Sales and personnel records
Videotapes
Microform (photographically reduced records)
Computer disks and printouts
Common to all organization, however, is the need to store and to protect the
records
and to find them when they are needed
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Why
Organizations
Keeps
Records
Organization
depend on
records for their
daily operations,
because they
provide the
memory of what
happened in the
past.
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Why Organizations Keeps
Records (cont.)
Records are kept and used because they have some
purposes:
Administrative value
They are used in the performance of daily
operations in a department or office.
E.g.: Policy and Procedure manuals,
Record manual (served as a daily reference)
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Why Organizations Keeps
Records (cont.)
Fiscal value
For financial record
Eg.: Tax return, purchase and sales order, invoices, monthly and annual
financial statements.
Legal value
Provide proof of business transactions
Eg.: Contracts, financial agreements, deeds, etc.
Historical value
Provide evidence of organization’s accomplishment. (should be stored
permanently)
Eg.: Article of incorporations, minutes of meetings-provide history of
operational decisions.
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Record created or
received and
Public records maintained in any
public sector
agency.
Records created,
received and
maintained by non-
governmental org.,
Private records families or
individual relating
to their private and
public affairs.
Government & private sectors
created and used records on a
daily basis to:
Creators Documents actions
and Users Confirm decision
of Records Identify rights
Implement responsibilities
Communicate information
OVERVIEW OF RECORDS
MANAGEMENT
Records are vital evidence in daily
basis for individual as well as
organization which run the business
E.g.
Records as a student at UiTM
Records as a driver license at JPJ
Records as an employee at your
organization
Records of bank savers at Maybank, Cimb,
etc.
E.g.
A bank may handle 500,000 or more
depositors signature card
An air-freight company may generate
150,000 shipping orders a month
An insurance company may process over a
million policies
Hospital may maintain medical histories on
5,000 or more patient admissions a year
Worker in these organization are responsible
for processing and maintaining these
important records so they are not lost,
misplaced, or accidentally destroyed.
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Records
Recorded information,
regardless of media or
characteristics, created or
received & used in the
operation of an
Definition of organization.
Records Insome organization, the
Management records responsibility is
called Record
Management. (also called
document management,
records and information
management).
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Record manager- the person who
responsible for the records management
program.
Records management professionals have the
ultimate responsibility for establishing
records policies and procedures.
However everyone in the organization need
to have a basic understanding of record
control.
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RECORDS MANAGEMENT
PROGRAM
The basic elements of records
management program are:
Mail operations
Classification operations
File operations
Use, storage, retrieval and
circulation operations
Disposition operations
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Well-defined goals understood
by all workers
Programs Simple, sound organizational
For plan
Managing Efficient procedures for
managing each of the five
Records stages in the record life cycle
Well-trained staff
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To create the right info and records.
To make records available for the
right individuals.
To ensure records are created and
maintained in appropriate formats.
To ensure records are available at
the right times and at the right
GOALS OF place.
RECORDS
To ensure records are managed
MANAGEMENT efficiently and at low cost.
To ensure the right records are used
in making decisions.
To ensure records with value are
transferred to the archives and
those without value are eliminated.
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The Value of Records
Vital record
Important record
Useful record
Nonessential record
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The Value of Records
Vital record
Essential for continuation or
reconstruction of organization after
disaster.
E.g. Article of incorporation, patents,
formulas, accounts receivable
records, inventory lists, contracts, etc.
Stored in active record area such as
fireproof safes or vaults.
Access is restricted to a selected list of
users.
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The Value of Records (cont.)
Important record
Relate to the daily operation and
necessary for continuation of
organization.
E.g. Account payable record, tax
records, sales, payroll and
correspondence records.
Stored in safe in active/inactive
storage areas.
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The Value of Records (cont.)
Useful record
Limited but helpful, reference value.
The lost of records would not seriously impair
daily operations.
E.g. Bank statement, general correspondence.
(letters & memos).
Stored in file cabinets or on shelves in inactive
storage areas until the time for their destruction.
Chapter 1 OMT167-Records Management 31
The Value of Records (cont.)
Nonessential record
May never had any value or no present value to
organization.
E.g. Routine memo, announcement, bulletins,
telephone message, e-mail, etc.
Sent to inactive records area and destroyed
according to record retention and destruction
schedule.
Chapter 1 OMT167-Records Management 32
THE RECORD LIFE-CYCLE
CONCEPT
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Active records
Used regularly-three or more
times a month.
Stored in easily accessible
location.
PHASES Essential for active records.
OF Inactive records
RECORDS Used less than 15 times a year.
ACTIVITY Occupy the least accessible
drawers and shelves
E.g. Upper and lower drawer.
Stored in another location where
floor space is less costly. (packed
in storage boxes or cases and
sent to a storage center).
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Long-term record
Inactive but continues to have
PHASES
value to organization.
OF Kept for legal or historical
purpose and are stored
RECORDS indefinitely or for a specific
period of time.
ACTIVITY Referred to as archival
(cont.) storage/archives.
Archives-permanent storage
place for record.
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THE CHARACTERISTICS OF
RECORDS
Value as official
Permanent/static
sources of info.
Authentic Unique
Problems in Records Systems
Management
Human problems
Inefficient filing
procedures
Poor use of equipment
Inefficient use of space
Excessive records costs
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Reduce the volume of record
Improve storage and retrieval
systems
Increase efficiency of records
WHY processing
RECORDS Identify and protect vital records
NEED TO Meet legal requirements
BE Protect the organization,
customers, personnel and
MANAGED stockholder
Improve productivity
Cut cost
Improve cost
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Careers in Records Management
Every type and size of
office has records
Opportunities Records supplies and
storage equipment
businesses
Records managers
Positions Records supervisors
Records clerks
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Typical Job Levels and Job Titles
40
ARMA International
Association of Records Managers
and Administrators, Inc.
An important professional group
for records and information
managers.
Developed and published
Generally Accepted
Recordkeeping Principles (“The
Principles”) to foster general
awareness of information
governance and principles and to
assist organizations in developing
information management systems
that comply with them.
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THE END…
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