CHAPTER 1 - THE FUNDAMENTAL OF RECORDS MANAGEMENT.pdf

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)...

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. 14  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 15 Why Organizations Keeps Records  Organization depend on records for their daily operations, because they provide the memory of what happened in the past. 16 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) 17 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. 18  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. 22   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). 23 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. 24 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 25   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 26   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. 27 The Value of Records Vital record Important record Useful record Nonessential record 28 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. 29 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. 30 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 33   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). 34   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. 35 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 37   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 38 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 39 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. 41 THE END… 42