1
THEORIES AND
PRINCIPLES OF RECORDS
MANAGEMENT
Chapter Overview
THEORIES AND PRINCIPLES OF
RECORDS MANAGEMENT
Definition
Components of Record
Management
Principles of Records and
Archives Care
The life cycle concept
The continuum of care concept
The concepts of Respect Des
Fonds
The Level of arrangement and
description
Chapter 1
Managing Records in Organization
IMR451
LEARNING OBJECTIVES:
After studying this chapter, you should be able to:
1.
Acknowledge the terminologies in records management
2.
Identify the basic information abaout records and archives
management
3.
Compare between records and archives
4.
Discus the four (4) concepts that been practices in records and
archives care
1.1
1.1.1 Information
Information is knowledge that human beings perceive through one or more of
their senses. It remains intangible until it is represented in a formal manner
as data. When represented as data in a document, information can then be
stored, communicated and used.
Or
Knowledge that is communicated.
1.1.2 Data
The representation of information in a formalised manner that suitable for
communication, interpretation and processing, generally by a computer
system. Note: the term raw data refers to unprocessed information.
1.1.3 Document
A unit of recorded information.
Managing Records in Organization
Managing Records in Organization
IMR451
Chapter 1
1.1.4 Records
A document regardless of form or medium created, received, maintained and
used by an organisation (public or private) in the transaction of business, of
which it provides evidence.
(International Records Management Trust,1999)
Records means by information is transmitted from one person to another.
They include but are not limited to a books, periodicals, correspondence,
minutes, files, audiovisuals items, maps, diagrams and computerization data,
whether published or unpublished.
(Meadke, etc., 1986)
1.1.5 Archives
Records, usually but not necessarily non-current records, of enduring value
selected for permanent preservation. Archives will normally be preserved in
an archival repository.
(International Records Management Trust,1999)
1.1.6 Archival institution
The agency that is responsible for selecting, acquiring, preserving, and
making available archives. Also known as an archival agency, archival facility
or archives; sometimes referred to as an archival repository.
(International Records Management Trust,1999)
1.1.7 Archival repository
A building or part of a building in which archives that are preserved and made
available for consultation. Also known as archives.
(International Records Management Trust,1999)
Managing Records in Organization
Chapter 1
Managing Records in Organization
IMR451
1.2
1.2.1 Forms of Records
a) Paper - correspondence, minutes, reports, memoranda (normally filed
systematically), ledgers, registers, notebooks, appointment diaries, maps
and plans (cartographic records), architectural and engineering drawings,
pictures (iconographic records) or computer printouts.
Correspondence
Cartographic records
b) Non-paper - roll microfilm, microfiche or computer output microfiche
(COM) formats (microforms); photographs, including prints, negatives,
transparencies and x-ray films; sound recordings on disk or tape; as
moving images on film or video (audiovisual records);
Microfilm
Managing Records in Organization
Microfiche
Videotape
Managing Records in Organization
IMR451
Chapter 1
c) Electronic - text or images copied on magnetic tape or magnetic or
optical disk or held in online databases (electronic records; formerly
known as machine-readable records); as three-dimensional models,
scientific specimens or other objects; or as combinations of any of the
above formats in an electronic form (multimedia).
Magnetic Tape
1.2.2
Online Database
Nature of Records
a) Records are Static
If a record is changed or manipulated in some way, it no longer provides
evidence of the transaction it originally documented.
For example, if
someone alters the correspondence after they have been official
signature, the correspondence can no longer be considered an accurate
record of the business or organization communication.
b) Records have Authority
Records provide the official evidence, trustworthy or reliable content of the
activity or transaction. The reliability of a record is linked to its creation. It
is referred to the person or department that generated or issued the
record, under what authority or purpose, can authority be proved, the
signatures, letterheads, seals and office stamps are obvious indicator of
the official nature of records.
Managing Records in Organization
Chapter 1
Managing Records in Organization
IMR451
c) Records are Unique
Records must be unique in which it maintained in their appropriate
context, records must be filed in a unique compilation or sequence of
transactions. Records are not isolated bits of information.
They have
meaning because they were generated during a particular transaction or
business process. The records make sense within the context of the
overall functions and activities of the individual or organisation that created
or used them. They have a relationship with other records that makes
them unique.
d) Records are Authentic
Records are authentic in sense that of it content, context and structure
where it must be possible to prove that records are what they say they
are. The authenticity of a record cannot be judge from the record-keeping
system in which it was created or received, maintained and used. But, a
record is authentic if it can be verified that it is now exactly as it was when
first transmitted or set aside for retention. For example, in order to prove
that the official minutes are in fact authentic, it is necessary to be able to
show that they were produced, approved and then filed appropriately in
the organisations record-keeping system.
1.2.3 Categories of Records
Records are created by all sorts of people and institutions.
families,
businesses, associations and groups,
governments all create and use records every day.
Individuals,
political parties and
So, records can be
categorised into two categories:a) Public Records - Records created or received and maintained in any
public sector agency. For example correspondence that received by other
government agency.
b) Private Records - Records created, received and maintained by nongovernmental organisations, families or individuals relating to their private
and public affairs. For example birth certificate or invoice from private
organization.
Managing Records in Organization
Managing Records in Organization
IMR451
Chapter 1
1.2.4 Who Uses Records?
Records been generated by all of organization over the world either public
organization, private organization or individual, records are created, received
and used on a day to day basis to document actions, confirm decisions,
provide evidence, identify rights and responsibilities and communicate
information. Without records, governments and businesses today could not
run theor business smothly. It is no longer possible to remember the vast
quantities of information or records without creating an independent account:
a record.
a) Governments use records for such wide-ranging purposes as:
documenting the work of employees
confirming pensions, leave and health benefits
confirming or reviewing policies and procedures
confirming citizens rights, such as benefits or land ownership
Providing information about past actions or decisions.
On behalf of the citizens of a country, government employees rely
on records to provide core information for conducting their public
business.
b) Typical users in national and other archival institutions include
government
representatives
requiring
information
about
government activities
professional or academic researchers from a wide range of
disciplines
journalists
amateur researchers
genealogists
members of the public
others wishing to have some contact with the primary sources of
their national culture and tradition
Anyone with an urgent problem that can only be solved by referring
to records.
Equally, corporate, organisational or local archival institutions hold
records of research use to a wide variety of people.
Managing Records in Organization
Chapter 1
Managing Records in Organization
IMR451
1.3
Records should be well managed in order to ensure they are protected for both
administrative purposes and to serve as evidence of the organisations work. The
process of caring for records is known as records management. Records
management can be define as an area of general administrative management
concerned with achieving economy and efficiency in the creation, maintenance, use
and disposal of the records of an organisation throughout their entire life cycle and in
making the information they contain available in support of the business of that
organisation.
The care of records and archives is governed by four important concepts introduced
here. These are
a) Records follow a life cycle
b) The care of records should follow a continuum
c) Records must be kept together according to the agency responsible for their
creation or accumulation, in the original order established at the time of their
creation
d) Records can be organised according to hierarchical levels in order to reflect
the nature of their creation.
Regarding to important concepts above, these concepts is divided into two (2) areas
where each of these principles will be practices effectively which records
management area and archives management area. Each of these areas will be
practicing the principles as below:
Records Management Area
Archives Management Area
The life-cycle concept
The principle of respect
des fonds
The continuum concept
The principle of levels
of arrangement and
description.
Managing Records in Organization
Managing Records in Organization
IMR451
Chapter 1
1.3.1 The Life Cycle Concepts
Life cycle concepts is difference between life cycle of records where life cycle
of records is contribute with records creation, use, maintainence and lastly
disposition. In this subject we focusing on the Life Cycle Consepts which
defined as a concept that draws an analogy between the life of a biological
organism, which is born, lives and dies, and that of a record, which is created,
is used for so long as it has continuing value and is then disposed of by
destruction or by transfer to an archival institution.
The effective management of records throughout their life cycle is a key issue
in civil service reform. Without it, vast quantities of inactive records clog up
expensive office space, and it is virtually impossible to retrieve important
administrative, financial and legal information. Such a situation undermines
the accountability of the state and endangers the rights of the citizen.
Phases of Life Cycle of Records
a) Current Records
Records that are frequently used for conduct the business transaction
in daily and current business activity of an organization or individual.
Current records normally are maintaining in the registry, active file
room, records office or near their place of origins. The key person who
is responsible in managing current records is Records Officer,
Document Controller or Registrar. Current records also recognized as
Active Records.
b) Semi-Current Records
Records are only infrequently require and used in the conduct of
current business transaction. It normally is maintain in a Records
Center or other offsite intermediate storage facility pending their
ultimate disposal. The key person who is responsible in managing
semi-current records is Records Manager. Semi-Current records also
identified as Semi-active Records.
c) Non-Current Records
Records are not longer needed in conduct of business transaction.
Normally this record will be destruct by a few methods of destruction
such as incineration, maceration, pulping, shredding, Recycling and
etc according to the types of records. Non-current records also known
as inactive records.
9
Managing Records in Organization
Chapter 1
Managing Records in Organization
IMR451
d) Archives
Records, usually but not necessarily non-current records, of enduring
value selected for permanent preservation. Archives will normally be
preserved in an archival repository for references in the future. The
key person who is responsible in preserving archives is Archivist.
Below is the diagram of Life cycle Concepts of Records.
ARCHIVES
Archival Repository
Archivist
CURRENT
RECORDS
Registry, File Room
Records Officer,
Registrar
Appraisal &
Disposal Process
Secondary
Value
Appraisal &
Disposal Process
SEMICURRENT
RECORDS
Primary
Value
Records Center
Records Manager
Figure 1: The Life Cycle Concepts of Records Diagrams
10
Managing Records in Organization
Managing Records in Organization
IMR451
Chapter 1
1.3.2 The Continuum of Care Concepts
As mention before in the important factors of records and archives care is
records should care continuously. The Continuum of Care concepts can be
defines as a consistent and coherent process of records management
throughout the life of records, from the development of record-keeping
systems through the creation and preservation of records, to their retention
and use as archives. The continuum concept suggests that four (4) important
process which contribute to the action for the records management field and
archives management field.
No
Process
1.
Identification and
acquisition
2.
Intellectual control
3.
Access
4.
Physical control
Archives
Management
action
Records Management
action
creation or receipt
selection or acquisition
classification within a
logical system
maintenance and use
disposal by destruction
or transfer as archives
arrangement and
description
reference and use
preservation
Table 1: Four (4) important process in Continuum of Care Concepts
According to the process above, a unified model has been develop which is
reflects the pattern of a continuum care of records entire the life cycle. At the
same time, this model also cut across the traditional boundary between
records management and archival administration. There are
Creation or acquisition of the record, the born of records for the
organization and acquire the records that have a permanent value.
Placement within a logical, documented system that governs its
arrangement and facilitates its retrieval throughout its life
Appraisal for continuing value, recorded in a disposal schedule and given
effect at the due time by appropriate disposal action
Maintenance and use, that is, whether it is maintained in the creating
office, a records office, a records centre or an archival repository, and
whether the use is by its creator or a successor in function or by a third
party, such as a researcher or other member of the public.
11
Managing Records in Organization
Chapter 1
Managing Records in Organization
IMR451
The continuum model is demonstrating clearly the linkages between phase of
records and the process of continuum which reflect the key responsible
person for phase of records. From this model also, it clearly present an
activities that contribute to the process of continuum of care.
Phase
Current Records
Operations
Semi-current
Records
Analysis
Business System
Analysis
Creation
Creation of Receipt
Receipt into Records
Center
Accession into
Archival
Repository
Control
Classification, Filing
and Documentation
Maintenance
Arrangement and
Documentation
Arrangement and
Description
Appraisal
Retention Schedule
(Primary and
Secondary Values)
Review
(Secondary Value)
Registry, File room
Records Center
Preservation and
Conservation
Official access
Official access
Public
Access/Outreach
Transfer to Records
Center
Or
Destroy
Transfer to Archival
Institution/Repository
Or
Destroy
Maintenance
and Use
Disposal
Responsibility
Action Officer,
Records Manager,
& Archivist
Records Manager &
Archivist
Figure 2: The continuum of Care Model through Life Cycle of Records
12
Archives
Managing Records in Organization
Archivist
Managing Records in Organization
IMR451
Chapter 1
The purpose of Continuum of Care Model is to demonstrate the linkages
between records management areas and archives management areas. The
continuum approach means the end of the traditional demarcation between
the functions of the records officer, records manager and the archivist. A
person responsible for care of records at a particular phase in their life cycle
will certainly need specific knowledge and expertise. Beside that they still
perform their own duties, but with the collboration and integrated performance
between these key responsibility, its will eliminate the duplication of work
such the process of controlling the records. In fact, a god collaboration also
can develop an apprpriate scheme of sercive
and job description for all
records staff and it would be develop a training module in order to prepare
staff at all level of records services efficiency.
1.3.3 Respect Des Fonds Concepts
One of the longstanding principles of records and archives management is
the concept of respect des fonds. Originally a French term, respect des fonds
is often defined simply as respect for the creator of the records.
The
principle of respect des fonds consists of two related concepts: provenance
and original order. Provenance refers to the office of origin of the records;
original order refers to the order and organisation in which the documents
were created or stored by that office of origin.
Respect Des Fonds - respect for the creator of the records or
archives, involving the maintenance of provenance and original
order
Provenance - The organisation or individual that created or
received, maintained and used records while they were still
current.
Original Order - The order and organisation in which the
documents were created or stored by that office of origin
13
Managing Records in Organization
Chapter 1
Managing Records in Organization
IMR451
These principles require that archivists and records managers observe the
following guidelines:
1. The records of separate agencies or organisations must be
managed separately, even if the agencies in question were
involved with similar activities or were managed by the same
people.
2. Do not combine the records of two agencies or organisations.
Similarly, the private records of individuals must not be integrated,
even if the individuals were related or experienced the same
events.
3. Records must be maintained according to their original order: that
is according to the filing, classification and retrieval methods
established by the organisation as part of an efficient records
management programme.
4. Records offices and records centres must create, maintain and
store records according to logical and well structured records
management procedures.
5. Archival institutions must not change the original order in which
records were received, as that order reflects the way in which the
records were created and used.
6. When records are received in an identifiable order, the archival
institution should not reorganise records by subject, date or
medium of material.
7. Organisations today are creating electronic and paper records in
greater and greater quantities; record-keeping systems often do
not manage this material as well as one would like.
8. In order to ensure records are retain their administrative use and
archival value,
records and archives managers must be
significantly involved with the record creating process itself, rather
than be passive recipients of records that may no longer be
authentic or reliable.
14
Managing Records in Organization
Managing Records in Organization
IMR451
Chapter 1
9. Records and archives managers must also become more involved
with and understand the processes that lead to the creation of
records. It is not sufficient to study the record and its physical
nature
and
characteristics.
Records
professionals
must
understand the business functions, activities and working practices
that cause documents to be made, used and maintained.
Records and archives managers must be involved with records care from the
beginning, when records are created, through all stages of the life cycle, in
order to provide a continuum of care.
1.3.4
Level of Arrangement and Description Concept
Level of arrangement and description is key principle that been practices in the
archives care.
Arrangement and description is two subsequent practices which
integrated each other in order to make records and archives physically and
intellectually available for use and access. When arranging records or archives, the
institution must recognise the internationally accepted principles of respect des fonds
concepts which referring to the provenance and original order.
The purpose of this concept is to ensure that records and archives are available and
understandable to the people who are not involved with the creation or original use of
the records. This is important to the archival institution in providing the reference
services where not only make the materials available but they must also provide
information about the content and context of the archives that hold.
The level of arrangement can be arranged and described according to hierarchical
levels.
15
Managing Records in Organization
Chapter 1
Managing Records in Organization
IMR451
INSTITUTION
The institution holding the records being described, such as the National Archives or the
Corporate Archives.
GROUP
The primary division in the arrangement of records and archives at the level of the
independent originating organisation. Also known as archives group, fonds, record
group.
SUB-GROUP
A discrete subdivision in the arrangement of archives below the level of the group,
usually the archives of a subordinate administrative unit with its own record-keeping
system.
SERIES
The level of arrangement of the files and other records of an organisation or individual
that brings together those relating to the same function or activity or having a common
form or some other relationship arising from their creation, receipt or use. Also known
as a file series, records series or class.
FILE
ITEMS
An organized physical assembly (usually within a folder) of documents grouped together
for current use or in the process of archival arrangement because they relate to the
same subject, activity or transaction. Note: A file is usually the basic unit within a record
series. As a file series, records series or class.
The basic physical unit of arrangement and description within a series. Also known as a
piece.
Note that the term file is also used when discussing computerisation, as follows:
A logical assembly of data stored within a computer system. Note: In word-processing systems it is the
intellectual representation of a physical document.
The term institution is used as a level of description to refer to the institution holding
the records being described, such as the National Archives or the Corporate
Archives. Table 2 illustrates the example concept of levels of arrangement. Which is
identifies both the item and the file. The term item is used most often in the archival
environment, when discussing the physical units of arrangement. The term file is
often used in the records office or records centre, as that is the unit of management
in those environments.
16
Managing Records in Organization
Managing Records in Organization
IMR451
Level of
Arrangement
Public Sector
Chapter 1
Private Sector
Institution
National Archive of Malaysia
MMU Archives and Records
Center
Group
Ministry of Higher Education
Multimedia University, Melaka
Sub-group
Student Administration
Management Development
Division
Finance Division
Registration of student
Financial Report
Student registration report,
UiTM
Faculty of Information
Management, 1999
Annual Financial statement
1999
Series
File
Items
Balance sheet 1999
Table 2: Example for level of arrangement for public and private sector
Table 3: Example for description for archives
17
Managing Records in Organization
Chapter 1
Managing Records in Organization
IMR451
CHECKLIST
At this point you should be able to:
Acknowledge the terminologies in records management
Identify the basic information abaout records and archives management
Compare between records and archives
Discus the four (4) concepts that been practices in records and archives care
ACTIVITIES
The students will be divided into four (4) group, each of group will be choose one (1)
principles of records and archives care and brainstorm the activities involved in each of the
principles according the the selected organization. Then group will be presented in the class.
18
Managing Records in Organization
Managing Records in Organization
IMR451
Chapter 1
STUDY QUESTIONS
PART A: DEFINITION
Please define the following terms:
1.
Data
2.
Information
3.
Records
4.
Public records
5.
Private records
6.
Authentic
7.
Authority
8.
Static
9.
Unique
10.
Records Management
11.
Respect des Fonds
12.
Provenance
13.
Original Order
14.
Continuum of care
15.
Level or arrangement and description
16.
Life cycle concepts
17.
Group
18.
Sub-group
19.
Series
20.
Files
21.
Item
PART B: SHORT ANSWER
Answer the following questions:
1.
Identify the categories of records?
2.
What is the attribute/nature of records?
3.
What are the forms of records?
4.
Who uses the records?
5.
Briefly explain the four (4) principle of records and archives care
19
Managing Records in Organization
Chapter 1
20
Managing Records in Organization
IMR451
Managing Records in Organization
