Functional Design of Functional Design of Records CenterRecords Center

(IMR 452)(IMR 452)Concept and terminology of Concept and terminology of

Records Center and Records Center and ManagementManagement

2

TermsTerms

• RecordRecord : :

A document regardless of form or A document regardless of form or medium created, received, medium created, received, maintained and used by an maintained and used by an organization (public or private) or organization (public or private) or an individual in pursuance of legal an individual in pursuance of legal obligations or in the transactions obligations or in the transactions of business, of which it forms a of business, of which it forms a part or provides evidencepart or provides evidence

3

• Current recordsCurrent records:: Records regularly Records regularly used for the conduct of the current used for the conduct of the current business of an organisation or business of an organisation or individual. Also known as active individual. Also known as active records. Current records will normally records. Current records will normally be maintained in or near their place of be maintained in or near their place of origin or in a registry or records office.origin or in a registry or records office.

• Semi-current recordsSemi-current records:: Records Records required only infrequently in the required only infrequently in the conduct of current business. Also conduct of current business. Also known as semi-active records. Semi-known as semi-active records. Semi-current records will normally be current records will normally be maintained in a records centre or maintained in a records centre or other offsite intermediate storage other offsite intermediate storage pending their ultimate disposal.pending their ultimate disposal.

4

• Non-current recordsNon-current records:: Records no Records no longer needed for the conduct of longer needed for the conduct of current business. Also known as current business. Also known as inactive records.inactive records.

• ArchivesArchives:: Records, usually but not Records, usually but not necessarily non-current records, of necessarily non-current records, of enduring value selected for permanent enduring value selected for permanent preservation. Archives will normally preservation. Archives will normally be preserved in an archival repository.be preserved in an archival repository.

WHAT IS A RECORDS WHAT IS A RECORDS CENTRE?CENTRE?

• Records centre: Records centre: – A building or part of a buildingA building or part of a building– designed or adapted for the low-cost designed or adapted for the low-cost

storage,storage,– maintenance and communication of maintenance and communication of

semi-currentsemi-current– records pending their ultimate records pending their ultimate

disposal.disposal.

6

Types Types

• National Records CenterNational Records Center– JPN , JPM, NAMJPN , JPM, NAM

• Departmental Records CenterDepartmental Records Center– UiTM Archive, HUKM Medical Records UiTM Archive, HUKM Medical Records

Department, IJN MRD, Department, IJN MRD,

• Commercial Records CenterCommercial Records Center– TexasTexas

7

• Medical Records Medical Records

Department at HUKM, Department at HUKM,

Cheras Kuala Lumpur.Cheras Kuala Lumpur.

8

http://http://www.commercialrecords.com/www.commercialrecords.com/

CRCPages/Company.htmlCRCPages/Company.html

9

10

National Records CenterNational Records Center

• Established by government Established by government • Maintain the government semi current records Maintain the government semi current records

before transferred to national archives.before transferred to national archives.• Establishment of records center based on the Establishment of records center based on the

record management and archives act, law and record management and archives act, law and regulation in that country.regulation in that country.

• NRC relocated under National archives NRC relocated under National archives administration. E.g National Archives of administration. E.g National Archives of Malaysia (ANM).Malaysia (ANM).

• In Malaysia, NRC are located at the Petaling In Malaysia, NRC are located at the Petaling jaya.jaya.

• NRC maintain and manage the records from NRC maintain and manage the records from federal government ministry or public agency.federal government ministry or public agency.

11

Departmental Records Departmental Records CenterCenter

• Normally located in the main Normally located in the main building or headquarter.building or headquarter.

• Sometimes each of department have Sometimes each of department have their own records center their own records center

• Maintain and managed semi current Maintain and managed semi current and non current records.and non current records.

• For the purpose of cost saving and For the purpose of cost saving and follow the RC standard follow the RC standard

12

Commercial Records Commercial Records CenterCenter

• Profit private companyProfit private company• Provide services such as records storage, records Provide services such as records storage, records

retrieval and reference, provide disposal retrieval and reference, provide disposal schedule, permanent preservation, records schedule, permanent preservation, records appraisal and disposal.appraisal and disposal.

• Also maintain and preserve the modern records Also maintain and preserve the modern records such as microfilm, film, magnetic tape, optical such as microfilm, film, magnetic tape, optical disk, etc.disk, etc.

• There are certain aspect must be considered by There are certain aspect must be considered by provenance before transferred their records to provenance before transferred their records to CRC such as records safety and security, CRC such as records safety and security, environment and natural disaster.environment and natural disaster.

13

FunctionFunction

• Received and administer all records in Received and administer all records in what ever format.what ever format.

• Provide reference service Provide reference service • Dispose all records according disposal Dispose all records according disposal

schedule schedule • Provide security measures for the Provide security measures for the

records in the centerrecords in the center• An information center for the creating An information center for the creating

agenciesagencies

THE FUNCTIONS OF THE THE FUNCTIONS OF THE RECORDS CENTRERECORDS CENTRE

• Current Records must be kept in Current Records must be kept in the respective departments and be the respective departments and be maintained by the record officer. maintained by the record officer.

• After some period of time , the After some period of time , the current status will cease and current status will cease and become semi currentbecome semi current

• Semi current must be kept in a Semi current must be kept in a record centerrecord center

THE FUNCTIONS OF THE THE FUNCTIONS OF THE RECORDS CENTRERECORDS CENTRE

• Why?Why?• Bulky – especially if too many semi Bulky – especially if too many semi

current need to retain for legal current need to retain for legal purpose. purpose.

• Difficult and expensive to manage in Difficult and expensive to manage in their own respective department. their own respective department.

IntroductionIntroduction

• It is the responsibility of the government or It is the responsibility of the government or corporate records and archives institution to corporate records and archives institution to CONTROL all records created by the organisation.CONTROL all records created by the organisation.

• Good records care begins with establishing, Good records care begins with establishing, duresdures and and prioritiespriorities before records are even created. before records are even created.

• The The establishment of an overarchingestablishment of an overarching records and records and archives institution or similar agency charged with archives institution or similar agency charged with overall records care is critical to the success of a overall records care is critical to the success of a record-keeping programme.record-keeping programme.

ContinueContinue

• Records that are in full daily use within the Records that are in full daily use within the agency that created them are often called agency that created them are often called ‘‘current recordscurrent records’’. .

• After some time, they are no longer used After some time, they are no longer used regularly but must still be kept, they become regularly but must still be kept, they become ‘‘semi-current recordssemi-current records’’. .

• At this point they should be removed from At this point they should be removed from current systems, in part so that they do not take current systems, in part so that they do not take up space. up space.

• Then, many of these records are deemed obsolete Then, many of these records are deemed obsolete and can be destroyed, while others are retained and can be destroyed, while others are retained for their ongoing value as evidence or for for their ongoing value as evidence or for research. research.

• These records become These records become ‘‘non-current recordsnon-current records’’, , some of which are kept as archives.some of which are kept as archives.

ContinueContinue

• When records cease to be current and When records cease to be current and become semi-current, some of them can become semi-current, some of them can be destroyed (under the authority of the be destroyed (under the authority of the disposal schedules). disposal schedules).

• The majority of records should be The majority of records should be transferred from the records offices to a transferred from the records offices to a central placecentral place where they can be kept where they can be kept securely, used as sources of information securely, used as sources of information and then disposed of systematically. and then disposed of systematically.

• What is central place?What is central place?

ContinueContinue

• There may be more than one records There may be more than one records centre in an organisation, or one records centre in an organisation, or one records centre may have several storage areas. centre may have several storage areas. Even if the institution holds records in Even if the institution holds records in several locations, administratively all of several locations, administratively all of these should form part of one records these should form part of one records centre.centre.

• The majority of semi-current records have The majority of semi-current records have to be kept for various periods of time for to be kept for various periods of time for legallegal, , financialfinancial or or administrativeadministrative requirements. Some should be kept requirements. Some should be kept because it is thought that they will be because it is thought that they will be valuable for valuable for researchresearch..

Functions of Records CentreFunctions of Records Centre

• Some series of records will be Some series of records will be destroyeddestroyed at this stage, and a small at this stage, and a small number may be number may be transferredtransferred directly directly to an archival repository, but the to an archival repository, but the majority (all that have any majority (all that have any continuing utility) are transferred to continuing utility) are transferred to the records centre.the records centre.

ContinueContinue

• The function of the records centre is to hold The function of the records centre is to hold semi-current records and make available for use semi-current records and make available for use until the date of their disposal. Therefore, the until the date of their disposal. Therefore, the records centre is a temporary or, as it is often records centre is a temporary or, as it is often called, an called, an intermediate storage facility intermediate storage facility oror intermediate stageintermediate stage between the organisation between the organisation’’s s records offices and the archival institution.records offices and the archival institution.

ContinueContinue

• The records centre should be The records centre should be safesafe, , securesecure, , cleanclean, , efficientefficient and and economicaleconomical. .

• It should be capable of holding all designated It should be capable of holding all designated semi-current records in all media and able to semi-current records in all media and able to provide a dependable retrieval service. provide a dependable retrieval service.

• The records centre is not a place for The records centre is not a place for permanent retention of records. It is a permanent retention of records. It is a fundamental rule that no records should be fundamental rule that no records should be transferred to the records centre unless transferred to the records centre unless appraisal has taken place.appraisal has taken place.

ContinueContinue

• The appropriate action may be to The appropriate action may be to destroydestroy, , reviewreview or or transfertransfer them to the them to the archival institution or to another archival institution or to another appropriate repository within the appropriate repository within the records and archives institution. records and archives institution. These actions are indicated against These actions are indicated against each series of records in the disposal each series of records in the disposal schedule, which is an authoritative schedule, which is an authoritative official record.official record.

Functions of Records CentreFunctions of Records Centre

• It is It is expensiveexpensive and and difficultdifficult to manage them to manage them when they are kept in the offices in which when they are kept in the offices in which they were originally created and used. they were originally created and used.

• Systems for the management of current Systems for the management of current records should not be used to administer records should not be used to administer non-current or semi-current records. non-current or semi-current records.

• Records retention and disposal schedules set Records retention and disposal schedules set out eventual disposal of the records, either out eventual disposal of the records, either by by destructiondestruction or by or by transfertransfer to the archival to the archival repository.repository.

Characteristics of Records Characteristics of Records CentreCentre

The records centre should be The records centre should be safesafe, , securesecure, , cleanclean, , efficientefficient and and economicaleconomical..

Characteristics of Records Characteristics of Records CentreCentre

1. Security1. Security

1.1 Custodial Security1.1 Custodial Security

1.2 Environmental Security1.2 Environmental Security

1.3 Security & Access1.3 Security & Access

2. Cleanliness & Order2. Cleanliness & Order

3. Efficiency & Economy3. Efficiency & Economy

27

Characteristic of RC

Security Efficiency & EconomyCleanliness and Order

Security & access

Custodial Security

Environmental Security

Characteristics of Records Characteristics of Records Centre - Centre - SecuritySecurity

To ensure security, a records centre To ensure security, a records centre must bemust be– Externally secure, as a place of custody Externally secure, as a place of custody

of valuable materialsof valuable materials– Environmentally secure, as a place where Environmentally secure, as a place where

valuable documents and information valuable documents and information must be maintained in a usable state for must be maintained in a usable state for long periodslong periods

– Clean and orderly.Clean and orderly.

Characteristics of Records Characteristics of Records Centre – Centre – SecuritySecurity - - Custodial Custodial

SecuritySecurity• It should not be possible for unauthorised It should not be possible for unauthorised persons to gain access to records in the records persons to gain access to records in the records centre. All of the storage conditions and access centre. All of the storage conditions and access controls in the records centre should conform to controls in the records centre should conform to the requirements laid down in general the requirements laid down in general regulations for secret or confidential records. regulations for secret or confidential records.

• In some cases it may be necessary for a special In some cases it may be necessary for a special area to be set aside for classified records, in area to be set aside for classified records, in order to satisfy government security concerns. order to satisfy government security concerns. These areas should be separated from the rest of These areas should be separated from the rest of the storage area by a locked enclosure, and the storage area by a locked enclosure, and access should be restricted to staff who have access should be restricted to staff who have been specially authorised for this purpose.been specially authorised for this purpose.

Characteristics of Records Characteristics of Records Centre – Centre – SecuritySecurity - - Custodial Custodial

SecuritySecurity• A high level of security must be maintained A high level of security must be maintained

around the records centre at all times. The around the records centre at all times. The records held there include many of great records held there include many of great sensitivity, arising from all levels of government sensitivity, arising from all levels of government or corporate activity. If there is any suspicion of or corporate activity. If there is any suspicion of poor security, clients of the records and poor security, clients of the records and archives institution will lose confidence in it.archives institution will lose confidence in it.

• The office areas must always be staffed during The office areas must always be staffed during working hours. The building must be guarded working hours. The building must be guarded at night. No person other than authorised at night. No person other than authorised records and archives institution staff should be records and archives institution staff should be admitted to the storage area or to the working admitted to the storage area or to the working areas without the direct and specific permission areas without the direct and specific permission of the head of the records and archives of the head of the records and archives institution.institution.

Characteristics of Records Characteristics of Records Centre – Centre – SecuritySecurity - - Custodial Custodial

SecuritySecurity• Everyone in the records centre should be identifiable. Everyone in the records centre should be identifiable. Usually, all people in the facility are required to wear a Usually, all people in the facility are required to wear a visible identity card. Staff should wear a card carrying visible identity card. Staff should wear a card carrying their photograph, and visitors should wear a temporary their photograph, and visitors should wear a temporary identification card issued to them at the entrance. The identification card issued to them at the entrance. The entrance to the records centre should have a prominent entrance to the records centre should have a prominent notice that no unauthorised persons are permitted.notice that no unauthorised persons are permitted.

• The records centre manager is responsible for The records centre manager is responsible for controlling the keys to the building. The manager controlling the keys to the building. The manager should keep a record of all keys issued to personnel. If should keep a record of all keys issued to personnel. If push-button control pads or combination locks are push-button control pads or combination locks are used, the manager should take care to control the used, the manager should take care to control the security codes used. All external doors must be kept security codes used. All external doors must be kept locked. Keys should be numbered and kept in a locked locked. Keys should be numbered and kept in a locked security cabinet. Spare keys for use in an emergency security cabinet. Spare keys for use in an emergency should be kept in a location set out in the disaster should be kept in a location set out in the disaster control plan.control plan.

Characteristics of Records Characteristics of Records Centre – Centre – SecuritySecurity - - Environmental Environmental

SecuritySecurity• The records centre should be isolated from any The records centre should be isolated from any

dangers that might threaten the safety of the dangers that might threaten the safety of the records, including fire, flood or natural disaster. records, including fire, flood or natural disaster. This system of isolation should be supported by This system of isolation should be supported by the installation of automatic alarm systems and the installation of automatic alarm systems and by constant monitoring of the area.by constant monitoring of the area.

• Intruder alarms should connect automatically Intruder alarms should connect automatically with the appropriate police or security with the appropriate police or security authorities.authorities.

• Smoke, fire and flood alarms should connect with Smoke, fire and flood alarms should connect with the appropriate fire service. the appropriate fire service.

• Staff should be trained in the use of extinguishers Staff should be trained in the use of extinguishers and should know what to do in an emergency. and should know what to do in an emergency.

• All alarm systems should be tested regularly.All alarm systems should be tested regularly.

Characteristics of Records Characteristics of Records Centre – Centre – SecuritySecurity – – Security & Security &

Access Access • Records brought into the records centre are Records brought into the records centre are

stored in randomly selected locations. stored in randomly selected locations. Usually, the boxes themselves should carry Usually, the boxes themselves should carry no markings that give a direct indication of no markings that give a direct indication of their contents. It is important to ensure the their contents. It is important to ensure the contents of boxes are not easily identifiable contents of boxes are not easily identifiable on the outside of the box, in order to ensure on the outside of the box, in order to ensure the secure storage of the records.the secure storage of the records.

• Records officially classified as confidential, Records officially classified as confidential, secret or above must be kept in accordance secret or above must be kept in accordance with the general rules for the management with the general rules for the management of such confidential or classified materials. of such confidential or classified materials.

Characteristics of Records Characteristics of Records Centre – Centre – SecuritySecurity – – Security & Security &

AccessAccess• Records may only be issued to, or by the Records may only be issued to, or by the

direct authority of, the office that transferred direct authority of, the office that transferred them to the records centre. If authorised them to the records centre. If authorised people come to the records centre to consult people come to the records centre to consult records there, they must do so under records there, they must do so under supervised conditions, and they must follow supervised conditions, and they must follow the rules.the rules.

• Requests for access by other persons must be Requests for access by other persons must be referred to the head of the records and referred to the head of the records and archives institution, who will, as appropriate, archives institution, who will, as appropriate, seek authorisation from the office concerned.seek authorisation from the office concerned.

Characteristics of Records Characteristics of Records Centre – Centre – Cleanliness & OrderCleanliness & Order

• The records centre must be clean. This means The records centre must be clean. This means that the records must be protected from that the records must be protected from damage from dirt, insects or rodents or damage from dirt, insects or rodents or infestation by moulds.infestation by moulds.

• No one should be allowed to eat or bring food No one should be allowed to eat or bring food into the records centre: crumbs could into the records centre: crumbs could encourage insects or rodents. encourage insects or rodents.

• Smoking must be prohibited in the records Smoking must be prohibited in the records centre at all times, and there should be centre at all times, and there should be prominent notices to this effect. prominent notices to this effect.

• The records centre should be cleaned, dusted The records centre should be cleaned, dusted and inspected on a regular basis.and inspected on a regular basis.

Characteristics of Records Characteristics of Records Centre – Centre – Cleanliness & OrderCleanliness & Order

• The records centre should also be orderly. The records centre should also be orderly. This means that the records kept in it must This means that the records kept in it must be in proper order on the shelves, so that be in proper order on the shelves, so that any record can be found at any time with a any record can be found at any time with a minimum of delay. minimum of delay.

• Records should be kept in proper Records should be kept in proper containers or wrappings, clearly labeled containers or wrappings, clearly labeled with their reference codes. with their reference codes.

• Regular checks should be made to ensure Regular checks should be made to ensure records are returned to their appropriate records are returned to their appropriate locations and are not stored locations and are not stored inappropriately.inappropriately.

Characteristics of Records Characteristics of Records Centre – Centre – Efficiency & EconomyEfficiency & Economy

• The records centre must be efficient. The records centre must be efficient. Every record held in the centre Every record held in the centre should be retrievable quickly and should be retrievable quickly and easily. easily.

• Records should also be disposed of Records should also be disposed of according to a predetermined according to a predetermined disposal schedule. disposal schedule.

Characteristics of Records Characteristics of Records Centre – Centre – Efficiency & EconomyEfficiency & Economy

The following features of a records centre The following features of a records centre help to ensure that cost targets are met.help to ensure that cost targets are met.– The unit cost of space in a records centre is less The unit cost of space in a records centre is less

than that in active office buildings.than that in active office buildings.– The records centre is itself a less expensive The records centre is itself a less expensive

building than an active office site. This is building than an active office site. This is because it is designed or adapted for its specific because it is designed or adapted for its specific purpose.purpose.

– Records can be stored more densely in a Records can be stored more densely in a records centre than in an office. This density records centre than in an office. This density can be quantified in terms of the ratio between can be quantified in terms of the ratio between cubic metres of records stored per square cubic metres of records stored per square metre of floor space.metre of floor space.

Characteristics of Records Characteristics of Records Centre – Centre – Efficiency & EconomyEfficiency & Economy

• Records centres are organised so as to be able to Records centres are organised so as to be able to identify and retrieve records efficiently, whereas identify and retrieve records efficiently, whereas offices are generally organised in support of offices are generally organised in support of administrative services.administrative services.

• Records centres can be planned on the basis of Records centres can be planned on the basis of calculations made of relevant factors: the quantity calculations made of relevant factors: the quantity of backlog records to be absorbed; the rate of of backlog records to be absorbed; the rate of creation of new records; rules for the retirement of creation of new records; rules for the retirement of records from current systems; retention policy as records from current systems; retention policy as expressed in the disposal schedules; legal expressed in the disposal schedules; legal requirements. In this way, the optimum space can requirements. In this way, the optimum space can be provided centrally.be provided centrally.

• Records in special formats require special Records in special formats require special conditions for storage and special techniques for conditions for storage and special techniques for retrieval. These can be better provided in the retrieval. These can be better provided in the records centre than in the office.records centre than in the office.