Concept and terminology of records center and management

Functional Design ofFunctional Design of
Records CenterRecords Center
(IMR 452)(IMR 452)
Concept and terminology of RecordsConcept and terminology of Records
Center and ManagementCenter and Management

2
TermsTerms
• RecordRecord ::
A document regardless of form orA document regardless of form or
medium created, received, maintained andmedium created, received, maintained and
used by an organization (public orused by an organization (public or
private) or an individual in pursuance ofprivate) or an individual in pursuance of
legal obligations or in the transactions oflegal obligations or in the transactions of
business, of which it forms a part orbusiness, of which it forms a part or
provides evidenceprovides evidence

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• Current recordsCurrent records:: Records regularly used forRecords regularly used for
the conduct of the current business of anthe conduct of the current business of an
organisation or individual. Also known asorganisation or individual. Also known as
active records. Current records will normallyactive records. Current records will normally
be maintained in or near their place of originbe maintained in or near their place of origin
or in a registry or records office.or in a registry or records office.
• Semi-current recordsSemi-current records:: Records requiredRecords required
only infrequently in the conduct of currentonly infrequently in the conduct of current
business. Also known as semi-active records.business. Also known as semi-active records.
Semi-current records will normally beSemi-current records will normally be
maintained in a records centre or othermaintained in a records centre or other
offsite intermediate storage pending theiroffsite intermediate storage pending their
ultimate disposal.ultimate disposal.

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• Non-current recordsNon-current records:: Records no longerRecords no longer
needed for the conduct of current business.needed for the conduct of current business.
Also known as inactive records.Also known as inactive records.
• ArchivesArchives:: Records, usually but not necessarilyRecords, usually but not necessarily
non-current records, of enduring value selectednon-current records, of enduring value selected
for permanent preservation. Archives willfor permanent preservation. Archives will
normally be preserved in an archival repository.normally be preserved in an archival repository.

WHAT IS A RECORDS CENTRE?WHAT IS A RECORDS 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 storage,designed or adapted for the low-cost storage,
– maintenance and communication of semi-currentmaintenance and communication of semi-current
– records pending their ultimate disposal.records pending their ultimate disposal.

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TypesTypes
• National Records CenterNational Records Center
– JPN , JPM, NAMJPN , JPM, NAM
• Departmental Records CenterDepartmental Records Center
– UiTM Archive, HUKM Medical RecordsUiTM Archive, HUKM Medical Records
Department, IJN MRD,Department, IJN MRD,
• Commercial Records CenterCommercial Records Center
– TexasTexas

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• Medical RecordsMedical Records
Department at HUKM,Department at HUKM,
Cheras Kuala Lumpur.Cheras Kuala Lumpur.

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http://www.commercialrecords.com/CRCPahttp://www.commercialrecords.com/CRCPa
ges/Company.htmlges/Company.html

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National Records CenterNational Records Center
• Established by governmentEstablished by government
• Maintain the government semi current records before transferredMaintain the government semi current records before transferred
to national archives.to national archives.
• Establishment of records center based on the recordEstablishment of records center based on the record
management and archives act, law and regulation in that country.management and archives act, law and regulation in that country.
• NRC relocated under National archives administration. E.gNRC relocated under National archives administration. E.g
National Archives of Malaysia (ANM).National Archives of Malaysia (ANM).
• In Malaysia, NRC are located at the Petaling jaya.In Malaysia, NRC are located at the Petaling jaya.
• NRC maintain and manage the records from federal governmentNRC maintain and manage the records from federal government
ministry or public agency.ministry or public agency.

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Departmental Records CenterDepartmental Records Center
• Normally located in the main building orNormally located in the main building or
headquarter.headquarter.
• Sometimes each of department have their ownSometimes each of department have their own
records centerrecords center
• Maintain and managed semi current and nonMaintain and managed semi current and non
current records.current records.
• For the purpose of cost saving and follow theFor the purpose of cost saving and follow the
RC standardRC standard

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Commercial Records CenterCommercial Records Center
• Profit private companyProfit private company
• Provide services such as records storage, records retrieval andProvide services such as records storage, records retrieval and
reference, provide disposal schedule, permanent preservation,reference, provide disposal schedule, permanent preservation,
records appraisal and disposal.records appraisal and disposal.
• Also maintain and preserve the modern records such asAlso maintain and preserve the modern records such as
microfilm, film, magnetic tape, optical disk, etc.microfilm, film, magnetic tape, optical disk, etc.
• There are certain aspect must be considered by provenanceThere are certain aspect must be considered by provenance
before transferred their records to CRC such as records safetybefore transferred their records to CRC such as records safety
and security, environment and natural disaster.and security, environment and natural disaster.

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FunctionFunction
• Received and administer all records inReceived and administer all records in
what ever format.what ever format.
• Provide reference serviceProvide reference service
• Dispose all records according disposalDispose all records according disposal
scheduleschedule
• Provide security measures for the recordsProvide security measures for the records
in the centerin the center
• An information center for the creatingAn information center for the creating
agenciesagencies

THE FUNCTIONS OF THETHE FUNCTIONS OF THE
RECORDS CENTRERECORDS CENTRE
• Current Records must be kept in the respectiveCurrent Records must be kept in the respective
departments and be maintained by the recorddepartments and be maintained by the record
officer.officer.
• After some period of time , the current statusAfter some period of time , the current status
will cease and become semi currentwill cease and become semi current
• Semi current must be kept in a record centerSemi current must be kept in a record center

THE FUNCTIONS OF THETHE FUNCTIONS OF THE
RECORDS CENTRERECORDS CENTRE
• Why?Why?
• Bulky – especially if too many semi currentBulky – especially if too many semi current
need to retain for legal purpose.need to retain for legal purpose.
• Difficult and expensive to manage in their ownDifficult and expensive to manage in their own
respective department.respective department.

IntroductionIntroduction
• It is the responsibility of the government or corporateIt is the responsibility of the government or corporate
records and archives institution to CONTROL all recordsrecords and archives institution to CONTROL all records
created by the organisation.created by the organisation.
• Good records care begins with establishing,Good records care begins with establishing, duresdures andand
prioritiespriorities before records are even created.before records are even created.
• TheThe establishment of an overarchingestablishment of an overarching records and archivesrecords and archives
institution or similar agency charged with overall records careinstitution or similar agency charged with overall records care
is critical to the success of a record-keeping programme.is critical to the success of a record-keeping programme.

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• Records that are in full daily use within the agency thatRecords that are in full daily use within the agency that
created them are often calledcreated them are often called ‘‘current recordscurrent records’’..
• After some time, they are no longer used regularly butAfter some time, they are no longer used regularly but
must still be kept, they becomemust still be kept, they become ‘‘semi-current recordssemi-current records’’..
• At this point they should be removed from currentAt this point they should be removed from current
systems, in part so that they do not take up space.systems, in part so that they do not take up space.
• Then, many of these records are deemed obsolete andThen, many of these records are deemed obsolete and
can be destroyed, while others are retained for theircan be destroyed, while others are retained for their
ongoing value as evidence or for research.ongoing value as evidence or for research.
• These records becomeThese records become ‘‘non-current recordsnon-current records’’, some of, some of
which are kept as archives.which are kept as archives.

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• When records cease to be current and become semi-When records cease to be current and become semi-
current, some of them can be destroyed (under thecurrent, some of them can be destroyed (under the
authority of the disposal schedules).authority of the disposal schedules).
• The majority of records should be transferred from theThe majority of records should be transferred from the
records offices to arecords offices to a central placecentral place where they can be keptwhere they can be kept
securely, used as sources of information and thensecurely, used as sources of information and then
disposed of systematically.disposed of systematically.
• What is central place?What is central place?

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• There may be more than one records centre in anThere may be more than one records centre in an
organisation, or one records centre may have severalorganisation, or one records centre may have several
storage areas. Even if the institution holds records instorage areas. Even if the institution holds records in
several locations, administratively all of these shouldseveral locations, administratively all of these should
form part of one records centre.form part of one records centre.
• The majority of semi-current records have to be keptThe majority of semi-current records have to be kept
for various periods of time forfor various periods of time for legallegal,, financialfinancial oror
administrativeadministrative requirements. Some should be keptrequirements. Some should be kept
because it is thought that they will be valuable forbecause it is thought that they will be valuable for
researchresearch..

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

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

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• The records centre should beThe records centre should be safesafe,, securesecure,, cleanclean,, efficientefficient
andand economicaleconomical..
• It should be capable of holding all designated semi-currentIt should be capable of holding all designated semi-current
records in all media and able to provide a dependablerecords in all media and able to provide a dependable
retrieval service.retrieval service.
• The records centre is not a place for permanent retention ofThe records centre is not a place for permanent retention of
records. It is a fundamental rule that no records should berecords. It is a fundamental rule that no records should be
transferred to the records centre unless appraisal has takentransferred to the records centre unless appraisal has taken
place.place.

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

Functions of Records CentreFunctions of Records Centre
• It isIt is expensiveexpensive andand difficultdifficult to manage them when they areto manage them when they are
kept in the offices in which they were originally created andkept in the offices in which they were originally created and
used.used.
• Systems for the management of current records should notSystems for the management of current records should not
be used to administer non-current or semi-current records.be used to administer non-current or semi-current records.
• Records retention and disposal schedules set out eventualRecords retention and disposal schedules set out eventual
disposal of the records, either bydisposal of the records, either by destructiondestruction or byor by transfertransfer
to the archival repository.to the archival repository.

Characteristics of Records CentreCharacteristics of Records Centre
The records centre should beThe records centre should be safesafe,, securesecure,, cleanclean,, efficientefficient
andand economicaleconomical..

Characteristics of Records CentreCharacteristics of Records Centre
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

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Characteristic of RC
Security Efficiency & EconomyCleanliness and Order
Security & access
Custodial Security
Environmental Security

Characteristics of Records Centre -Characteristics of Records Centre - SecuritySecurity
To ensure security, a records centre must beTo ensure security, a records centre must be
– Externally secure, as a place of custody of valuableExternally secure, as a place of custody of valuable
materialsmaterials
– Environmentally secure, as a place where valuableEnvironmentally secure, as a place where valuable
documents and information must be maintained in adocuments and information must be maintained in a
usable state for long periodsusable state for long periods
– Clean and orderly.Clean and orderly.

Characteristics of Records Centre –Characteristics of Records Centre – SecuritySecurity
-- Custodial SecurityCustodial Security
• It should not be possible for unauthorised persons to gainIt should not be possible for unauthorised persons to gain
access to records in the records centre. All of the storageaccess to records in the records centre. All of the storage
conditions and access controls in the records centre shouldconditions and access controls in the records centre should
conform to the requirements laid down in general regulationsconform to the requirements laid down in general regulations
for secret or confidential records.for secret or confidential records.
• In some cases it may be necessary for a special area to be setIn some cases it may be necessary for a special area to be set
aside for classified records, in order to satisfy governmentaside for classified records, in order to satisfy government
security concerns. These areas should be separated from thesecurity concerns. These areas should be separated from the
rest of the storage area by a locked enclosure, and accessrest of the storage area by a locked enclosure, and access
should be restricted to staff who have been speciallyshould be restricted to staff who have been specially
authorised for this purpose.authorised for this purpose.

• A high level of security must be maintained around theA high level of security must be maintained around the
records centre at all times. The records held there includerecords centre at all times. The records held there include
many of great sensitivity, arising from all levels ofmany of great sensitivity, arising from all levels of
government or corporate activity. If there is any suspiciongovernment or corporate activity. If there is any suspicion
of poor security, clients of the records and archivesof poor security, clients of the records and archives
institution will lose confidence in it.institution will lose confidence in it.
• The office areas must always be staffed during workingThe office areas must always be staffed during working
hours. The building must be guarded at night. No personhours. The building must be guarded at night. No person
other than authorised records and archives institution staffother than authorised records and archives institution staff
should be admitted to the storage area or to the workingshould be admitted to the storage area or to the working
areas without the direct and specific permission of the headareas without the direct and specific permission of the head
of the records and archives institution.of the records and archives institution.

• Everyone in the records centre should be identifiable. Usually,Everyone in the records centre should be identifiable. Usually,
all people in the facility are required to wear a visible identityall people in the facility are required to wear a visible identity
card. Staff should wear a card carrying their photograph, andcard. Staff should wear a card carrying their photograph, and
visitors should wear a temporary identification card issued tovisitors should wear a temporary identification card issued to
them at the entrance. The entrance to the records centre shouldthem at the entrance. The entrance to the records centre should
have a prominent notice that no unauthorised persons arehave a prominent notice that no unauthorised persons are
permitted.permitted.
• The records centre manager is responsible for controlling theThe records centre manager is responsible for controlling the
keys to the building. The manager should keep a record of allkeys to the building. The manager should keep a record of all
keys issued to personnel. If push-button control pads orkeys issued to personnel. If push-button control pads or
combination locks are used, the manager should take care tocombination locks are used, the manager should take care to
control the security codes used. All external doors must be keptcontrol the security codes used. All external doors must be kept
locked. Keys should be numbered and kept in a locked securitylocked. Keys should be numbered and kept in a locked security
cabinet. Spare keys for use in an emergency should be kept in acabinet. Spare keys for use in an emergency should be kept in a
location set out in the disaster control plan.location set out in the disaster control plan.

-- Environmental SecurityEnvironmental Security
• The records centre should be isolated from any dangers thatThe records centre should be isolated from any dangers that
might threaten the safety of the records, including fire, floodmight threaten the safety of the records, including fire, flood
or natural disaster. This system of isolation should beor natural disaster. This system of isolation should be
supported by the installation of automatic alarm systemssupported by the installation of automatic alarm systems
and by constant monitoring of the area.and by constant monitoring of the area.
• Intruder alarms should connect automatically with theIntruder alarms should connect automatically with the
appropriate police or security authorities.appropriate police or security authorities.
• Smoke, fire and flood alarms should connect with theSmoke, fire and flood alarms should connect with the
appropriate fire service.appropriate fire service.
• Staff should be trained in the use of extinguishers andStaff should be trained in the use of extinguishers and
should know what to do in an emergency.should know what to do in an emergency.
• All alarm systems should be tested regularly.All alarm systems should be tested regularly.

–– Security & AccessSecurity & Access
• Records brought into the records centre are stored inRecords brought into the records centre are stored in
randomly selected locations. Usually, the boxesrandomly selected locations. Usually, the boxes
themselves should carry no markings that give a directthemselves should carry no markings that give a direct
indication of their contents. It is important to ensureindication of their contents. It is important to ensure
the contents of boxes are not easily identifiable on thethe contents of boxes are not easily identifiable on the
outside of the box, in order to ensure the secure storageoutside of the box, in order to ensure the secure storage
of the records.of the records.
• Records officially classified as confidential, secret orRecords officially classified as confidential, secret or
above must be kept in accordance with the general rulesabove must be kept in accordance with the general rules
for the management of such confidential or classifiedfor the management of such confidential or classified
materials.materials.

–– Security & AccessSecurity & Access
• Records may only be issued to, or by the directRecords may only be issued to, or by the direct
authority of, the office that transferred them to theauthority of, the office that transferred them to the
records centre. If authorised people come to therecords centre. If authorised people come to the
records centre to consult records there, they must do sorecords centre to consult records there, they must do so
under supervised conditions, and they must follow theunder supervised conditions, and they must follow the
rules.rules.
• Requests for access by other persons must be referredRequests for access by other persons must be referred
to the head of the records and archives institution, whoto the head of the records and archives institution, who
will, as appropriate, seek authorisation from the officewill, as appropriate, seek authorisation from the office
concerned.concerned.

Characteristics of Records Centre –Characteristics of Records Centre –
Cleanliness & OrderCleanliness & Order
• The records centre must be clean. This means that theThe records centre must be clean. This means that the
records must be protected from damage from dirt, insectsrecords must be protected from damage from dirt, insects
or rodents or infestation by moulds.or rodents or infestation by moulds.
• No one should be allowed to eat or bring food into theNo one should be allowed to eat or bring food into the
records centre: crumbs could encourage insects or rodents.records centre: crumbs could encourage insects or rodents.
• Smoking must be prohibited in the records centre at allSmoking must be prohibited in the records centre at all
times, and there should be prominent notices to this effect.times, and there should be prominent notices to this effect.
• The records centre should be cleaned, dusted and inspectedThe records centre should be cleaned, dusted and inspected
on a regular basis.on a regular basis.

Cleanliness & OrderCleanliness & Order
• The records centre should also be orderly. This meansThe records centre should also be orderly. This means
that the records kept in it must be in proper order onthat the records kept in it must be in proper order on
the shelves, so that any record can be found at any timethe shelves, so that any record can be found at any time
with a minimum of delay.with a minimum of delay.
• Records should be kept in proper containers orRecords should be kept in proper containers or
wrappings, clearly labeled with their reference codes.wrappings, clearly labeled with their reference codes.
• Regular checks should be made to ensure records areRegular checks should be made to ensure records are
returned to their appropriate locations and are notreturned to their appropriate locations and are not
stored inappropriately.stored inappropriately.

Efficiency & EconomyEfficiency & Economy
• The records centre must be efficient. EveryThe records centre must be efficient. Every
record held in the centre should be retrievablerecord held in the centre should be retrievable
quickly and easily.quickly and easily.
• Records should also be disposed of according toRecords should also be disposed of according to
a predetermined disposal schedule.a predetermined disposal schedule.

The following features of a records centre help toThe following features of a records centre help to
ensure that cost targets are met.ensure that cost targets are met.
– The unit cost of space in a records centre is less than thatThe unit cost of space in a records centre is less than that
in active office buildings.in active office buildings.
– The records centre is itself a less expensive building thanThe records centre is itself a less expensive building than
an active office site. This is because it is designed oran active office site. This is because it is designed or
adapted for its specific purpose.adapted for its specific purpose.
– Records can be stored more densely in a records centreRecords can be stored more densely in a records centre
than in an office. This density can be quantified in termsthan in an office. This density can be quantified in terms
of the ratio between cubic metres of records stored perof the ratio between cubic metres of records stored per
square metre of floor space.square metre of floor space.

• Records centres are organised so as to be able to identify andRecords centres are organised so as to be able to identify and
retrieve records efficiently, whereas offices are generallyretrieve records efficiently, whereas offices are generally
organised in support of administrative services.organised in support of administrative services.
• Records centres can be planned on the basis of calculationsRecords centres can be planned on the basis of calculations
made of relevant factors: the quantity of backlog records to bemade of relevant factors: the quantity of backlog records to be
absorbed; the rate of creation of new records; rules for theabsorbed; the rate of creation of new records; rules for the
retirement of records from current systems; retention policy asretirement of records from current systems; retention policy as
expressed in the disposal schedules; legal requirements. Inexpressed in the disposal schedules; legal requirements. In
this way, the optimum space can be provided centrally.this way, the optimum space can be provided centrally.
• Records in special formats require special conditions forRecords in special formats require special conditions for
storage and special techniques for retrieval. These can bestorage and special techniques for retrieval. These can be
better provided in the records centre than in the office.better provided in the records centre than in the office.

Concept and terminology of records center and management

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