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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
LEARNING OBJECTIVES:
After studying this chapter, you should be able to:
1.
2.
3.
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.
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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)
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1.2
Correspondence
Cartographic records
Microfilm
Microfiche
Videotape
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Magnetic Tape
1.2.2
Online Database
Nature of Records
For example, if
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They have
Individuals,
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.
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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:
government
representatives
requiring
information
about
government activities
journalists
amateur researchers
genealogists
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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:
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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.
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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
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Chapter 1
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
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
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Chapter 1
Phase
Current Records
Operations
Semi-current
Records
Analysis
Business System
Analysis
Creation
Creation of Receipt
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)
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
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Archives
Archivist
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The
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Chapter 1
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,
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Chapter 1
and
characteristics.
Records
professionals
must
1.3.4
Level of arrangement and description is key principle that been practices in the
archives care.
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.
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Chapter 1
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
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.
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Level of
Arrangement
Public Sector
Chapter 1
Private Sector
Institution
Group
Sub-group
Student Administration
Management Development
Division
Finance Division
Registration of student
Financial Report
Series
File
Items
Table 2: Example for level of arrangement for public and private sector
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Chapter 1
CHECKLIST
At this point you should be able to:
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.
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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.
12.
Provenance
13.
Original Order
14.
Continuum of care
15.
16.
17.
Group
18.
Sub-group
19.
Series
20.
Files
21.
Item
1.
2.
3.
4.
5.
Briefly explain the four (4) principle of records and archives care
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Chapter 1
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