c o n c l u s i o n T o ma int a in the p r o duc ti v it y o f r e c o r d s, p r o c e ss e s f o r mana g ing busine ss r e c o r d s shoul d b e us e d . The s e st a g e s s p an fr om the first, when r e c o r d s a r e c a p tur e d , t o the l a st, when r e c o r d s a r e d is p o s e d o f. Re c o r d s must b e k e p t in a c c o r d anc e with the d o cument titl e s, d a t e s, and time s. The s e r e c o r d s must b e c a t e g o ris e d in a c c o r d anc e with the ir sub j e c t, such a s p e rs ona l inf o rma ti on, st a t e d e t a il, milit a r y d e t a il, and p r o p e rt y s e curit y . We a ls o a c knowl e d g e tha t r e c o r d s ne e d t o b e st o r e d p r o p e rl y t o p r e s e r v e the ir c onfi d enti a lit y and v a lue . The r e c o r d c an a ls o b e e a sil y r e tri e v e d . The r e c o r d must b e d is p o s e d o f in a c c o r d anc e with g ene r a l gui d e line s e st a b lishe d b y the Na ti ona l Ar chi v e Ac t. 48
C H A P T E R 8 APPRAISAL & DISPOSITION OF RECORDS
W is appr H aisal & A dispo T sition of records APPRAISAL DISPOSITION Process to determine the value of record Action taken with regards to record as a consequence of their appraisal and the expiration of their retention period INtroduction Recordkeeping requirement and practices, as well as an inventory of its record , the agency is prepared to evaluate the record s and draught disposition instruction 50
OBJECTIVE To ensure destruction process for records without value. To ensure transferring process. (Records Transfer)for Valuable (Permanent) records to archive Temporary records to RC. 51
Primary value : Administrative, Fiscal, Legal Secondary value : Research, Informational, Evidential, Historical/Cultural & National From the information gathered by appraisal team, the committee will appraise the records according to the following appraisal criteria: RECORDS APPRAISAL PROCESS Formation of departmental committee Officer and staff who prepare the records retention schedule. Head of all divisions within the department. Exp. Legal and financial advisor, Archivist. Head of the department or agency appoint: Collecting data and information It can be done by conducting record survey. Exp: Interview or questionnaires. Prepare records inventory. Develop retention/disposal schedule Appraise the records Preparation of Records Inventory Categories of records Contents and value of records Total volume of records Different format of records Retention period Records inventory – list of every records series in department/ agency. It consists of: Preparation of Retention Schedule The disposal action suggested in records retention schedule must be clearly worded. The committee should suggest the most suitable retention period for every records series that are inventoried. The complete retention schedule must be endorsed by the Appraisal Committee, approved and signed by Director of the Department /Agency and then implemented. 1 2 3 4 5 52
DISPOSITION Record Retention Established policy and procedure for determining what records to keep, where to keep them and how long to keep them. Records Inventory Survey conducted to find the types and volume of filed records, their location and frequency of use. Records Retention & Destruction Schedule Established timetable for maintaining records, transferring semi active and inactive records to storage and destroying records with short term value. 53
Based on 3 steps: The Implementation of Disposition Preservation Destruction Transfer of custody or ownership records An action taken to retard or prevent deterioration or damage to records or documents by control of their environment and treatment (National Archive of Malaysia). This strategies can include copying, conversion and migration of records. The most common method of destruction includes the following: Landfill Incineration / Burning Shredding Recycle Destroying Microfilm Destroying electronic records •Methods of Destruction Transfer to other organizations with responsibilities for the records, Transfer to outsourced or contractor organizations, Transfer to a storage facility, or Transfer to an archive. Hardware and software compatibility;, Metadata (control and contextual information), Data documentation (technical information on data processing and data structure), Licensing agreements & Standards. Such a transfer of ownership or custody of records to another organization may include: If the electronic records are transferred, such issues as the following need to be considered: 54
C o n c l u s i o n R e c o r d e v a l u a t i o n i s r e q u i r e d f o r t h e o r g a n i s a t i o n t o d e t e r m i n e h o w l o n g t h e y m u s t b e r e t a i n e d . T h e o r g a n i z a t i o n's r e c o r d w i l l b e b e t t e r o r g a n i s e d a s a b s o l u t e r e c o r d s a r e r e m o v e d a n d i t w i l l b e m u c h e a s i e r t o l o c a t e r e l e v a n t r e c o r d s a s a r e s u l t o f a s s e s s i n g t h e d o c u m e n t . 5 5
C H A P T E R 9 E M E R G E N C Y P L A N N I N G A N D V I T A L R E C O R D S C A R E
CHAPTER 9 E M E R G E N C Y P L A N N I N G A N D V I T A L R E C O R D S C A R E No organisation is completely impervious to emergencies or disasters, whether they are brought on by human activity or natural causes. All over the world, there are earthquakes, tornadoes, hurricanes, floods, and fires. Additionally, many nations experience war and civil unrest. Even An emergency may result from electrical problems or power outages, drainage issues or leaks, improper handling or human error. In an emergency, even something as seemingly unimportant as a burst water pipe, a broken humidifier, or a failure in the temperature controls can cause damage to offices, people, and records. Many organisations create "emergency plans, " also known as "disaster plans" or "business resumption plans, " to safeguard themselves and their assets, including records and archives. Such plans are based on the idea that an organisation should first identify its assets, such as its people, equipment, and vital information sources, before setting up procedures to safeguard those assets. In the event of an emergency, action must be taken right away to minimise damage and put recovery procedures in place. An emergency plan aims to protect people and property. 57
The first priority in all emergency planning is to secure human life and safety. The second priority is to ensure the organisation can resume its operations and protect its resources, includes equipment, supplies, information, records and other assets. The records and archives manager’s priority is to protect one particular asset: the organisation’s records. This lesson examines how to identify risks, how to determine how seriously they could affect the institution and how to minimize danger. These tasks are known as risk assessment and impact analysis. This lesson considers • identifying risks • determining the impact of possible emergencies or disasters • conducting assessments and analyses • making recommendations and taking actions to reduce risks • protecting records. E M E R G E N C Y P L A N N I N G A N D V I T A L R E C O R D S C A R E Vital records – Records that have been designated as essential to the continuation of orderly, administration in the event of catastrophic loss. Such losses are fire, flood, heavy snow, war or other disaster Emergency Plan – Policies and procedures developed by an organization to be used during an emergency or disaster to prevent or minimise damage to an organization, its people and its resources. How to manage vital records: - Staff must aware the existence of vital records and condition - Must be preserved and retrieval - Make a duplication – place in a separate building. Original held in the office, copy in other location or vice versa A record is ‘vital’ if the organisation – or a particular office within the organisation – cannot function without it. The personnel department may consider its employee files vital because all critical data about each employee is recorded in one central location. 58
T h e p r o c e s s o f l o c a t i n g a n d s a f e g u a r d i n g c r u c i a l r e c o r d s h a s b e e n d e s c r i b e d i n t h i s l e s s o n . I t h a s b e e n d i s c u s s e d h o w c r u c i a l i t i s t o g e t s e n i o r s u p p o r t f o r a v i t a l r e c o r d s p r o g r a m m e i n o r d e r t o s a f e g u a r d r e c o r d s t h a t a r e e s s e n t i a l t o t h e o r g a n i z a t i o n ' s o p e r a t i o n s . I t t o o k i n t o a c c o u n t t h e p r o c e d u r e f o r l o c a t i n g a n d p i c k i n g i m p o r t a n t r e c o r d s . I t h a s d i s c u s s e d t h e i d e a o f c h a n g i n g a n d s t a t i c r e c o r d s , a s w e l l a s o n s i t e a n d o f f s i t e s t o r a g e o p t i o n s f o r i m p o r t a n t r e c o r d s , a n d i t h a s l o o k e d a t t h e p o s s i b i l i t y o f m a k i n g c o p i e s o f i m p o r t a n t r e c o r d s . A n e x a m i n a t i o n o f t h e d u t i e s i n v o l v e d i n s a f e g u a r d i n g i m p o r t a n t e l e c t r o n i c r e c o r d s c a m e a s i t s c o n c l u s i o n . conclusion 59
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