PRO RECORDS MANAGEMENT

VOLUME 1 JANUARY 2022

SUCCESSFUL

RECORDS
MANAGEMENT

?What

is RECORDS

ELEMENTS OF AN GOOD
FFECTIVE RECORDS
RECORDS
MANAGEMENT MANAGEMENT

PROGRAM METHOD

$6.52- ISSUE. 652 DISASTER OF RECORDS
IMR65220212022
RECOVERY B KEEPING
OPERATION USINESS

M RECORDS
ANAGEMENT

CONTENTS

03 04 06 07
COMMON CHARACTERISTICS
BUSINESS TYPES PROBLEMS FACED OF RECORDS
RECORD
MANAGEMENT OF BY RECORD MANAGEMENT
MANAGEMENT
RECORDS

10 11 12 13

RECORD SUCCESSFUL GOOD RECORD TRACKING OF
MANAGEMENT
MANAGEMENT RECORD RECORD
PRACTICES
FOR BEGINNERS MANAGEMENT MANAGEMENT

14 16 19 20

PRESERVATION ELEMENTS OF DISASTER DISASTER

OF ELECTRONIC AN EFFECTIVE RECOVERY RECOVERY

RECORDS RECORDS PLANNING OPERATION

MANAGEMENT

PROGRAM

22 23 24 25

CONCEPT OF RECORD STORAGE METHOD OF
RECORD RECORD
MANAGEMENT FOR RECORDS KEEPING
MANAGEMENT
POLICY

AZLIN BINTI SAPIEE NUR ELYSA NABILA PATRICIA MUNAH ROWNEY ALLEN
BINTI ANAK

MOHAMAD SELLELY NGINDANG

2

BUSINESS
RECORDS MANAGEMENT

BY: Patricia Munah Anak Ngindang

WHAT IS WHAT IS RECORDS
RECORDS ? MANAGEMENT ?

A record is a source of Records management

documentary ensures records and evidence

evidence. It is a piece remain authentic, safe, and

of proof. usable.

Just as we rely on maps to tell us where we are now Records management is the process of ensuring that the
and where we might go, we rely on records to tell us evidence created, collected, and used by an organization is
what our organizations have done or decided. We use created, managed, stored, and used in such a way that it
records and other sources of evidence to execute remains authentic, safe, and usable, now and in the future.
current actions, confirm past actions, and plan future
actions. If we did not have access to records and Records management allows organizations to
other sources of evidence, we would not have any
proof of our plans, actions, or decisions. ➢ Establish strategies, policies, and procedures for
Organizations, especially those with public-sector making and keeping records
responsibilities, need documentary proof. Personal ➢ Allocate resources to manage records effectively
assumptions or vague recollections do not allow ➢ Ensure records are accurate and reliable
organizations to work effectively and efficiently, and regardless of form or medium
they do not ensure organizations are accountable or ➢ Create and manage records consistently
transparent. ➢ Distinguish between valuable and obsolete
records and evidence
Evidence is data, records, or other forms of ➢ Store records safely and dispose of records
recorded information deemed to be an objective appropriately.
representation of actions, transactions, decisions,
opinions, or ideas, and so can serve as a source of
authentic proof.

A record is information that has been captured on
some fixed medium, which was created and kept,
to support a government, organization, or
individual to perform activities, remember events or
information, and provide proof of decisions or
actions

Photo credit: Google

Photo credit: Google

3Kara Rayburn. (2020) Understanding The Important of Records. Retrieved November 25th 2021 From https://www.alarisworld.com/en-gb/insights/articles/understanding-importance-records-management#section%201

TYPES OF RECORDS
BY: Patricia Munah Anak Ngindang

1 Administrative 2 Legal
Records Records
Records which pertain to the origin,
development, activities, and Records of legal value include those with
accomplishments of the agency. These evidence of legally enforceable rights or
generally fall into two categories: policy obligations of the State. These may include
records and operational records. 1.Records relating to property rights: land,

Policy Records: probate, contracts, agreements, leases,
licenses.
Records that relate to the organization 2.Records relating to citizenship rights: vital
such as plans, methods, techniques, or statistics, such as birth, death, marriage,
rules which the agency has adopted to some legal proceedings, and criminal cases.
carry out its responsibilities and functions. 3.Records relating to employment: veterans'
These include three basic categories. records involving legal rights attached to
1.Organizational Documents: budgets employment, basic state personnel records,
and, in some cases, payroll records.
and budget planning records, fiscal 4.Records containing information required to
records, organizational and functional protect the State against claims or to
charts. enforce statutes: executive orders, rules,
2.Governing Documents: manuals, regulations, and records to establish or
directives, orders, and interpretations support judicial opinions and
issued from top authority levels, interpretations.
correspondence files of high-level officials,
regulations, circulars, instructions, Photo credit: Google
memoranda or regular issuances that
establish a course of action, and staff
studies or special reports relating to
methods of workloads and performances.
3.Reporting Documents: annual reports,
periodic progress or summary reports,
special reports or accomplishment,
transcripts of hearings, minutes of
meetings and conferences, and agency
histories.

Operational Records:

The operational value is the usefulness of a
record in the conduct of an organization's
business. Examples include mandates,
procedural records, or records that give
direction.

Inside Southern. (2020) Records and Information Management. Retrieved December 25th 2021 From https://inside.southernct.edu/records-and-info/rim-in-ct/types-of-records 4

Fiscal Research

3Records 5 Records
Records that have fiscal value relate to an Records used in scholarly studies and
agency's financial transactions. these may investigations. Researchers want to extend
be budgets, payrolls, vouchers, and human knowledge using basic historical
accounting records. After records have evidence. These records may include
served their primary administrative important information on individuals,
purpose, it may be necessary to preserve corporate bodies including their problems
them to document the expenditure of and conditions, and significant historical
public monies and to account for them events. Researchers may include case files
for audit purposes and requirements. and correspondence of a regulative and
quasi-judicial nature, statistical and other
4 Historical data on economic development,
Records population changes, and/or major
movements in our society. Many of these
Records worthy of permanent records have informational, administrative,
preservation for reference and research and archival value.
purposes are selected for deposit in the
state Archives at the Connecticut State 6 Electronic
Library. These records are retained for Records
many uses. Public officials use archival
records to protect the government, to give The Connecticut Uniform Electronic
consistency and continuity to their actions, Transactions act (CUETA) defines an
to prevent duplication of efforts, and to electronic record as "a record created,
find successful ways for solving recurrent generated, sent, communicated,
problems. Records are also kept to protect received or stored by electronic means,
citizens' legal rights and for research in including, but not limited to, facsimiles,
many fields to advance general electronic mail, telexes and internet
knowledge and understanding. messaging" (CGS, Section 1-267).
Electronic messages sent or received in
the conduct of public business are
public records.

Photo credit: Google Photo credit: Google

Inside Southern. (2020) Records and Information Management. Retrieved December 25th 2021 From https://inside.southernct.edu/records-and-info/rim-in-ct/types-of-records 5

COMMON PROBLEMS FACED BY

RECORD MANAGEMENT

BY: Patricia Munah Anak Ngindang

Photo credit: Google

Record-keeping is an essential part of many business types today. Whether you work in a
medical office, university, legal firm or other institution, managing the forms that keep
these businesses running is often a full-time job in itself. At times, the amount of paperwork
generated by the organization can appear overwhelming. Common problems faced by
record management may be alleviated by having systems in place to handle them.

Lost Records Record Storage

Lost records can range from a minor inconvenience for Depending upon the type of business for which you keep
businesses to an enormous hassle that takes months, or records, as well as how long the company has operated, you
even years, to resolve. For instance, if clients request may find yourself running out of space for all of the file
documents from the company on a regular basis and you cabinets worth of forms you must keep. A potential solution
are unable to provide them in a timely manner (or at all), to this problem is not to keep any extraneous records.
you risk the loss of their business in the future. If Consider how long your business really needs to have these
important records are needed for a legal matter, such as forms on hand. For federal tax purposes, the majority of
defending the company against a lawsuit, not supplying documents can be disposed of after a specified period of
the appropriate documents can cost huge sums of time, as directed by the Internal Revenue Service (IRS),
money, or even mean the dissolution of the business depending on the type of return filed (see the Resources
entirely. One way to avoid losing records is to have a section). Different businesses, such as legal and medical
detailed organization and storage process. offices, are required to keep client information for only a set
number of years, depending upon the state in which they
operate. Another solution is to store records at a separate
facility, such as a rental storage unit. This way, they do not
take up valuable space on the premises of your business
that you could use to run the organization. Keep in mind,
however, that such units can be costly depending upon the
number of records you need to store.

Photo credit: Google 6

Lauren Hilinski. (2021) Poor Records Management: Causes, Consequences & Prevention. Retrieved December 21st 2021 From https://www.recordnations.com/2017/08/bad-records-management/

BY: PATRICIA MUNAH ANAK NGINDANG

CHARACTERISTICS
OF RECORDS
MANAGEMENT

Records management practices are being developed since a long time.

These practices focus on managing and protecting the records’ key

evidential characteristics which contribute to their trustworthiness.

Trustworthy records are necessary for the organization to meet its

legislative and internal needs. From the records management perspective,

the characteristics which are used to describe the trustworthiness of the

records are (i) authenticity and provenance, (ii) reliability, (iii) integrity, and

(iv) usability

Reliability A uthenticity and
provenance
A reliable record is defined as one whose contents
can be trusted as a full and accurate representation While a good conclusion is an important ingredient for
of the transactions, activities or facts to which they newspaper articles, the immediacy of a deadline
attest and can be depended upon in the course of environment means that copy editing often takes the
subsequent transactions or activities. Records are form of deleting everything past an arbitrary point in
required to be created at the time of the transaction the story corresponding to the dictates of available
or incident to which they relate, or soon afterwards, space on a page. Therefore, newspaper reporters are
by individuals who have direct knowledge of the trained to write in inverted pyramid style, with all the
facts or by instruments routinely used within the most important information in the first paragraph or
organization to conduct the activity or transaction. two. If the less vital details are pushed towards the end
The background of the record’s creation is important of the story, then the potentially destructive impact of
in determining its reliability. Also, the record’s draconian copy editing will be minimized.
provenance or lineage can be used as evidence in
support of a record’s reliability, with records created According to Wikipedia, a news article discusses
at the time of the event considered to be the most current or recent news of either general interest (i.e.
reliable. daily newspapers) or of a specific topic (i.e. political or
trade news magazines, club newsletters, or technology
news websites).

Quoted references can also be helpful. References to 7

people can also be made through the written

accounts of interviews and debates.

Photo credit: Google

Satyendra. (2020) Records and Records Management. Retrieved November 29th 2021 From https://www.ispatguru.com/records-and-records-management/

BY: PATRICIA MUNAH ANAK NGINDANG

Integrity 8

The integrity of a record refers to its being complete and unaltered. It is necessary that a record
is to be protected against unauthorized alteration. Records management policies and
procedures are to specify what additions or annotations can be made to a record after it is
created, under what circumstances additions or comments can be authorized, and who is
authorized to make them. Any authorized comment, addition or deletion to a record is to be
explicitly indicated and traceable. For the integrity of records, there is the need for systematic
management policies and procedures to guard against alteration and fraud. This again explains
the need to capture a complete and auditable record of a record’s provenance as an important
indicator of the record’s integrity. The risk of fraud in the provenance record (in addition to fraud
in the record itself), has led to the development of secure provenance, especially in the
electronic records. Also, the systems themselves need to have integrity. The perceived need for
system integrity is also helping to build the case for the transparency.
Another aspect of integrity is the contextual and structural integrity of the content of records.
This includes the physical and logical format and the relationships between content elements.
Failure to maintain the structural integrity of the records can damage a record’s reliability and
authenticity. It also has an impact on the record’s usability.

Usability

A usable record is one which can be found and understood in its original context. A usable
record can be located, retrieved, presented, and interpreted. It is to be capable of later
presentation as directly connected to the organizational activity or transaction which produced
it. The contextual linkages of records are to carry the information needed for an understanding of
the transactions which created and used them. It is to be possible to identify a record within the
context of broader organizational activities and functions. The links between records which
document a sequence of activities are to be maintained.
There are thus two aspects of a record’s usability namely (i) the usability of the record itself, and
(ii) the functionality of the system which is managing the record. To keep an individual record
usable, it is to be preserved over time. In general, the main objective of preservation is to allow
future users to retrieve, access, decipher, view, interpret, understand, and experience documents,
data, and records in meaningful and valid (that is, authentic) ways. One of the challenges for
preservation is that records are to be altered to preserve them, and this impact on the record’s
integrity and authenticity. Hence, a balance is to be maintained between authenticity and
usability

Satyendra. (2020) Records and Records Management. Retrieved November 29th 2021 From https://www.ispatguru.com/records-and-records-management/

9

BY: AZLIN BINTI SAPIEE

RECORD
MANAGEMENT FOR

BEGINNERS

Photo credit: Google Electronic or Paper Records?

Records management systems differ by business, What are the most common kind of records you
and the best match for your company or keep? Traditional paper records may be required for
organization is usually determined by many key legal or financial documents, but trying to maintain
characteristics, such as the size of the company, the your complete record inventory in-house for a larger
type of records it stores, and the importance it places firm may not be secure or space-efficient. Your data
on security and regulation compliance. are indexed and safeguarded in secure, climate-
Although there are a variety of record management controlled facilities at offsite record storage locations,
systems, storage methods, and solutions for dealing freeing up office space and reducing the risk of illegal
with some of the most common issues that an RMS access by workers or attackers.
may encounter, at the end of the day, the main goal
of any company should be to identify its information re There Gaps in Your Defenses?
management goals, create an RMS to meet these
needs, and then fine-tune and optimize the process. A
Here are a few of the most typical questions and
solutions to think about: Hundreds of data breaches, both large and little,
have proved that record management systems are
Photo credit: Google constantly vulnerable to identity theft and security
breaches during the previous few years. State and
federal rules such as the HIPAA or the HITECH Act
have set new regulations and severe fines to
implement them in order to reduce the risk of these
tragedies. Allow record storage services to handle
your records while you focus on your day-to-day
operations to avoid paying a hefty price for your own
data breach.

eeping the Cobwebs Out of Your Records?

K

If you have not already, your business should start
tracking and managing your documents using a
retention schedule to keep your record inventory
under control. This helps set normal rules for
preserving, maintaining, and finally eliminating your
records in a timely manner, as well as lowering the
amount of useless documents taking up space in
your office.

AnahíCasadesús de Mingo, Agusti Cerrillo-i-Martinez. (2018) Improving Records Management to Promote Transparency and Prevent Corruption 10
. Retrieved November 27th 2021 From https://www.sciencedirect.com/science/article/pii/S0268401217306242

BY: AZLIN BINTI SAPIEE

SUCCESSFUL RECORD MANAGEMENT

WHY RECORDS
MANAGEMENT?

Photo credit: Google     R ecords and document management has an Photo credit: Google
impact on much more than just office clutter and
THE KEY TO organization. Information should be organized in
SUCCESS such a way that it is timely, complete, accurate,
usable, and easily available. Meeting document
management goals allows a company to prosper by
providing efficient service, reducing expenses, and
adhering to ethical and legal obligations. Whether a
company manages sensitive medical information,
historical archives, or financial records, how it
manages physical and digital documents has an
impact on its bottom line and its ability to meet
goals.

Here are the reasons a records DETAIL >

management solutions prove RECORD MANAGEMENT SOLUTIONS
PROVE TO BE A SUCCESS IN ANY
to be a success for any BUSINESS

business. Meeting document Lower Operating Costs the efficiency and flow of all office tasks. An
effective index will give the relevant
management objectives When there is no systematic system in information to users exactly when they
place, searching for missing records takes need it, whether a company uses a digital
creates an environment for a time and effort. With filing systems, office or physical document management
space, and people, records keeping and system.
business to succeed, and create management already costs a lot of money.

efficient service, avoid costs,

and uphold ethical or legal

responsibilities. Whether a nsure Productivity and Efficiency

business handles sensitive EWhen employees spend time looking for etter Decision Making

medical records, historical misplaced information, they are wasting B
time that may be better spent elsewhere.
archives, or financial records, Information retrieval is improved as a result In today's commercial environment, big
of an organisational upgrade to record data is exploding. Data is regarded as
how they handle their physical keeping procedures, which also improves incredibly valuable. Records made now
contain critical background information
and digital documents affects that can be used to make key business
decisions in the future.
their bottom line and

achievement of objectives.

BSC Solutions. (2017) Records Management-The Key to Success. Retrieved November 28th 2021 From https://www.bscsolutions.com/2017/12/records-management-success/ 11

BY: AZLIN BINTI SAPIEE

GOOD RECORD
MANAGEMENT PRACTICES

An efficient records management plan is required Work with true experts who can help you define a

from the moment a file or series of files is created. It clear records management strategy and enable you
specifies what the files are used for, who has access to get on with business. If you are working with a
to them, how and where they are stored, the records management provider, this process is a lot
required length of retention and, ultimately, how simpler. Outsource your records management
they are destroyed. To ensure the accessibility and Storing paper and digital records securely and with
security of your company’s records, you must decide 100% compliance is not as simple as it may sound.
which documents you need in which format.All All It’s far easier to outsource your document storage
businesses generate a large amount of both paper needs to a provider whose business it is to manage
and digital records. They accumulate quickly and it records. This should also include a general ‘good
is imperative that they are be stored somewhere housekeeping’ plan for the destruction of non-critical
safe. or non-sensitive information to free up office and
digital storage space. If, for example, you are
planning to store boxes of documents in your office,
you must consider whether you have the requisite
space or whether it would be more effective to
outsource your storage needs to a records
management company. Record, track and monitor
Records move around all the time: in and out of
storage and between colleagues and departments.

Photo credit: Google Photo credit: Google

Here are five crucial records management best

practices:
1. Control storage and access
2. Be wary of retention and disposal procedures
3. Record, track and monitor
4. Destroy and/or delete
5. Outsource your records management

Government Records Service. (2011) Good Records Management Practices. Retrieved December 12th 2021 From https:https://www.grs.gov.hk/pdf/grmp_(Eng).pdf 12

BY: AZLIN BINTI SAPIEE

TRACKING
RECORD
MANAGEMENT

Guidance to Track
Record

Photo credit: Google Photo credit: Google

This guidance is to help you set up HOW TO TRACK RECORD?
a records tracking system to
ensure you know where your Manual systems such as location cards, index cards, docket
paper records are. When books, and file transfer slips will serve where the number of file
implemented, the records movements per week is fewer than 400. When there are more
tracking system will enable you than 400 file movements per week, using computer databases
and your colleagues to quickly should be seriously considered. An electronic method can cut
locate the information you need down on the amount of paper produced and thus the amount
to carry out your job of paper that needs to be stored. It can be more efficient by
decreasing misfiling and speeding up information retrieval
Why do we need to times. A database can also be used by multiple users at the
record tracking same time.
scheme? Regardless of whether a paper-based or electronic tracking
system is adopted, the most crucial aspect of any tracking
Records tracking is a feature of a system is that it is backed by suitable equipment and can
supply the information users require quickly and accurately. Its
records management system that success will ultimately be determined by those who use it, thus
employees should receive proper training to ensure that they
ensures you can find documents understand its significance and can use it correctly and
efficiently.
when you need them. If the
There are three components to any system which tracks
information contained in paper paper records:

records is to be located quickly · Central records,
· Documentation which travels with the file, and
and efficiently, accurate · Periodic check/annual census.

documentation and awareness of

their location is required. One of

the most common reasons for

lost records is that their next

destination is unknown.

Nor Sakila Asnawi, Haszlin Md Ibarahim and Alwi Mohd Yunus. (2019) Implementation of Archive Records Manangement System (ARMS) for Preservation of Corporate Memory. 13
Retrieved December 13th 2021 From https://ijikm.uitm.edu.my/pdf/915.pdf

PRESERVATION OF ELECTRONIC
RECORDS

BY: NUR ELYSA NABILA BINTI MOHAMAD SELLELY

Do you know about Refreshing Data
preservation of electronic
records ? The process of copying data from one medium
to another of the same type. The purpose of
refreshment is to replace data in one medium
with a copy that is sufficiently the same that
the data can continue to be accessed without
difficulty.

Photo credit: Google Migration

Active Preservation The process of translating data or digital
objects from one computer format to another
To ensure the continued accessibility of format in order to ensure users can access the
electronic records over time by actively data or digital objects using new or changed
intervening on how records are stored and computing technologies.
managed.

Need for proper
Passive Preservation preservation of electronic

Process of ensuring continuing integrity of, records
and controlled access to, digital objects along
with their associated metadata. Protect the legal, financial, and other
interest of the organization.
Replication Data Comply with legal and regulatory
requirements and government directives.
Replication is similar process to refreshment Serve continuous business and operational
but with one difference which is the location needs.
where the record is stored will likely be Ensure the legal admissibility of electronic
different when a file is replicated. records to meet evidence purpose.
Fulfil obligation to properly manage and
preserve electronic records with potential
archive value

Brown, A., Katuu, S., Sebina, P., & Seles, A. (2009). Training in Electronic Records Management. Retrieved December 24, 2021, from 14
http://www.irmt.org/documents/educ_training/term%20modules/IRMT%20TERM%20Module%204.pdf

15

BY: NUR ELYSA NABILA BINTI MOHAMAD SELLELY

ELEMENTS OF AN EFFECTIVE
RECORDS MANAGEMENT
PROGRAM

There are six (6) foundational elements of an
a thorough and accurate description of their

effective records management program: records, whether paper-based, microform, or

electronic, indicating:

Records Inventory & Classification

Retention scheduling how they are physically stored and where

Records Storage & Conversion they are stored

Vital Records Program storage volume

Disaster Prevention & Recovery Planning how they are categorized for:

Disposition retrieval and use in the future

information sensitivity and access

to an effective records management program what its retention period is, if known, OR

enveloped in a well-articulated set of Policies what its legal, fiscal, and/or

and Procedures that are reviewed and administrative worth is, in order to

updated on a regular basis. determine retention.

2. Retention Scheduling:

Every record has a lifecycle. That life can be
as short as a few hours, as with some
transient recordings, or as long as eternity, as
with documents of lasting historical worth.
The lifecycle of a record is determined by
analyzing:

Photo credit: Google & 3 primary needs:
legal
1.Records Inventory fiscal
Classification: administrative

The beginning of any good records 3 secondary needs:
management program, whether developing evidential
one's own documents retention schedule or historical
implementing existing retention schedules, is informational
knowing what records one has and is
accountable for. To that aim, a records A records retention schedule is a
inventory is performed, which is comprehensive listing of the records that an
organization keeps, noting how long they
must be kept and how they will be disposed
of. A retention schedule may also indicate:

a legal or regulatory citation requiring a
certain retention period
how long should records be kept in
active on-site files

6 Elements of an Effective Records Management Program | Ohio State University Libraries. (n.d.). Ohio State University Libraries. Retrieved December 24, 2021, from 16
https://library.osu.edu/osu-records-management/program-elements

BY: NUR ELYSA NABILA BINTI MOHAMAD SELLELY

how long it may need to be kept in simpler to reproduce for disaster
dormant storage off-site recovery
whether or not it is a vital record
Cons of Digital Imaging of Paper Records:
3. Records Storage &
document accessibility is technology
Conversion: dependent
may not be cost effective for low-
Once a person has decided what records reference records
they have and how long they must be kept, the possibility of format and/or
they must develop a filing and storage system incompatibility
strategy or assess if their current filing and the possibility of migration disasters
storage strategy is acceptable. The following
are some of the issues that must be Pros of Microfilming Paper and Electronic
addressed: Records:

How do you categorize your records for Microfilm has joined the digital age,
easy retrieval? and it may now be produced directly
What are the procedures for gaining from electronic data as well as by
access to sensitive records? photographing paper records. If silver
How and where do you keep your active halide microfilm is prepared and
records? preserved according to industry
How and where do you keep your standards, it can endure between 300
inactive records? and 500 years; as such, it is the clear
Do you have a "records hold" procedure winner in terms of preserving
in place in the case of litigation? information in an eye-readable
What are your methods for transferring format and serving as a helpful
records of long-term historical migration and disaster recovery tool.
significance to the archives?
How do you keep your electronic Cons of Microfilming Paper and
records? Electronic Records:
Have you found your Vital Records?
What is the state of the environment in Microfilm is dependent on
your storage facilities? technology, but not to the same level
as electronic records (one could argue
A record may be converted to a digital that all that is needed is a light source
image, microfilm, or both at some point in and something to magnify the
its life to improve access, reduce physical image).
storage, or give disaster recovery and It may be less expensive to simply
preservation tools. store paper records with short or
intermediate retention periods.
Pros of Digital Imaging of Paper Records: Dynamic function loss in electronic
files such as spreadsheets or
improves access databases.
improves the efficiency of business
processes and workflow 4. Vital Records:
lowers the amount of physical space
required for record storage Vital records are those vital organizational
records required to meet operational

6 Elements of an Effective Records Management Program | Ohio State University Libraries. (n.d.). Ohio State University Libraries. Retrieved December 24, 2021, from 17
https://library.osu.edu/osu-records-management/program-elements

BY: NUR ELYSA NABILA BINTI MOHAMAD SELLELY

responsibilities in the event of an emergency Identification of an alternative operational
or tragedy. "What documents are extremely site that is either a:
critical to our business operation that will
need to be reconstructed from backup copies Hot site – a location with all essential
if the originals are destroyed or inaccessible computing equipment and software,
in a disaster?" an organization should ask. where one can bring their backup,
These are typically shorter-term records with load it, and be "back in business."
legal and fiscal ramifications that account for Cold site - a location where one must
1% to 7% of an organization's records. For bring not only their backup, but also
business continuity, vital documents should all computing equipment, software,
be identified as an integral part of a furniture, fixtures, and so on.
catastrophe prevention and recovery plan.
Backup policy and procedures for
5. Disaster Prevention & electronic files, with backups ideally
stored offsite at least 5 miles away from an
Recovery: operating system.
Procedures for restoring the system
A disaster prevention and recovery plan General "what to do" procedures for a
(DPRP) is a written, approved, and variety of eventualities, including but not
implemented plan for preventing or limited to fire damage, water damage,
mitigating record loss in the case of an loss of facility access, and total facility loss.
emergency or disaster, as well as a plan for
retrieving records in such situations. A DPRP Remember that the most serious threat to
should include a list of vital records and records is water, whether from a flood, a
should be part of a larger business continuity leaking pipe, or even the water used to
planning process. A DPRP should include at extinguish a fire. A DPRP should also be
the very least the following elements: evaluated and tested on a regular basis to
ensure that it is an adequate strategy.

a command structure containing contact 6. Disposition:
information
a decision tree to help you choose the Disposition: Disposition is the ultimate
best course of action administrative action made by an
a list of emergency management organization in relation to a record; these acts
personnel, along with their contact are often classified into two types:
information
a list of vendors specializing in record shredding, macerating, incinerating,
reclamation pulping, and erasing or other electronic
a list of suppliers (supplies, computer obliteration, disposal in trash or recycling
equipment, records storage, etc.) transfer to an archive for long-term
a list of supplies required to assist in loss storage
mitigation, including but not limited to:

buckets and mops software When one deals with the disposition of their
absorbing materials records on a regular basis, they "lighten the
fans load" of what they need to retain and
hardware and application manage.
spares
fire extinguishers

6 Elements of an Effective Records Management Program | Ohio State University Libraries. (n.d.). Ohio State University Libraries. Retrieved December 24, 2021, from 18
https://library.osu.edu/osu-records-management/program-elements

DISASTER BY: NUR ELYSA
RECOVERY NABILA BINTI
PLAN MOHAMAD SELLELY

Photo credit: Google

Disaster recovery plan is described
as an organization's immediate
engagement. Staff must be prepared to
begin the process of effective response
immediately by establishing a recovery
plan prior to the disaster.

The first step is to identify whether the and instruments to manage risk is known as risk management.
records are electronic or paper. Conduct
a survey of records management and
keep a thorough file list. A copy of the
file list should be kept or backed up in
another location.

The second step is to set up a vital The fourth step is to identify for alternate storage facilities. Examine
records management program. Identify existing storage facilities to see if they are secure and will help to
the documents required to conduct prevent and reduce loss or damage.
business under emergency operating
conditions, to perform or reconstruct The fifth step is to establish roles and responsibilities. Create a set of
the organization's most mission-critical staff contacts to help with the restoration.
operations, and to defend the
organization's legal and financial rights. The next step is to put together a disaster bin. Acquire equipment and
other materials for use in minor calamities such as leaking pipes and
The third step is to recognize the level small fires.
of risk. Identifying and reducing the
most likely threats that could have a The final step is to create an action plan. Create a concise plan that
negative impact on the organization. includes many of the above elements, such as numbers both internal
The use of processes, strategies, and external, and create a step-by-step list of steps for staff to follow
in the event of a disaster. Distribute the plan to all employees in the
organization.

Anyra, F. (2021, JANUARY). Business Continuity Plan. Retrieved December 24, 2021, from https://online.fliphtml5.com/fizvc/oxpd/#p=1

19

DISASTER RECOVERY
OPERATION


BY: NUR ELYSA NABILA report and check with once they have been returned
available experts about the to storage. Finish all record
BINTI MOHAMAD SELLELY best treatments for damaged treatments, including drying
records. and cleaning. Check for mould
Disaster recovery necessitates and mildew once they've dried
proper operational and The fourth action that that fully, and if they're clean, put
technical support to minimize must be taken when a disaster them back in storage. Maintain
downtime and ensure that occurred is to rehabilitate all of records list that have
business activities restart as storage area and building. been returned to storage
soon as feasible when a Replace or repair shelving places.
disaster occurs. units and other storage
devices. Inspect the shelving The last action that must be
When a disaster occurs, the and all other parts of the taken when a disaster occurs is
first thing that must be done is facility to ensure that they are resumption of operations.
to ensure the safety and fully dry. Post-mortem sessions are
security of those involved. This used to determine and
ensures the individual's safety The fifth action to consider examine the causes of an
and the building's security. when a disaster occurs is emergency or disaster. Take
This also includes correctly preventative and precaution
installing and utilizing ensuring the continued actions in the future.
temporary wiring. protection of the documents

The second action that must
be taken after a disaster is to
stabilize the environment.
Using mops and buckets, as
well as wet dry vacuum
machines, if available, remove
any water in the area. If any
carpets and under padding
have been damaged by water,
you should remove them.
These items should be stored
in a dry environment.

When a disaster occurs, the Photo credit: Google
third action that must be taken
is assessing the degree of the
damage to records and
facilities. Compile an accident

Anyra, F. (2021, JANUARY). Business Continuity Plan. Retrieved December 24 2021 from https://online.fliphtml5.com/fizvc/oxpd/#p=1

20

21

By ROWNEY ALLEN
ANAK LANCHAI

CONCEPT OF RECORD
OF MANAGEMENT

What is concept Management?

Information is "data, ideas, thoughts. or
memories irrespective of medium"
information sources are of medium".
Information sources are considered "non-
records": They are useful but do not provide
evidence. Examples. include, journal,
newspaper, publications or reference
sources.

Documents are any "recorded information What does it mean to you?
or object that can be treated as individual
units". Examples include work in progress If the item in question provide information
such as individual unit". Example include only and odes not provide evidence of an
work in progress such as draft activity, decision, or transaction related to the
communications or to do list and transitory work and the workplace and should destroy
records such as emails confirming a meeting the information when no longer needed.
or acknowledging receipt document
If the document superseded by other
The goal of records management is to help document, such as draft report that is replaced
an organization keep necessary by newer version and the first draft is not
documentation accessible for both business needed as evidence, or if the document
operations and compliance audits. In some contains information that you need for only a
small to mid-sized business, spreadsheets are short time like a confirmation of the meeting
used to track where records are stored, but should destroy the document when you not
lager organization may finds records longer need it .
management software suites that are tied to
both a taxonomy and a records retention If you created or received the document in the
schedule to be more useful. Such software course of your work and it provides evidence
suites may be marketed as enterprise of an activity , decision or transaction, you
information management products that are need to keep it as evidence , according the UN
capable of helping an organization to retention schedules. That document becomes
management both records and ordinary a record and must be stored safely so it
content. remains accessible.

Credit: Google, Canva 22

By ROWNEY ALLEN ANAK
LANCHAI

RECORDS MANAGEMENT POLICY




RECORD EXPLAIN THE WHY?
MANAMENT
POLICY It is critical to explain the business and regulatory drivers fpr
your records management policies. They need to be
    Record management is specified, include links to sources and list all the factors
involved. It makes your records retention and records
an important part of you storage decisions more defesible. If an auditor or investigator
looks at the policy, they will se rationale behind the
overall information requirements.

governence strategy. IMPLEMENTING YOUR RECORDS
MANAGAMENT POLICIES
Ensuring the authenticity

and availability of records

over time can help your

organization archive its Accordingly, the policies

mission. It also helps you specifies who is responsible Regardless of how your
organization implements
ensure compliance with for executing policy but how. your records
management policies, it
government laws and The Policy Owner should have is up to the business and
technical leadership to
industry regulation.  a strong voice in how your work together to make it
happen. The technical
The importance of organization implements the organization needs to
understand why records
records management policy even though they may management is
important for the
policy for organizations not be directly implementing business. The business
needs to understand the
data security and the solution for electronic technical challenges
posed by what they are
management practices, records. The task of deploying asking

and we understand that and maintaining any

creating new records technical tool needed to

management policies can implements the policy

be challenging. while it is typically falls to the head of

will be equally important the technology support

to document the context division, which of often the

for their maintenance and CIO

execution. 23

Photo Credit: Canva

By ROWNEY ALLEN ANAK
LANCHAIi

STORAGE RECORDS
MANAGEMENT

Managing Stored records Email

The general principles of Email is simply method to
records management apply to communicate information in
records in any format. However, electronic form. Whether a
the methods used for protection, particular depends on the
organization, indexing, retrieval content of the email. Email that
and disposition of records will does not relate to university
vary depending on the format or business is not subject retention.
medium in which the records Much of the business-related
exist. email is of limited is of limited or
transitory value, and as provided
Physical records by the Records Retention Policy.

Storage of physical Employee Responsibility of
records Archiving
Paper records (non-electronic
records) must be stored in such Employees should arrange
way that they both sufficiently retention of email containing
accessibly. For example, an university records having lasting
active contract may be stored on business or historical value.
ordinary paper in a file cabinet Some email system will do for
an office. this the employees. Other may
requires the employee to take
Circulating physical action. if the email system in use
does not retain such records.
records office protocols should be
arrange to retain them.
Circulation refers to the cycle of
Email Summary
retrieving a physical records,
1. Determine whether an email
tracking it while checked out is of lasting business or
historical value
from storage, and then returning
2.Email that is not of lasting
the records is referred to as business or historical value
may be deleted at any time.
circulation. At its simplest,
3.Email that must be retained
circulation is handled by manual to be in a searchable format
on persistent storage for the
methods such as simply writing time specified in the Record
Retention Schedule.
down who has a particular
24
record and when they should

return

Photo Credit: Google, Canva Electronic records
Unlike physical, records,
management of electronic
record required a computer,
server, or other digital storage
equipment.

By ROWNEY ALLEN
ANAK LANCHAI

METHOD OF RECORD
KEEPING

Record keeping is a primary stage in
accounting which tells us how to keep a
record of monetary business
transactions with the objectives keep
permanent track of all transaction, know
the correct pictured of assets liabilities,
profit and lost.

Advantages of recordkeeping

Permanent and reliable Disadvantages of recordkeeping
It help in maintaining the permanent
record of all the transaction, which help Clerical
in ensuring the ratability of data. For large, organizations, recordkeeping is highly
tedious and ongoing job. It becomes tough form them to
Arithmetical Accuracy of the Accounts maintain the same
Continuous recording of transactions will
help in identifying any arimethical Manual and Monotonous
inaccuracy that might have taken place. It is a highly manual job. The same work is needed to be
carried out as many time the transaction is undertaken.
Net result of business Operation This makes it a highly monotonous job.
It will give the profit earned during the
given period based on ongoing business Subjective need to check before analyzed
operations. Various accounting aspect like depreciation, stock
valuation, that requires assumption that make the
Calculation Over Assets and Borrowing accounting highly subjectives.
It features better control over assets and
borrowing can be undertaken and this will
help manage the funds and various
positions of business.

Management Decision Making
Management is highly dependent on the
financial records to plan the business
operations. Moreover, they also need
continuous reporting by the middle level
about progress made in the finance terms

Photo Credit: Google, Canva

25

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Photo credit: Google 26