IMR 556

Appraisal and Disposal of Records

Lecturer :
Dr Ezza Rafedziawati Kamal Rafedzi (drerkr)
Senior Lecturer
Records Management Program
Course Outcomes :

At the end of the course, students should be able to :

a) Notice and identify the policies and procedures in appraisal and
disposal of records.
b) Direct the inventory records.
c) Propose best practices procedures for appraisal process.

Course Description :

This course addresses a range of issues relating to records and records management. It
looks at the essential role of records underpinning business efficiency, accountability and
the rule of law. It examines in detail the policy, procedures and guidelines in appraisal and
disposal of records in an organization. It also covers all the appraisal process until the last
stages in records life cycle.
Assessment :

Assignments 10%
Test 10%
Case Study 20%
Final Examination 60%
100%

Final Examination (Based on Dec 2014) :

Part A (Terminology – 5Q) 10m
Part B (Short essays – 5Q) 50m
Part C (Long essays – 4Q choose 2Q) 40m
100m (60%)
 CHAPTER 1 / WEEK 1

The concepts OF RECORDS

The
Records as
importance
evidence
of records

General
principles of
The essential
records Users of
characteristics
managemen records
of records
t and record
keeping

Records life
cycle and
The value of
the concept
records
of the
continuum
Records life
cycle and
the concept
of the
continuum
 Provide a corporate memory

Formulate policy

Make appropriate decisions

Achieve greater efficiency, productivity and

consistency

Meet statutory and regulatory

requirements

Protect the organization’s interests and

those of its staff and clients

Reduce the risks associated with missing

evidence of decisions and actions

Document activities and achievements

 Without records to provide documentary evidence of its
activities, NO ORGANIZATION/AGENCIES/GOVERNMENT
can be held accountable.

Accountability is established when evidence can be

provided about what public servants knew, when they
should have known about it, what action they took and the
outcome of their activities.

Records document compliance with laws, rules and

procedures.

Reliable records can serve as evidence to identify abuses of

position misuse of resources and non-compliance with
financial regulations.

Records provide verifiable evidence of fraud and can lead

investigators to the root of corruption.

Records also help to preserve a nation’s collective memory.

When records are created, they must be accessible and
usable for as long as they have a value.

Organizations need to develop strategies and procedures to

ensure that records are created and maintained and are
available when required.

The major consequences for governments and citizens

when the records systems break down :

a)Officials are forces to take decisions on an ad hoc basis

without the benefits of an institutional memory.
b) Fraud cannot be proven and meaningful reporting and
audits cannot be carried out.
c) Government actions are not transparent.
d) Citizens cannot claim or protect their rights.
e) Citizens cannot make an informed contribution to the
governance process.
f) The nation’s collective memory is impaired
(damaged/weakened).
 Value as official sources
Permanence / Static
of information

The essential
characteristics
of records

Authentic Unique
 Administrative

Informational Fiscal

The value of
records
Evidential Legal

Historical /
Cultural / Research
National
Records management (RM) is a cornerstone of effective operations in
an organization.

Aims of records management :

1- Managing records throughout their lifecycle.
2- Providing services
3- Capturing complete, accurate, reliable and usable documentation.
4- Managing records as a resource.
5- Promoting efficiency and economy. General
principles of
records
management
and record
Record keeping (RK) is the processes of creating and maintaining complete and accurate
records of business activities. RK is a core function of records management. keeping

Aims of RK :
To build the creation and capture of records into the business process itself.

Record keeping systems (paper or electronic) are in essence a set of procedures and controls
to ensure that RECORDS:
- Are created, captured, full and accurate, identified and found when required, accessible,
secure, not destroyed when still required.
 Governments

The Executives
community

Historian Users of
and Action
records Officers
researchers

Auditors
and other
People regulators
need

Ombudsmen
Articles / Procedures / Guidelines that you should have :

1- National Archives Act 2003 (Act 629) (BM/English version)

2- MS 2223 – 1 : 2009
(Malaysian Standard : Information and Documentation – Records Management (Part 1
: General ISO 15489 – 1 : 2001)

3- MS 2223 – 2 : 2009
(Malaysian Standard : Information and Documentation – Records Management (Part 2

: Guidelines)

4- ICA Guidelines on Appraisal

5- NARA Appraisal Policy

6- Panduan Pelupusan Rekod Awam / Arkib Negara Malaysia

7- ARMA International (Records Retention )