RECORDS MANAGEMENT
credit to Dr. Nurussobah Hussin
Tuesday, 14 June 2016
HOW TO PROPERLY STORE LARGE DOCUMENTS
Dear readers, today we will share with all of you the video about how to properly store large documents.... Lets enjoy.
UNDERSTANDING RECORDS MANAGEMENT
Dear all readers
The above are some of the questions for you to ask yourself from time to time in the course of performing your work. Should your answer is yes to some of the questions, it is time to look for records.
It is also time for you to look into current practices of record keeping if the answer is yes and no for question number 5-10.
Records are the last thing one would be thinking in work operation. Most of the time, it is ignored, it is not given due attention. This is a lackluster attitude among employees and top management (most of the cases). It is only needed most when there is an audit in progress or any cases as a result of litigation or judicial inquiry. In most cases, records is "managed" just enough. No serious undertakings from person in charge for proper record keeping. Records manager or records officer is consulted when only there is problem, otherwise, they are not.
Hence, record keeping is seen and deemed as 'supportive" to current operation. This state of ignorance results in record keeping as not due all the time.
Think about it.....
What is your role as record professionals to change such perceptions and views?
What could you do to make change?
How are you going to recognize that records is the backbone of any organizational operation?
How are you going to tell your top management of the critical role of proper records keeping?
Most important of all, how can you change the current perception that proper record keeping is considered secondary while the fact that everybody needs records rather than records need them.
- Are you working now?
- Are you tasked with specific scope?
- Are you involved in audit process? Are you answerable to audit team?
- In your task, do you need to prepare report? Daily? Weekly? Monthly? Quarterly? Yearly?
- Do you need to refer to previous report for confirmation?
- Do you know where are the record to refer to?
- Which file?
- Anyone holds that file?
- Is the file missing?
- Can you find the file?
The above are some of the questions for you to ask yourself from time to time in the course of performing your work. Should your answer is yes to some of the questions, it is time to look for records.
It is also time for you to look into current practices of record keeping if the answer is yes and no for question number 5-10.
Records are the last thing one would be thinking in work operation. Most of the time, it is ignored, it is not given due attention. This is a lackluster attitude among employees and top management (most of the cases). It is only needed most when there is an audit in progress or any cases as a result of litigation or judicial inquiry. In most cases, records is "managed" just enough. No serious undertakings from person in charge for proper record keeping. Records manager or records officer is consulted when only there is problem, otherwise, they are not.
Hence, record keeping is seen and deemed as 'supportive" to current operation. This state of ignorance results in record keeping as not due all the time.
Think about it.....
What is your role as record professionals to change such perceptions and views?
What could you do to make change?
How are you going to recognize that records is the backbone of any organizational operation?
How are you going to tell your top management of the critical role of proper records keeping?
Most important of all, how can you change the current perception that proper record keeping is considered secondary while the fact that everybody needs records rather than records need them.
Sources : http://recordsarchives.blogspot.my/
DEVELOPING OF COMMERCIAL RECORDS CENTRE
DEVELOPING OF COMMERCIAL
RECORDS CENTRE
Nurul Hafizah bt
Jamalludin
Faculty
of Information Management, Universiti Teknologi Mara,
Selangor,
Malaysia
Abstract:
This article is to study about the commercial records centre which are discuss
about the function of records centre.
Other than that is discuss on the benefit of keeping the records in
commercial records centre and several opinion in selecting a Commercial Records
Centre. One of that is their facility
such as in terms of location and construction.
Keywords
: commercial records center, records management
INTRODUCTION
Records
are defined as documents created or received in the operation of a practical
activity or as evidence of an activity or transaction. Records can come in a variety of formats such
as letters, memoranda, reports, database files, email messages, video tapes,
films, photographs, maps, drawings and any other thing in which information is
recorded or stored. Records management
is the systematic control of all records, whether in the media or format
printed materials from their creation until final disposal. According to the
Akta Arkib Negara 2003 and in accordance with the Policy on the Management of
Electronic Records,
"records" means materials in written or
other form setting out facts or events or otherwise recording information and
includes papers, documents, registers, printed materials, books, maps, plans,
drawings, photographs, microfilms, cinematograph films, sounds recordings, electronically
produced records regardless of physical form
or characteristics and any copy thereof.
Record
Centre is a building or part of a building which is designed or modified for
low-cost storage, maintenance and semi-current records pending their ultimate
disposal. Semi-current record which is to be transferred must be appraised
first. Record centre are divided into three type which is National Record
Centre, Departmental Record Centre and Commercial Record Centre. Record centre
consist of five major functions, received and administer all records in
whatever format that are retired from current record system, provide a
reference service based upon the records, dispose of all records held in
accordance with disposal schedules and plans, as an information centre for the
creating agencies and to provide security measures for the records in the
centre.
Commercials
records centre industry have grown and prospered over the past few years.
Commercials records centre has gained more clients by providing the advanced
services with latest technological equipment and standardize practices to meet
their customers’ expectations of service quality. Customer service quality is
critical at Commercials records center for their sustenance and growth (Azhan
and Saiful, 2015). The outsourcing in records keeping movement is a rapidly
growing industry worldwide. It is a competitive industry, and there is an
increase of customer power and managers need to focus on customer service
(Afthinos, Theodorakis and Nassis, 2005).Commercial record centres provide
services of keeping paper records of the organization. In some cases, they also
offer savings to the records kept in electronic format. Commercial records
central providing high density storage of paper records and some offer climate
controlled storage for sensitive and critical non-paper (important) paper
media. There is a trade organization for the commercial records such as Regalia
Records Management and FARAZ Records Centre.
DICUSSION
Contrary
to predictions that the paperless office is on the horizon and will put a
record out of business centres, commercial records centre industry is alive and
well and continues to grow. It's growing, not only in the ability to provide
better and faster service to customers hardcopy, but growing in its capacity to
customers who require services related services. In developing of commercial
records centre, it must be secure, clean, efficient and economical. One of that is secure. To ensure safety, the
record must have an external secure as the care of valuable substances. Except
that the environment must also be secure as a place where documents and
valuable information must be maintained in a state that can be used for a long
period. The also records centre must clean and orderly. Security involves both
safety and environmental resistance and is necessary both externally and
preventive measures must be in force at all times. All parts of the building,
including storage areas, should be protected.
In
addition, records centre must in efficiency and economy. Records centre must be proficient in each
record held in the centre in order to be accessed quickly and easily. Records
should also be disposed of in the disposal schedule that has been set. The
recommended procedure is given in this module are designed to ensure that this
provision is observed. They must be followed carefully. The record is itself a building cheaper than
active official site. This is because it is designed or adapted for special
purposes. Besides that, Records can be
stored more densely in the centre of the official record. This density can be
measured in terms of the ratio between records kept cubic meters per square
meter of floor space.(Dube, 2014)
Other
than that is Cleanliness and Order.
Records centre must be clean. Its means that the records in it must be
protected from damage from dirt, insects or rodents or attack by mole. To
maintain cleanliness, anyone are not allowed to eat or bring food to the point
of this record because the rest of the forage can encourage the presence of
insects or rodents. Smoking is also banned in the records at all times, and there
should be a prominent notice to this effect. Records centre must be washed,
cleaned and checked regularly. Central record should also be organized. This
means that the records stored in it must be in the correct order on the
shelves, so that any record can be found at any time with a minimum of delay.
Records should be stored in proper containers or packages, clearly labelled
with the reference code. Periodic checks should be made to ensure that the
records back to the appropriate location.
However,
there are also have several challenges in managing the Commercial Record Centre
such as levels of risk. In developing a
disaster recovery plan records, the records must evaluate the intensity of
which varies for each risk that their records may be subject. Risks can range
from minor flooding affecting perhaps only one or two officials at the facility
for large fires can cause significant damage to the entire facility and its
contents. In general, water, fire and smoke damage will receive special
attention because they are the agents may be damaging the records kept in the
agency. If chemicals are either stored in the building or contained in the
operating system, this may result in potential damage should also be addressed
during the planning. For example, a chemical used in fire extinguishers comply
with the record. Although the use of extinguishers may be effective in
smothering the fire, they cannot be used in areas where records are exposed.
Records centre staff who participated in this scheme should learned and
practices earlier the Emergency Plan and Risk Assessment.
Other
than that is rapidly growth of technology. The system also faces major
technological hurdles. Today some of the most important decision-support
documents are in the form of a multimedia computer slide presentations and spread
sheets, which the presumption contained within the electronic version that are
not easily amenable for printing out. The problems related to saving such
important types of records are typically not addressed, and so the records are
lost. Other relatively new technologies
that are already producing enormous amounts of uncaptured records are e-mail,
video conferences, Web sites, and call centres and other audio systems, while
Web logs, instant messaging and geographic information system technologies are
emerging potentially as large producers of records. Documents produced using
such tools must be maintained in an integrated fashion retaining their mutual
context. There are also new formats of record material including computer
generated, motion picture and television films and a wide variety of other
formats requiring all skills, procedures and storage environment in a part of
the world where there are extreme variations in temperature and humidity.
In
terms of benefits, institution or organizations are encouraged to keep their
records in commercial records centre. It
is because commercial records centre is Secure Destruction. Records Centres
have procedures that ensure records are systematically destroyed and only with
appropriate authorization reduce the chance of reckless destruction, selective
or motivated by personal records. They provide a secure and confidential
records and media computer shredding, pulverizing and recycling services for
records in accordance with your organization's records retention and
destruction policy. The records of your organization will not be destroyed
prematurely or retained longer than necessary and proper disposal procedures to
ensure compliance with privacy laws, state and federal.
Other
than that is security. Record Centres to
understand how important and difficult of all information. Therefore they have
been providing security and controlled nature of the records. They have
established procedures to maintain control of your intellectual and physical
records at all times. They ensure records remain secure your organization
through difficult handling, safe storage and monitoring and access control.
Many
companies have selected to use commercial record centres for a long term
solution to the problem of where to store and manage their records and
information. However, there are several opinion in selecting a Commercial
Records Centre. One of that is their
facility such as in terms of location and construction. For the construction, client must surely that
there are protection of records from fire, water and damage to the environment
should be paramount when considering the construction specifications.
Underground facilities offer protection from natural disasters such as hurricanes,
tornadoes, the collapse of the roof of snow, and others. Underground facilities
can also offer temperature and humidity controlled environment without reliance
on man-made system.
In
terms of location, Records centre should be in a safe area and within a
reasonable distance from the location of the service. Employees of the company
or your client may need to visit the record centre for audit or investigation
and need to feel comfortable when visiting the facility. If rapid response is
the key criterion, adjacent to consider. If the disaster recovery
considerations are part of the evaluation process, further facilities that may
be more appropriate. Determining the specific needs of your company and
consider carefully when evaluating the choice of location.
CONCLUSION
In
the course of doing business, records created, received and maintained by
various government activities, and in various forms. Although the computer has
ever thought of ushering in the age of "paperless office," we are
experiencing rapid growth and replication of records. Therefore, it is
important for government agencies to develop a records management program that
is based on sound policies and procedures appropriate and effective agency
staff informed: about the nature of what is a record; where records are open to
the public and difficult; how to classify, organize, and maintain records and
how to properly dispose of records.
In
my opinion, the record needs to take a more active role in the management of
municipal records. Moreover, the records must be placed in a building
constructed, with a stable environment conducive to keeping records. Finally,
it is important that the design and implementation of records and information
management system including a multi-disciplinary project teams, with a place
reserved for records management staff. By taking these recommendations into
account, agency should be prepared to face the challenges of managing records
in the 21st century.
REFERENCE
Abioye, A.,
2007. Fifty years of archives administration in Nigeria: lessons for the
future. Records Management Journal, 17(1): 52-62
A.P. (2014,
April 25). Benefits of Using a Commercial Records Center. Retrieved from https://www.linkedin.com/pulse/20140425163840-46254388-benefits-of-using-a-commercial-records-center
Bidwell, S.
2008. The Four Pillars of Commercial-Records Centers: Expanding Self-Storage
Services. (Online) http://www.four-pillars-of-commercial-records-storage/files.html
Challenges in managing Record
Centre. (n.d.). Retrieved May 03, 2016, from http://information-field.blogspot.my/2009/06/challenges-in-managing-record-centre.html
Dube,
A., D. Mukono, R. David, 2013. Marketing Commercial Records Centres in
Zimbabwe: The Success Story Of Archive-It Services®.
Hyman, S.J., 2008. Basic concepts
of starting and operating a commercial records management business. (Online)
http://www.dhswolrwide.com/pages/basic-concepts.htm
F., & M. (n.d.). Selecting an
Offsite Commercial Records Center. Retrieved from https://www.questia.com/read/1G1-19188013/selecting-an-offsite-commercial-records-center
Kemoni, H. N. (1998). The Impact of
Records Centres on the Management of Public Sector Records in Kenya. Records
Management Journal, 8(1), 55-65. doi:10.1108/eum0000000007230
Mohammad Azhan Abdul Aziz and
SaifulFarik Mat Yatin., A Conceptual Paper on Customer Satisfaction Towards
Commercial Records Service. J. Appl. Sci. & Agric., 9(3): 67-74, 2015
Xiao Qiuhui Ding Feier. The Characteristics of
Foreign Commercial Record Center and the Reference to China[J]. Journal of
Information Resources Management, 2014, 4(4): 106-111.
THE RECORDS MANAGEMENT TRAINING EFFECTIVENESS IN PUBLIC AGENCIES
THE RECORDS MANAGEMENT TRAINING EFFECTIVENESS IN
PUBLIC AGENCIES
INTRODUCTION
The
records management training effectiveness nowadays is very important,
especially in the public agencies. The public agencies play a big role in order
to make their records management become efficiency and economic. By having a
records management in the public agencies their organizational management of
the file will become more systematic and tidier. It is good to have a records
management, especially for the small company to the big company; they always
have business transaction that will become as a record. By having the records
management it will make them retrieve the information or file that they want
easily because it is important to give the information or file to the right
person, in the right format, at the right time and place so that we can make
the right decision-making. Most of the records are confidential and restricted
the outsider from retrieved the information. If the outsider can retrieve the
confidential records, it might cause the problem and can give an impact to the
organization.
BACKGROUND OF THE STUDY
A Study of the Records Management
Training Effectiveness in Public Agencies
According to Laura Millar (1999), the records
created or received and maintained by any public sector agencies. Various people and institutions create
records for example individuals, families, businesses, associations and groups,
political parties and the government all make and use the records every day.
Records created by government agencies or other institutions in the public
sector are usually specifically defined as a public record; or their management
should be governed by the laws, which determine how they will be successful
throughout their lives.
According to Henry N. Kemoni
and Patrick Ngulube (2007), four of six
respondents believe that by providing records management training to the staff
will make the records management be more effective. It shows that, there have a
few respondents believe by having the training of records management; it will
improve the effectiveness of the records management.
According to Anastasia Dikopoulou and Athanassios
Mihiotis (2011), specialized the training according
to the professional records management, for record-keeping it is useful for
civil servants. Every staff that deal with the
records need to be train and involved in the records management
processes. Training should be done, so that the staff will be more professional
and knowledgeable. Hence, they will manage the record easily and efficiency.
According Harry Akussah and Catherine Asamoah (2015),
in Ghana, there have a several consultancy firms offer training services
to organizations in house and to individuals who buy into their services. There is a need to institutionalize the training of
young professionals. This is show people at the outside our country also think
that the training practice is important. It is better to train the young
generations because they will practice the training for the long term and have
a good memorising.
PROBLEM STATEMENT
Every person who is responsible for the creation
of the administration of government is the creator of the record. Public
agencies act as a creator. Extensive training will need to develop competencies
necessary record keeping for all the administrative public agencies to ensure
the management of records secure, reliable and efficient. Records management
training is very important, by having the training, the public agencies can
manage their records in consistency and able to be controlled.
However,
despite all the efforts that have been made by public agency records management
training it still not effective because some of
the staff does not willing to join the training it makes the training become
less effective.
·
Do the records
management training is effective for the public agencies?
DISCUSSION
What is training?
Training can be define in many ways. According to
Margaret Watson, training is an investment in people. Its objective is to
increase staff competence and develop staff potential, and, thereby to improve
organisational performance. It is as important to an organisation as sound
capital investment and deserves equally careful attention (Margaret Watson,
1994).
Besides that, according to Aaron W. Hughey and
Kenneth J Mussnug, training entails personal involvement, commitment and experimental
gains that the aim to provide employee with proficiency in the execution of
task (Aaron W. Hughey & Kenneth J Mussnug, 1997). This is mean that by
having training to the employee, they will have more knowledge in their work
area.
How to measure
effectiveness
According to Margaret Watson, the
way to determine the effectiveness of record management training programme by
measuring the time of retrieval of record. If the staff be able to retrieve the
record faster than before, that is mean that the training programme succeed.
Moreover, the way to measure the effectiveness in record management context is
by looking at the productivity of the organization which could mean less
unnecessary record being created in the first place. (Margaret Watson, 1994).
Expenses or investment
of public agencies in employee training programme
Training should be ongoing.
According to Margaret Watson, all organisation will require the training be
cost effective, so the input cost of the training need to be calculated. For
example cost of staff time and resources. These cost should be then assessed
against increase efficiency and productivity. (Margaret Watson, 1994)
According to Steve Denby, training
can be extremely powerful and cost effective investment by an organisation but
only if it implemented to match and complement the business needs and
objective. This is mean that before training been doing, there must have clear
view of what the organisations training need. In some cases, there are
organisation have wasting the valuable training budget because they do not know
how to identify what their internal needs are hence cannot design the most
suitable training. (Steve Denby, 2010)
The
expenses or investment of public agencies in employee training programme must
be worth it with what has be invest. It is always a good idea to list and
describe the resources such as the financial that will be needed to
successfully accomplish training goals and objectives (Aaron W. Hughey &
Kenneth J Mussnug, 1997).
The training plan of
the Records Management in the Employees’ Training Programme
Training
program was well-designed built-in reinforcement. It is not necessary to
reinforce learning if the skills and competencies that are emphasized during
training actually help workers in the performance of duties and
responsibilities. For example in this group is able to use what they have
learned. External reinforcement only be necessary if the skills acquired not
play an important role in improving the work done. Employee training program
will bring out the successful result from careful planning and serious
interest. The majority must be given the attention to detail and the desired
result. Training requires a lot of commitment, time consuming, requires
relentless, and support. Dedication is required to conduct training good
employees is huge but so are the potential rewards (Aaron
W. Hughey & Kenneth J Mussnug, 1997).
Role of the Department
of Human Resources in Implementing the Effectiveness Employees’ Training
According to Aaron W. Hughey and
Kenneth J Mussnug in implementing the effectiveness employees’ training, the
department of Human Resources should involve tangible, hands on skills and observable
behaviours (Aaron W. Hughey & Kenneth J Mussnug, 1997). Moreover, they have
stated that to keep training objectives focus on skills and competences,
attitudinal changes will occur spontaneously with time. In implementing the
effectiveness employees’ training, the training should be about more than
simply teaching staff new skills or guiding them on how to do things better
(Steve Denby, 2010).
Training and development are the
process of investing in people so that they are equipped to perform well. Human
resource management has emerged as a major function in most organizations and
is the focus for a wide ranging debate concerning the nature of the
contemporary employment relationship (Asfaw, A.M., Argaw, M.D. and Bayissa, L.,
2015). Therefore, the human resource have very important role in ensure the
training program be conducted.
Human resources particularly in public agencies play an important role towards implementing effective training program. According to the article written by Aaron W.Hughey and Kenneth J.Mussnug (1997 ), said that many companies often entrust their training initiatives to managers who do not have the expertise or background does not have a formal education in the field of employee training. Management suddenly realized training needs or informed of their needs with corporate headquarters and a representative of accountability to implement a training program for someone in human resources or related departments.
REFERENCES
Aaron W. Hughey Kenneth J. Mussnug, (1997),"Designing
effective employee training programmes",
Training for Quality, Vol. 5 Iss 2 pp. 52 - 57
Permanent link to
this document:
Asfaw, A.M., Argaw, M.D. and Bayissa, L. (2015) The Impact of
Training and Development on Employee
Performance and Effectiveness: A Case Study of District Five Administration Office, Bole Sub-City,
Addis Ababa, Ethiopia. Journal of Human Resource
and Sustainability Studies, 3, 188-202. http://dx.doi.org/10.4236/jhrss.2015.34025
Khalil M. Dirani, (2012),"Professional training as a strategy
for staff development", European
Journal of Training and Development, Vol. 36 Iss 2/3 pp. 158 - 178
Permanent link to
this document:
http://dx.doi.org/10.1108/03090591211204698
Instrument, Validity, Reliability. (2009). Retrieved May 23, 2016, from https://researchrundowns.com/quantitative-methods/instrument-validity-reliability/
Margaret Pember, (1998),"The rise of the ‘new age’ records
management professional: records
management education and training in Australia", Records Management Journal, Vol. 8 Iss 3 pp. 63 - 75
Permanent link to
this document:
MARGARET WATSON, (1994),"Records management: a user's
perspective", Records Management
Journal, Vol. 4 Iss 2 pp. 85 - 94
Permanent link to
this document:
http://dx.doi.org/10.1108/eb045672
Peter Mazikana, (1998),"Records management training in
sub-Saharan Africa", Records Management
Journal, Vol. 8 Iss 3 pp. 77 - 83
Permanent link to
this document:
Steve Denby, (2010),"The importance of training needs
analysis", Industrial and Commercial Training,
Vol. 42 Iss 3 pp. 147 - 150
Permanent link to
this document:
Trudi Wright, (2013),"Information culture in a government
organization", Records Management
Journal, Vol. 23 Iss 1 pp. 14 - 36
Permanent link to
this document:
BUSINESS RECORDS MANAGEMENT PROCESS
BUSINESS RECORDS MANAGEMENT PROCESS
Nurul Hafiza Adnan
Faculty of Information Management,
Universiti Teknologi Mara,
Selangor, Malaysia
Abstract
Records
are the backbone of organisations. Without them, organisations cannot function. An
organisation relies on the records and information it creates to ensure for
the smooth running of business activities and for knowledge and monitoring
them. Records Management is the control of your business records from their
creation to their disposition. The
process of managing records systematically include capture the record,
registration, classification, access and security classification,
identification of disposition status, storage, use and tracking and
implementation of disposition.
Keyword : Records management, Business records, Private sectors
Introduction
Records management was applied to
many organizations since long time ago. It is a
professional discipline that applies
systematic and efficient
controls to the recorded information in organization of records through the
stages of their life
cycle. The process of managing records systematically include capture the
record, registration, classification, access and security classification,
identification of disposition status, storage, use and tracking and
implementation of disposition. According
to Sari and Pekka (2011) and ISO (2001), records are information created,
received, and maintained as evidence and information by an organization or
person, in pursuance of legal obligations or in the transaction of business.
Meanwhile records
management is the field of management responsible for the efficient and
systematic control of the creation, receipt, maintenance, use and disposition
of records, including the processes for capturing and maintaining evidence of
and information about business activities and transactions in the form of
records. (Sari and Pekka, 2011)
According to Aliza and Jamal
(2009), records are controlled from their creation to their ultimate
disposition. However, according to Desilva Nishan and Vednere Ganesh (2008), records
management has traditionally been considered a support function within legal
and compliance departments. They also indicated that records management is not
just about long term storage, but rather end to end management of company
records from creation, use and storage, to final disposition. It means that
good practicing of records management in an organization will ensure the
quality of the record itself which they are needed when making right decisions
and what actions to take. In compared with Martine (2006), she said that
records management cannot be assumed to be the same as “document” but it
implies the idea of selection, that is those documents produced or received by
an individual or organization in the context of their professional
responsibilities and whose capture and preservation, in the context of its
creation, are necessary for the smooth running of business activities and for
knowledge and monitoring them.
Records Management Process
Records
management process is the core components of a records management program. It
is a process of managing records systematically which includes capture the
record, registration, classification, access and security classification,
identification of disposition status, storage, use and tracking and
implementation of disposition. According to
John (2010), in order to provide a corporate perspective to the management of
documents, records managers have developed tools such as the subject file
classification system and the retention and disposal schedule. In order to
follow this process, records management team must work with each department in
company to know what are the records they kept and the function of each
records.
Capturing the data
In order to manage the records we need to capture the
data of the records itself. Capture means the process of determining that a
record should be made and kept. Capturing data also ensure that their content,
structure and context of creation are fixed in time and space. It includes both
records creation and received by the organization such as correspondence and
memos. According to Good Record Management Practice, (2011), an organization
should determine which documents created or received during business processes
should be captured as records into a recordkeeping system, and how long they
should be maintained within the system, based on an analysis of the legal and
regulatory environment, business and accountability requirements and the risk
of not capturing or retaining the records.
In business management, it also involves deciding
which documents are captured, which in turn implies decisions about who may
have access to those documents and generally how long they are to be retained.
According to John, (2010), decisions about which documents should be captured
and which are not needed are based on an analysis of the organizations’
business and accountability. The purpose of capturing a record into a
recordkeeping system is to establish a relationship between the record, the
creator and the business context that originated it, and to link it to other
records. The captured records should be complete, and contain the content,
structure and contextual information which are necessary to document an
official activity or transaction as evidence of business.
(Good Record
Management Practice, 2011)
Registration
After
capturing the document, the documents need to be registered. Its purpose is to
provide evidence that a record has been created or captured in a records
system. It involves recording brief descriptive information about the record in
a register, and assigning the record a unique identifier. According to
Guidelines and Functional Requirements for Electronic Records Management
Systems, (2008), to verify their existence within the system, every record and
associated aggregation must have a unique identifier persistently linked to it.
This allows the user to locate records and helps them to distinguish between
versions. Registration specifies metadata and unique identifier assigned from
the system such as document name or title, text description or abstract the
date and time of registration, title or abbreviated description or the author
of the records.
Classification
Classification is an essential tool in records
management. It is used to provide links between records that originate from the
same activity or from related activities; to determine where a record should be
placed in a larger aggregation of records; to assist users in retrieving and
interpreting records; and to assign and control retention periods, access
rights and security markings (Schellenberg, 1975; Smith, 2007 ; Pekka and
Kimmo, 2011). Seitsonen (2009) examines the relationship between organizational
structure and functional classification in her master’s thesis.
There are many type of classification exist. Example
of them is hierarchical classification, functional classification and subject
classification system. One of the oldest classification systems known to exist
was a subject classification system. Today, classification schemes are usually
functional and based on what an organization does. Since the 1990s functional
classification has been strongly promoted. (Johanna, 2012) As stated in Good Record Management Practice,
(2011), a records classification scheme includes a coding system expressed in
symbols (e.g. alphabetical, numerical or alpha-numerical) to show the logical
relationship amongst the records. A records classification scheme should allow
modifications such as addition of new records series/groups to cater for
changing circumstances.
Many organizations maintain standard record series and type.
Classifying records into series and types results in a hierarchy of the records
within the organizations and serve as a template to store them in the
appropriate folders and sub folders in the records repository. It also provides
improved access, retrieval and dissemination of its records as appropriate. The structure of a classification system is usually
hierarchical and reflects the analytical process as follows.
·
The first level
usually reflects the business function
·
The second level
is based on the activities constituting the function
·
The third and
subsequent levels are further refinements of the activities or groups of
transactions that take place within each activity
Access and security
According to Guidelines and Functional Requirements
for Electronic Records Management Systems, (2008),
organizations need to control access to their records.
Typically, access to records and aggregations is limited to specific users
and/or user groups. In addition to controlling access by user and user groups,
some agencies will need to limit access further by using security
classifications. An
organization should ensure that timely access to records is provided to
authorized users or staff for conducting business. On the other hand, to
provide sensitive information with adequate protection, records should be
classified according to their level of sensitivity at a particular time. An
organization should also lay down guidelines on the protection, processing and
transmission of classified records.
. Good practices (Good Record Management Practice, 2011)
·
Records should
be kept in a recordkeeping system with systematic indexes and classification to
facilitate their easy retrieval.
·
Access to personal data - An organization
should refer to the Personal Data (Privacy) Ordinance for arranging access to
personal data held by them.
Identification of disposition status
According to
John (2010); Susan (2010), the identification of disposition
status usually can be done before records created, before records keeping
system are designed, before disposal and when required. The process requires
reference to a disposition authority of a more or less formal nature depending
on the size and nature of the organization and its accountabilities.
A records retention and disposition schedule is a management tool used to
prescribe the time to retire records to inactive status and eventually the time
to destroy or dispose of the records. Every record series on a schedule
must be evaluated for its purpose and value before a retention period is assigned. The scheduling process is
ongoing and involves close cooperation between department personnel,
Departmental Records Officers, and the Records Management Analysts in an organization. Evaluation
for retention periods is bases on statutory or
regulatory requirements, audit
requirements, and practical need or
value. (John, 2010)
Storage
According to Aliza and Jamal (2009), records must be
stored in such a way that they are both sufficiently accessible and are
safeguarded against environmental damage. In addition, for electronic records,
storage management is about file format and storage medium. The format adopted
should be accessible for the years to come and the selection of storage medium
should be the choice of mainstream media that comply with industry standards.
Meanwhile in Good Record Management Practice (2011), stated that records should
be stored in such a manner so as to facilitate user access and ensure that they
are protected from unauthorized access, use, disclosure, removal,
deterioration, loss or destruction. An organization should lay down guidelines
on the storage of records including sensitive or classified records.
For records in paper form, organizations should note
that paper deteriorates rapidly in an environment of high temperature and
humidity. Furthermore, mould growth on paper can be a health hazard to staff.
For storage of electronic records, the selection of
storage media (e.g. optical disc and tape), storage system, storage environment
and handling procedures should be based on records management and business
considerations, e.g. volume and growth rate of records, records security needs,
retrieval requirements and preservation needs. (Good Record Management Practice, 2011)
Use and tracking
Location
can refer to the physical location for hybrid records or the location within a
classification structure or file structure for electronic records. Movement
refers to changing the location of both electronic and physical records. An
organization should decide the type of information that needs to be maintained
to facilitate tracking of records, and to adopt means to track the whereabouts
and movement of records.
In a
recordkeeping system, tracking of the movement and use of records is required
to : Good Record Management Practice, (2011)
·
identify
outstanding action required;
·
enable retrieval
of records;.
·
prevent loss or
missing of records;
·
monitor usage
for recordkeeping system maintenance and security (e.g. growth of records,
disposal of records); and
·
identify the
operational origin of individual records where the recordkeeping systems have
been amalgamated or migrated.
To minimize
the risk of losing records during bulk relocation of files, it is necessary for
an organization to make appropriate arrangements to ensure that the relocation
process is properly supervised and conducted. For reference, government B/Ds
are required to put in place such arrangements as designating an officer not
below the rank of Executive Officer II or equivalent to oversee the task;
taking stock before the relocation exercise; conducting a file inventory check
after relocation; documenting the inventory check; and updating the new storage
location immediately afterwards.
Record
information about movements including:
·
unique
identifier of the aggregation or record;
·
current location
as well as a user-defined number of previous locations (locations should be
user-defined);
·
date item
sent/moved from location;
·
date item received at location (for
transfers); and
·
user responsible
for the move (where appropriate).
Implementation of disposition
According to Smith (2007); Susan (2010), disposition is the action taken
with regards to records as a consequence of their appraisal and the expiration
of their retention period. The
implementation of disposition will be effective and successful if the
organization could refer to the records retention, records inventory and
destruction schedule of the organization. The implementation of disposition is
based on the preservation, destruction and transfer of custody or ownership
records. Records can be disposed of only upon authorization.
This is true for all records, whether stored in the department or in the State
Records Center. Furthermore, only scheduled records can be destroyed. (Good
Record Management Practice, 2011)
According to Guidelines and Functional Requirements for Electronic Records
Management Systems, (2008), disposition authorities are policies that authorize
the disposal of records, whether by destruction, transfer of control or
applying a review period. Disposition/disposal authorities consist of disposal
actions and retention periods for aggregations of records that may have a
legislative or organizational use or requirement source. Organizations should
review disposal actions when the relevant retention periods have expired.
Conclusion
Companies that have developed to a
certain scale
of operation need to establish records management
that is adapted to a long-term development framework. Records management is the the whole range of activities which an organization
should perform to properly manage its records. The key
activities in records management include
setting records management policy, assigning responsibilities, establishing and
promulgating procedures and guidelines, as well as designing, implementing and
administering recordkeeping
systems. The whole process of
managing records systematically need to perform include capture the record,
registration, classification, access and security classification, identification
of disposition status, storage, use and tracking and implementation of
disposition. When
followed this process, it an improved
access, retrieval and dissemination of its records as appropriate.
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