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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