Intan Shahira binti Mohd Nazri
Faculty of Information Management, Universiti Teknologi Mara,
Selangor, Malaysia
ABSTRACT
The purpose of this paper is to describe the process
of record management in business. Records are very important that everywhere is
need it. Records can be the evidence of business activities and transactions. So
that, there is records keeping in every organizations because if there is no
records the organisations cannot be function properly. Every organisation are relies
on the records and information created to ensure for the business activities are
running smoothly without having problem because the records can be referred and
at the same time can monitor them to solve any problems. Records management is
the process of controlling the recorded information of organizations which is
include creation, distribution, use, maintenance, and disposition. There are
several processes of managing records in systematic ways such as capture the
record, registration, classification, access and security classification,
identification of disposition status, storage, use and tracking and
implementation of disposition. The process may also incorporate policies and
practices on how to create and approve records, as well as the enforcement of
those policies and practices.
Keywords:
Records management, Business records.
1.0 Introduction
Records management is not a new thing but had been used and practiced since
long time ago to the organization to maintain the records. Records management
is the effective and systematic control of an organization’s records, through
the entire life cycle from creation process to the final disposition of the
records. The main purpose of records management is it can protect and controls
the valuable records that have an evidence of organization’s activities such as
legal, fiscal, administrative or historical value and the records also can be accessible
while at the same time, the records that have no value will be destroyed follow
with life cycle processes.
An organizational record is any documents
that contains information about a transaction, activity, or event related to
the organization. There are many records that have been create every day in any
organization because there is always new information or data related to the
organizations activities, transaction or others. So that, the records
management is so important and need to be applied to the organizations to avoid
records missing, inaccessible and lack to the pubic because some of the records
have their secret values that can be access by certain people. According the
Archives and Records Management Section, all records regardless of their
format, should be filed or organised so that related ones are linked in some
way and can be retrieved when required. (ARMS, 2010)
The process of managing records in systematically
are involve 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),
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). This is 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.
2.0 Records
Management Process
Records management process is the main
point in managing records. 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 Susan, professional theory
concerning capture and registration collided with the reality that the courts
in some countries accept as records what records managers might refer to as documents.
The Standard represents a workable compromise in setting out the characteristics
that records and records systems should possess without overtly contradicting
national legal systems. So, records are defined as “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”.
(Susan, 2010)
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. So that, records management team must work with each
department in company to know what type of records that have been kept and the
function of each records. (John, 2010)
2.1 Capturing the
records
The first step to manage the records is to
capture the records. Capture means the process of determining that a record
should be made and kept. Besides that, it also involves deciding which
documents are captured in business management, 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.
In addition, the intent of capturing
records into a recordkeeping system is to establish a relationship between the
record, creator and business context, place the record and its relationship
within a recordkeeping system and link the record to other records. (State
Records of South Australia, 2013)
The process of capturing records into a
recordkeeping system includes:
·
Registration,
which provides evidence of the records’ existence
·
Classification and
indexing, which allow appropriate linking, grouping, naming, security, user
permissions and retrieval, disposition and identifying vital records
·
Arrangement in a
logical structure and sequence, whether a physical file or an electronic
directory, which facilitates subsequent use and reference.
2.2 Registration
of records
After capturing the records or documents, it need to be registered. The 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.
2.3 Classifying
the records
The Australian Standard for Records
Management, AS ISO 15489, defines classification as the “systematic
identification and arrangement of business activities and/or records into
categories according to logically structured conventions, methods, and
procedural rules represented in a classification system.”
A classification system is the set of
terms and conventions applied in a particular organisational setting to
classify, title and retrieve records and other business information. It
controls the vocabulary used, generating consistency in the description of
information produced by business activities and improving retrieval of that
information. The capabilities of classification tools for records management
can be extended to assist sentencing and disposal.
There are many type of classification
which is hierarchical classification, functional classification and subject
classification system. According to Good Record Management Practice (2011), a
records classification scheme includes a coding system expressed in symbols
such as alphabetical, numerical or alpha-numerical. This is because, 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.
Records are grouped together for the following
reasons:
·
To keep documents
of a similar theme together
·
To make it easier
to find the information we are looking for
·
To provide a
context for individual documents and records
·
To identify the
ownership or management responsibility for a group of records
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 which is, the first
level usually reflects the business function, the second level is based on the
activities constituting the function and lastly the third levels are further
refinements of the activities or groups of transactions that take place within
each activity
2.4 Access the
records
Organizations need to control access of
their records. According to The National Archives, access controls determine
who can access/capture records and access/create new folders. The allocation of
access controls allows an organisation to delegate responsibility for records
and folders to their creators and managers. This accountability helps to ensure
that records remain authentic and reliable, retaining their integrity and
usability.
In addition, using these basic controls an
organisation can begin to form access controls across the filing structure.
These can be used to keep as much information as open as possible and
appropriate, whilst also ensuring sensitive information is kept secure. An
organization should ensure that timely access to records is provided to
authorized users or staff for conducting business.
Access controls help control how and where
information is created and accessed. Such controls can help to: restrict the
number of users who can change or edit records and folders reduce the number of
users who could inappropriately delete, alter, or relocate sensitive
information identify and allocate responsibility for records and folders within
sensitive areas of the filing structure. (The National Archives, 2010)
2.5 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 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)
2.6 Records storage
According to Good Record Management
Practice (2011), stated that records should be stored in such a manner 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.
Besides that, 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. (Aliza
and Jamal, 2009)
For records in paper form, organizations
should note that paper deteriorates rapidly in an environment of high
temperature and humidity. Moreover, mould growth on paper could affected the
staff’s health. For storage of electronic records, the selection of storage
media, 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)
The organization should practice the right
ways to store the records and at the same time maintaining the physical of
documents such as:
·
Paper records
should be stored in a clean and dry environment (e.g. not near unblocked
window, under/near water/sewage pipe, water drain, manhole, water permeable
wall or ceiling, water tank), and in proper facilities (e.g. filing cabinets
and filing racks) instead of stacking them on the floor.
·
An organization
should also arrange inspection regularly and after events such as typhoon or
rainstorm.
·
For paper records
which have long-term (e.g. 30 years or over) value, they are recommended to be
stored in a clean environment with round-the-clock control of temperature and
relative humidity (RH) at 20°C +/- 2°C and RH 50% +/- 5% respectively to ensure
their preservation over time.
2.7 Tracking the
records
According to David (2005), records
tracking is the component of a records management system that ensures that you
can locate records when you need to use them. Accurate recording and knowledge
of the whereabouts of all paper records is essential if the information they
contain is to be located quickly and efficiently. One of the main causes of
lost records is that their next destination is not recorded anywhere. We need
records tracking to keep track of the records we hold so that they can be
located and managed effectively, and so that we can respond to freedom of
information or data protection requests within the statutory deadlines.
As stated in Good Record Management
Practice (2011), in a recordkeeping system, tracking of the movement and use of
records is required to:
·
Identify
outstanding action required
·
Enable retrieval
of records
·
Prevent loss or
missing of records
·
Monitor usage for
recordkeeping system maintenance and security
·
Identify the
operational origin of individual records where the recordkeeping systems have
been amalgamated or migrated.
2.8 Implementation
of disposition
Disposal management is the formalised
process of assessing records to determine how long they should be retained and
how they should be removed from the file system. The removal should be based on
the established disposal schedules and follow an agreed process for either
destruction or transfer. The disposal process should include appraisal of
records to understand their current context and content to decide whether they
can be removed from the file system. This is important as some records, while
due for disposal under an allocated disposal schedule must be kept for another
purpose such as a legal investigation. (The National Archives, 2010)
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 Government Records Service
(2011), an organization should initiate regular disposal of records in
accordance with approved records retention and disposal schedules. To safeguard
against premature disposal of records and destruction of records having
archival value, disposal of records should be properly authorized in advance by
a sufficiently senior staff in the organization. Specifically, the responsible
staff of the organization should ensure:
·
The retention and
disposal requirements specified in the respective disposal schedules, and any
governing legislation have been complied with; and
·
There is no
outstanding actions on any of the records.
3.0 Conclusion
To
conclude, every organization should have managing their records systematically
so it could be maintaining for a long time and avoid the records missing,
inaccessible and others. This is because, records management is the activities that
any organization should applied in order manage their important records
properly. The key activities in records management include setting records
management policy, assigning responsibilities, establishing procedures and
guidelines, also designing and implementing recordkeeping systems. The process
in managing business records are include capture the record, registration,
classification, access and security classification, identification of
disposition status, storage, use and tracking and implementation of
disposition. After the process are followed, it will improve the records
management in proper ways and the records can be accesses or retrieve and keep
in for a long time in the organizations.
References
Archives and
Records Management Section. (2010). Recordkeeping Toolkit for Peacekeeping and Political Operations: Records creation and capture.
Government records service. (2011). Good Records
Management Practices.
Healy, S. (2010) "ISO 15489 Records Management:
its development and significance", Records
Management Journal, Vol. 20 Issue: 1, pp.96-103, doi: 10.1108/09565691011039861
Mäkinen, S., Henttonen, P. (2011),"Motivations
for records management in mobile
work", Records Management
Journal, Vol. 21 Iss 3 pp. 188 – 204
McDonald, J. (2010),"Records management and
data management: closing the gap", Records
Management Journal, Vol. 20 Iss 1 pp. 53 – 60
Records Management Manual for the State of Hawaii,
Department of Accounting and General
Services, State Archives Division, 1988, Honolulu, HI.
State Records of South Australia. (2013). Adequate Records
Management - Creation, Capture &
Control.
The National Archives. (2010). Managing digital records
without an electronic record management
system.
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