FRAME - Article Page 02

IMR 652

MANAGEMENT OF BUSINESS
RECORDS

NOVEMBER 2019 

MANAGEMENT OF NOV 2019
BUSINESS RECORD

RECORDS MANAGEMENT
PROCESS IN BUSINESS
ORGANIZATIONS
Travel Story

Record management is
important especially in business agency and organization because it contains

the main process and activities report. Business records are business
information that contains the transaction between two or more parties in the
form of electronic and paper documents that are kept for evidence and future

references.).

According to Umi (2009), the information According ISO15489
that contains in
business records in the organization (2001), the process of managing
usually depend on information to develop records systematically include
products and services, protect property i. Capture
rights, make critical strategic ii. Registration
decisions, proper marketing, process iii.
transactions, service customers, manage Classification
projects and generate revenue. iv. Access and
Meanwhile, based on Vednere (2007), security classification
business v. Identification
records like other resources are strategic of disposition status
and operational assets, and he vi. Storage
quotes that effective record vii. Use and
management in the organization will tracking
ease all the viii. Implementation of disposition
process in their business activities..

REGISTRATION CAPTURE

I. ts purpose is to provide evidence that a record i. The process of determining
has been created or captured in a records that a record should be made
system. and kept.

ii. It involves recording brief descriptive ii. This includes both records
information about the record in a register, and creation and received by the
assigning the record a unique identifier. organization such as
correspondence and memos.
III. Registration specifies the following metadata
as a minimum. A unique identifier assigned from iii. It involves deciding which
the system such as: documents are captured, which
in turn implies decisions about
document name or title, who may have access to those
text description or abstract, documents and generally how
date of creation, long they are to be retained.
date and time of communication and
receipt,author (with his/her affiliation), iv. Decision about which
sender (with his/her affiliation),recipient (with documents should be captured
his/her affiliation), and which are not needed are
classification according to the classification based on an analysis of the
scheme, organizations’ business and
business system from which the records was accountability.
captured,

I NEVER THOUGHT I'D SEE OUR HOME iii. Classification system provide an organization
LIKE THIS. IT WAS MAJESTIC, AND with a tool to :
INDEED, NATURE IS INCREDIBLE.
organize, describe and link its records
CLASSIFICATION link and share interdisciplinary records, either
internally or externally to the organization
i. Classification system that related to business provide improved access, retrieval and
functions may provide a systematic framework for dissemination of its records as appropriate.iv.
records management. The structure of a classification system is
usually hierarchical and reflects the analytical
ii. Analysis for the purpose of developing the business process as follows.
activity classification identifies all of an organization’s The first level usually reflects the business
activities and locates them in the framework of its function
stated or mandated mission or purposes. 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.

INDEXING is a mental process of determining the filing
segment by which record is to be stored in
Is a mental process of determining the filing an order that follows a particular system:
segment by which record is to be stored in an
order that follows a particular system: a) Indexing name for filing purposes
Select the filing segment - complete
a) Indexing name for filing purposes name, subject, number or location
Select the filing segment - complete name,
subject, number or location b) Divide the filing segment into filing units
part of the filing segment and may be a
b) Divide the filing segment into filing units word, a letter, a number or any
part of the filing segment and may be a combination of these
word, a letter, a number or any combination
of these c) Determine the order of filing units
filing unit considered first in a filing
c) Determine the order of filing units segment is called the key unit
filing unit considered first in a filing segment
is called the key unit d) Indexing rule for business name
follow ARMA (The Association of
d) Indexing rule for business name follow ARMA Records Managers and Administrators)
(The Association of Records Managers and Simplified Alphabetic Rules
Administrators) Simplified Alphabetic Rules

Access And Security Reasonable security and access will
Classification depend on both the nature and size of the
organization as well as the content and
Access to records may be restricted to value of the information requiring security.
protect:
Reasonable security can be described as the
a. personal information and privacy level of security needed to protect the
b. intellectual property rights and information from any unauthorized access,
commercial confidentiality collection, use, disclosure, deletion,
c. security of property (physical, financial) alteration or destruction
d. state security
e. legal and other professional privileges. “Access classification’ apply to people, both
vii. Assigning rights or restrictions to access those who are responsible for managing the
involves similar steps to activity access-classified records and others with right to
classification:- access.
a. Identify the transaction or business Level of Access – Example: in court environment
activity that the record documents a) Level 1 - For court users (e.g., clerk’s office
b. Identify the business unit to which the staff) who individually have different privileges on
records belong. the system but collectively can enter data and
c. Check the access and security records, access most data and records, and
classifications to establish whether the change some data and records. The system, data
activity and the business area are identified and records must be protected from unauthorized
as areas of risk, or have security access.
considerations and/or legally required b) Level 2 - For official users outside the court
restrictions. who frequently submit filings and need
information from the system (e.g., attorneys of
record), there must be protection from access to
unauthorized sections of the system, from
submission of incorrect data and records, and
from direct entry of data and records (i.e., only
Level 1, users would be permitted to enter data
and records directly into the system).
c) Level 3 - For unofficial users (e.g., the public),
there must be protection from any access that
goes beyond viewing limited sections of the
system’s data and records.

IDENTIFICATION OF DISPOSITION STATUS

The identification of disposition status usually can be done before
records created, before records keeping system are designed,
before disposal and when required.

ii. 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.

iii. The disposition authorities may prescribe permanent
preservation, either within the organization or in a separate
archives institutions such as National Archives of Malaysia. It
involves the following steps:

a. Identifying the transaction or business activity documented by
the records

b. Locating the transaction and records in the appropriate
records class in the disposition authority.
c. Allocating the relevant retention period and identifying the
anticipated disposition action.

STORAGE  Cost of Supplies Storage and Equipment

Appropriate storage conditions ensure that In determining the costs, keep in mind the
records are protected, accessible and
managed in a cost- effective manner. following points:
The 3 basic factors for selecting storage supplies and
facilities are as follows: o Cost of the personnel needed to work with the
a. Need for storage supplies and equipment
The kinds of records to be filed and controlled records.
The frequency of use for each kind of record during the
day o Compatibility of supplies and equipment.
The number of people working at the files at one time
b. Facility Consideration. The facility needs to consider o Advisability of using local vendors rather than
the following factors:
Location - The location should be easily accessed and purchasing from out-of-town vendors.
should not be areas of known external risks.
Building Structure - The building structure should o Possibility of discounts for quantity purchases.
provide the suitable range and stability of temperature
and humidity level protection, protection against water o Feasibility of choosing used rather than new
damage, protection from contaminants, safety
measures, controlled access to storage areas, equipment.
detection systems for unauthorized entry & protection
against damage caused by insects or vermin. o Volume of records that can be stored within the
equipment. Lateral, shelf, or rotary equipment can
house more square feet of records than can
conventional drawer file cabinets in the same square
footage of floor space.

“If there's a book that you
want to read, but it hasn't been
written yet, then you must
write it.”

MOVING
MOUNTAINS

A LIFE CHANGING EXPERIENCE
AS TOLD BY ANDREW SIMMONS

USE AND TRACKING

i. Use of the records is a records management transaction that
may need to be captured by the system to form part of the
metadata.
ii. Records used include providing record users with search,
retrieval and display tools and enforcing record access and
security transaction.

iii. Use of the record may affect its access and disposition
status.

iv. Managing the use of records encompasses the following:-
a. Identify the records system user permissions related with
individuals and their positions with the organization
b. Identify the access and security status of records
c. Identify the access rights for people external to the
organization

v. Tracking of records
a. The tracking of records usage within records systems is a
security measure for organizations.
b. It ensures that only those users with appropriate permissions
are performing records tasks for which that have been
authorized.
c. Tracking systems have to meet the test of locating any record
within an appropriate time period and ensuring that all
movements are traceable.

1.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.

a. Records retention – established policy and procedure for
determining what records to keep, where to keep them and how
long to keep them.

b. Records inventory – survey conducted to find the types and
volume of filed records, their location and frequency of use.

c. Records retention and destruction schedule – established
timetable for maintaining records, transferring semi active and
inactive records to storage and destroying records with short term
value.

IMPLEMENTATION 2. The implementation of disposition is based on the three steps below:
OF DISPOSITION -

a. Preservation
is an action taken to retard or prevent deterioration or damage to
records or documents by control of their environment and treatment
(National Archive of Malaysia)
Preservation strategies can include copying, conversion and
migration of records.

Disposition is the 3. Destruction
action taken with Methods of Destruction includes the following:
regards to records Landfill
as a consequence Incineration / Burning
of their appraisal Shredding
and the expiration
of their retention 4. Transfer of custody or ownership records
period.
Such a transfer of ownership or custody of recordSshteollaynWothhieter

organization may include: Music Teacher

a) Transfer to other organizations with responsibilities for the

records,

b) Transfer to outsourced or contractor organizations,

c) Transfer to a storage facility

If the electronic records are transferred, such issues as the following
need to be considered:
a) Hardware and software compatibility;
b) Metadata (control and contextual information);
c) Data documentation (technical information on data processing
and data structure);