2

RECOGNIZING RECORDS AS
A STRATEGIC RESOURCES

Chapter Overview

Recognizing Records as a Strategic Resources

Records Keeping and Accountability

Governance Objectives and Key
Records Require
Roles of Records
The Collapse of Records Keping
System
Why a Records Neglected?
Computerization in Records Keeping

Chapter 2

Managing Records in Organization

IMR451

LEARNING OBJECTIVES:
After studying this chapter, you should be able to:
1.

Identify the key records required for attain the governance

objectives and also recognize the roles of good records
management to the organization

2.

Analysis the sysmtoms that occur if records management is badly

practices and why it happen.

3.

Evaluate the component, advantages and disadvantages of

cumputerization in the records management.

4.

In the chapter 1, you been introduced of the components of records management, basic
concepts and prnciples that used in managing record and archives which including the
important concpets that records should be managed according to respect des fons concept.
In the means time, records also should follow a life cycle and should be care of records
continously of records life in

order to make sure records be preserved and accessible

forever. All this principles be implemented for make sure record keeping be managed
effieciency and economically.

Within this chapter, we going to examines the important of having good records management
program in order to show the accountability of records towards goverment and other private
organization. This chapter will discuss about the reasons for the changing perception about
records whereas away from traditional methods toward an orientation that recognises the
importance of records as evidence. Beside that, one of the most important issues been
discuss is changes is the introduction of computerization and the consequent emergence of
greater quantities of electronic records. Finally, this chapter emphasizes the need to consider
records as a strategic resource and strengthen the relationship between records and
archives management into a unified and integrated whole.

22

Managing Records in Organization

Managing Records in Organization

IMR451

Chapter
2

Record keeping is a fundamental activity for all organization around the world especially to
the public administration. Without good records management there can be no rule of law
and no accountability to the action. Records provide a reliable, legally verifiable source of
evidence of decisions and actions. They document compliance or non-compliance with laws,
rules, and procedures. Public servants must have information to carry out their work, and
records represent a particular and crucial source of information.
Records are vital to almost every aspect of the governance process.

The relationship

between key governance objectives and the records required to support them is demonstrate
in Figure 1.

The effectiveness and efficiency of the public service across the range of

government functions depends upon the availability of and access to information held in
records. Badly managed records adversely affect the broad scope of public service reforms.

23

Managing Records in Organization

Chapter 2

Managing Records in Organization

IMR451

Governance Objective

Key Records Required

a) rule of law

legislative records
court records
police records
prisons records

b) accountability

accounting records
procurement records
tax records
customs records
electoral registers
policy files
case files

c) management of state resources

budget papers
policy files
accounting records
personnel records
payroll records
procurement records
fixed assets registers
property registers

d) protection of entitlements

pension records
social security records
land registration records
birth/death records

e) services for citizens

hospital records
school records
environmental monitoring records

f)

treaties
correspondence with national and
international bodies
loan agreements

foreign relations and

international obligations

Figure 1: Governance Objectives and Records

Refer to the figure before, records play important resources in single source of reference to
ensure that the power of that organization can be trusted and does not doubt the inaccurate
information. Every single governance objective will be prepared to the records required to
them.

24

Managing Records in Organization

Managing Records in Organization

IMR451

Chapter
2

In identifying records as strategic resources, it is necessary to the organization to recognize

the roles of records to their business transaction or evidence. Besides that, individual also
must have known the roles of records in their life.
2.2.1 Human Rights

The good records management show the ability of the governance in safeguarding
and protect the rights of its citizens in order to improved the citizen in order to improve
citizen-goverment interaction. Govermnet should have the quality of the policies,
standard and practices employed for taking care of those records. For example,
records that relate with the human right is such identity card, birth certificate, land
ownerships and etc. All of these records is very important to the public in which of
their life.

2.2.2 Governance and Accountability

Governments are being asked to be transparent, open and engaged with their
citizens.

And citizens are becoming more concerned about their roles in the

governance of the country. They want to be able to trust in their government and
they expect their government to function in a manner that engenders this sense of
trust.

Records and the evidence they contain are the instruments by which

governments can promote a climate of trust and demonstrate an overall commitment

to good government.

Similarly, accountability is critical to a responsible government. The foundation for

accountability is based on records.

When managed in a way that ensures their

integrity and authenticity through time, records allow employees to account to their
managers, permit managers to account to the heads of government institutions and
help the heads to account to elected officials and others who represent the interests
of society. Without records there can be no accountability framework, and without an
accountability framework there can be no responsible government.

25

Managing Records in Organization

Chapter 2

Managing Records in Organization

IMR451

2.2.3 Infrastructure and Sustainability

In go through mainstream, government should take the initiative to develop delivery

system for every government agency in ensuring objective and country's vision can
be achived. However, government need to ensure this way handled where put a
standards and practices that can be made as guideline especially for delivery
system's that emergence electronic commerce and service by online. In the other
hand, governments or organization had ensure the authenticity and reability of
records that required to support delivery program and government business
transaction electronically.

2.2.4 Knowledge Management

Records also play important roles in the knowledge management which that can be
derived from exploiting in records and publication. At a broader level, nations are
recognizing the value of the information held in records and archives as the basis for
defining and nurturing a national identity and building knowledge based societies.
According to Eric Ketelear point out that individual and collective memories are
reflected and represented in trace, ranging from the Aboriginal Dreaming to the bits
and bytes stored in a computer memory. Many of these inscriptions are the fruits of
recordkeeping.

Such recordkeeping can serve society as a symbolic power, to be marshaled

whenever man has to struggle against power. Records have tremendous power as
the basis for societys understanding of itself. Consider the efforts by some societies
to destroy the archives of other societies, such as in Sierra Leone, Cambodia,
Kosovo, East Timor and other regions. The attempt to destroy peoples evidence of
themselves as a people is testament to the power of records as part of a nations
culture and identity.

26

Managing Records in Organization

Managing Records in Organization

IMR451

Chapter
2

2.2.5 Management of Human Resources

Human resources management is the critical sectors for every single organization
either public or private, yet in many countries it can be difficlut to find personel files
that complete. In Malaysia, government have inaugurated one integrated systems
that responsible to manage and supervise human resource record management
namely Human Resources Management Information System (HRMIS) which
responsible in manage all information and records all public servants.

Meanwhile, governments focus attention on improving the incentive structure of the

civil service, the need for accurate and complete records becomes more critical. For
example, performance-related human resource management such Sasaran Kerja
Tahunan (SKT) for the public servants and Key Performance Indicator (KPI) for the
Private servant. This scheme are designed to reward the most competent staff and
penalize poor performers is dependent upon information about the present and past
performance of individuals. So, it is important for every human resources department
to control and manage the records in order to make sure it is updated and retrievable
for the evaluation.

2.2.6 Financial Management

The quality of financial management of the organization will be measure to the

performance in the record keeping. Good record keeping is essential to clear and
accountable financial management. In Malaysia, financial management is including
the processes which involve the planning, formation and implementation on tax,
budget, expenditure, turnover, accounting and other related. Without accurate
records of actual expenditures, the process of preparing budgets can become almost
meaningless.

Poor record keeping affects the entire accounting function, with the result that
reporting and auditing may become virtually impossible.
become difficult to detect.

Corruption and fraud

Debt management also suffers because records of

borrowing may be divided among different government offices or may be incomplete.

Virtually all approaches to improved financial management rely upon more efficient
use of information, but these approaches cannot succeed if financial records are
badly managed.
27

Managing Records in Organization

Chapter 2

Managing Records in Organization

IMR451

Records management is a logical and practices approach to the life cycle of records and
therefore to manage the information that those records contain. With a viable records
management program in operation, an organization can control both the quality and quantity
of the information that it creates which maintain the information in a manner that effectively
serves its needs, it can efficiently dispose then information when it is no longer needed and
support the economical in organization management.

In many countries of the world, public sector record-keeping systems are not just weak but
have actually collapsed to the point where they do not function at all. This collapse has been
particularly evident in countries that had once been part of European-dominated colonial
regimes. In these countries, structured record-keeping systems were common, operating as
part of a small, centralized civil service, often with a well-trained and experienced registry
staff.

As we know, the best practices of recordkeeping can give the benefits to the organization
itself in making the records can be referred as a strategic recourse especially in making
decision. But, what happen to the organization that did not practices the good record
keeping, what will happen to the records, it is can be recognize as a strategic resources. In
order to make sure the records that are managed in our organization can be recognize as a
strategic resources there are some of the symptoms of a failure to manage records that
should be avoid in the organization.

The symptoms of recordkeeping collapse

a.
b.
c.
d.

The loss of control over the creation and use of records

The loss of control over access
The fragmentation of official records
The existence of different versions of the same information and
the absence of a definitive or authentic record
e. The loss of contextual information, such as the originator and the
date of creation
f. The ease with which electronic records can be changed
g. Technology-related difficulties in retrieving records
h. The misuse of records, such as unauthorized access to or
alternation of records.

28

Managing Records in Organization

Managing Records in Organization

IMR451

Chapter
2

When these symtoms is arraise at the organization, the methods fro handling collapse
systems should taken place in order to overcame or to avoid from this problem such:

a.

The critical importance of education for records professionals; capacity building

and training for records staff is essential to achieving successful records systems

b. The value of strong leadership in government to support records work, and the
related need for resources and policies.
c. need to consider accountability in relation to information systems, including the
need to install mechanisms that ensure reliability of information generated by any
information system
d. need to ensure records are accurate and reliable and can be retrieved in a timely
manner, as well as to have internal controls and internal audit in all departments.

How to overcome
Education

Accountability

Leadership

Internal controls and

audit

Figure 2: How to overcame the records system collapse

29

Managing Records in Organization

Chapter 2

Managing Records in Organization

IMR451

Due to the symptom of recordkeeping collapse is caused on the neglected of the care of
records. Records management seeks to manage and control records throughout their lifecycle which from the creation and distribution, filing and use and ultimately to their final
disposition or permenat retention. Effective records management program is critical to the
accountability, efficiency and effectiveness both in the public and private organization. But in
the real situation now, many of these organization did not aware to the importance and
benefits to the recods keeping in order to support the daily business transaction.

There is a widespread belief that the problem is so prevalent, ingrained and thankless that
little can be done to improve the situation. This and other false assumptions about the scope
of the problem and its causes are in themselves obstacles to the effective implementation of
sustainable solutions. Some of the main assumptions and the realities of records care are
described in the table shown in below.

ASSUMPTION

REALITY

1.
The
necessary
information will be available
to support program and
policies.

Records do exist, but frequently they are disorganized,

lost or otherwise irretrievable.

2. The management
records
is
not
professional function.

of
a

Size of government = volume of paper and electronic

information generated = essential to have specialists to
controlling records.

3. Keeping records is not a

significant problem because
people will automatically
want records to be kept that
document their actions and
decisions.

Public servants involved in corruption and fraud or fear

for the security of their jobs = unlikely to want to keep
records.

30

Furthermore, prevailing institutional cultures do not

make use of records for reference purposes.

Managing Records in Organization

Managing Records in Organization

IMR451

ASSUMPTION
4. People know good
record-keeping
systems
when they see them.

Chapter
2

REALITY
If the requirements and best practices for record
keeping are not well defined, it is impossible to judge
whether a record-keeping system is functioning
appropriately or not.
Model record-keeping systems are virtually nonexistent in the developing world and information on
good modern record-keeping practices is unevenly
distributed to record keepers in many parts of the world.
Current modes of practice are often based on how it
has always been done.

5. Public servants know

what information they need.

Public servants may know to some extent what

information they need but may not know the scope of
information that ought to be available to them.
As a result, they are unlikely to be using or be aware of
all of the information that could and should be available
to support their work.

6. People use records for

decision making.

Many record systems in developing countries are

chaotic or have collapsed.
It is unlikely that the records required to support
decisions made are readily available or are complete,
up to date, and easy to use.
Moreover, few public servants understand how to use
records effectively.

7. Computers do not create

records and even if they do,
information technology staff
is able to manage them.

Computers do create records and whether they are

printed out or maintained in an electronic environment,
the need to manage their long-term preservation and
access has not been addressed by IT professionals.
These issues
professionals.

8. Eventually there will be

no need for paper records
because offices will be
completely computerized.

fall

within

the

remit

of

records

The fully electronic office is not a reality even in

industrialized countries.
Moreover, computers are the largest cause of the
proliferation of paper work in an organization.

31

Managing Records in Organization

Chapter 2

Managing Records in Organization

IMR451

ASSUMPTION
9. A technological solution
will solve the problems
created by chaotic paper
systems.

REALITY
Currently the infrastructure and expertise required to
support electronic record systems does not exist to
adequately maintain computerized records with integrity
over time.
If manual systems are chaotic, electronic systems will
only compound the problem.
Moreover, paper records as source materials and
output documents will continue to exist even in a
computerized environment.

10.
Paper-based
and
electronic
systems
will
eventually
become
integrated somehow.

The existing computerized systems are generally

operating completely apart from existing manual
systems. Unless there is an interface between manual
and electronic systems, it is likely that both will lack
integrity.

11. Electronic record

systems are secure, given
the existence of backup
procedures, disaster plans
and trained personnel.

Regularized backup procedures are not always carried

out, disaster plans (if they exist) are inadequate, and
storage facilities (particularly offsite locations) are
grossly inadequate.

Figure 3: Assumptions and Realities about Records Care

Sequence form the assumption and the reality that been discuss before, most of the people
perception to the effectiveness and efficiency of the usage of computerization in the records
keeping. This is another challenges to the management of records in many countries in the
inroduction of computer technologies. In Malaysia, with the launch of Multimedia
Supercorridor (MSC) which encourage public and private sector to use the computer
application in delivery the services to the public. One of the application in MSC in Electronic
goverment that aims to create paperless administration. This situation is encourage the
migration of paper media to the electronic media in the organization activities.

32

Managing Records in Organization

Managing Records in Organization

IMR451

Chapter
2

Before the invention of electronic technologies, few records required more than the naked
eye to be understandable. Handwritten or typed documents could be read easily,
photographs and maps were usable without special equipment. For many years, archivists
managed materials that could be boxed, stored and made available with little more effort
than providing a desk and a place to read. The first modern records that relied on technology
to be usable were films and sound recordings. These materials required some form of
equipment to make them accessible, such as projectors, turntables, or cassette decks.
Access to these machines was often relatively easy, and the knowledge required to use them
was minimal.
2.5.1 Requirement of Computerization
Introducing technological solutions without meeting the necessary preconditions will
only increase the vulnerability of public records. Electronic records is play the same
roles like paper based records since it have the value to the organization.

It is

important to know the requirement that should be consider in managing electronic

records in the organization in order to achives the effiecency and economy in
recordskeeping. Computerization can only be acvhived if there is an appropriate
instrustructure to support it such includes:

Figure 4: Requirement of computerization

33

Managing Records in Organization

Chapter 2

Managing Records in Organization

IMR451

2.5.2 Dificulties in computerization

The emergence of electronic records in the both public and private organization
cause the arise of challenges and issues that should be faced them. Although the
paperless office environment is not an immediate, practical proposition, a growing
volume of government work is carried out electronically and may never appear on
paper. The official record is increasingly in electronic form. Even the most
technologically advanced governments are only just beginning to address the
problems this raises. Consider the following difficulties associated with managing
records generated with computer technologies.

a)

The Nature of Electronic Media

The media upon which electronic records are stored is fragile compared to
other media forms such as paper and microfilm. The life of a computer
diskette is only about ten years and even optical disks are considered to be
usable only about thirty years before degradation if the media begins to have
an impact on the records.
b)

The Fragility of Electronic Records

Electronic records stored in poor environmental conditions can be subject to

loss and destruction. Even slight changes in humidity and temperature can
disturb the magnetic properties of disks and tapes thus leading to the loss of
some or all of the records. Power shortages, power surges or situations where
the power is shut off suddenly can lead to a sudden loss of electronically
recorded information, especially if there are no emergency back-up facilities in
place.
c)

The Manipulability of Electronic Records and Security Issues

Electronic records can be easily manipulated and overwritten. Unless strict

security provisions are in place, electronic records can be altered or deleted
without the organizations knowledge simply because the storage media and
the computer environment do not appear to have changed.

34

Managing Records in Organization

Managing Records in Organization

IMR451

d)

Chapter
2

Technological Dependence

Electronic records are entirely dependent upon technology both for their
creation and their storage. As a result, they must be managed over time in a
computerized environment. Given the rapid obsolescence of computer
hardware and software and the degradation of storage media, the
mechanisms for the management of electronic records require a higher level
of sophistication than is needed to manage paper records. For example, some
countries have chosen to use digital audiotape to store electronic records.
However, it is estimated that the tape is only a reliable storage medium for five
years, by which time records will have to be transferred to fresh tapes. Optical
disks are much more stable, but the software used to access and retrieve the
data stored on disks is liable to become obsolete because there are no
software standards in this area.
e)

The Importance of Context

Electronic records are dependent upon the availability of the contextual

information necessary to understand the records within the context of the
administrative and operational activities that generated them in the first place.
The context within which records are created is critical to understanding their
purpose and nature. The gap between records management practices and
information technology developments must be bridged.

f)

Accountability and Electronic Records

The absence of assigned accountability and responsibility is probably one of

the most serious threats to electronic records. In many organizations,
accountability for the human resources and financial resources of an
organization are assigned very carefully and there are major penalties for
mismanaging these valuable resources. Records are also a valuable resource,
but they do not receive the same degree of attention. Electronic records may
be lost because people within the organization were not charged with the task
of protecting them.

35

Managing Records in Organization

Chapter 2

Managing Records in Organization

IMR451

CHECKLIST
At this point you should be able to:

Identify the key records required for attain the governance objectives and also
recognize the roles of good records management to the organization

Analysis the sysmtoms that occur if records management is badly practices and why
it happen.

Evaluate the component, advantages and disadvantages of cumputerization in the

records management.

ACTIVITIES
Develop a group of 3-4 student, discuss the others advantages and disadvantages of
computerization in the records management and the impact to the organization. The finding
of these activities should be presented in the class for the sharing activities and other student
might be able to ask the question towards the finding of this group.

36

Managing Records in Organization

Managing Records in Organization

IMR451

Chapter
2

STUDY QUESTIONS
PART A: DEFINITION
Please define the following terms:

1.

Computerization

2.

Strategic resources

3.

Rule of law

4.

Human right

5.

Records management

PART B: SHORT ANSWER

Answer the following questions:

1.

Briefly explain the roles of records in the government institution?

2.

List the symptoms of records keeping collapse?

3.

Why records management is always neglected?

4.

Discuss the requirement that should consider in the development of computerization

or records keeping in the organization.

37

Managing Records in Organization

Chapter 2

38

Managing Records in Organization

IMR451

Managing Records in Organization