IMR 652:

Management of Business Records

CHAPTER 2:
RECORDS AS A STRATEGIC RESOURCE
 Learning Objectives
• To describe records as a strategic business resource.

• To identify strategies required for managing records as a

strategic resource.

• To explain various impacts of managing records as a strategic

resource.
 INTRODUCTION
• Strategic Resources – resources that are essential for
the success of a business organization.
• To provide an understanding of the past, present and
future, bring knowledge and intelligence, bear on
decision making and operations and drive policy
formulation and implementation.
 RECORDS AS A STRATEGIC BUSINESS RESOURCE

1.0 STRATEGIES 2.0 IMPACTS

1.1 Business System

2.1 Economically
Analysis

1.2 Manage records

2.2 Support better
according to the regulatory
management
requirements

1.3 Training for Records 2.3 Ensure accountability

Management Professionals
 STRATEGIES

1.1 BUSINESS SYSTEM ANALYSIS (BSA) AND RECORDS

MANAGEMENT

• The analysis is an analytical framework that involves the analyzing of an

organization as a system.

• The Analytical Frameworks are structures that allow students to interpret the
meanings and messages of artworks from various points of view. When the
Analytical Frameworks are applied collectively, students learn to appreciate how
an artwork may contain a number of different aspects and layers of meaning.

• The analysis provides the core foundation for the development of recordkeeping
tools that contributes to decisions on the creation, capture, control, storage,
disposal and access of records.
 Continue..
• The development of business activities analysis involve
identifying, defining and examining in detail the
component or parts of a business system or organization
as listed below:
• The goals and strategies of the organization
• The functions of the organization that support the pursuit of these
goals and strategies.
• The gain of insights on how the organization functions and the
interrelationship between various tasks, jobs, people, structures and
other elements.
• The activities of the organizations that constitute the functions.
• The parts of the system that is working well and parts of the system
that needs and improvement.
• The time needed to complete the tasks
• The opportunity and threats of the organizations.
Business analysis can be broken into 6 major knowledge areas:
• Enterprise analysis
• Requirement planning and management
• Requirement elicitation*
• Requirement analysis and documentation
• Requirement communication
• Solution assessment and validation

*elicitation is the practice of collecting the requirements of a system from users, customers and other stakeholders.
The practice is also sometimes referred to as "requirement gathering".
 DICIPLINE DESCRIPTION
Enterprise analysis Focuses on understanding the needs of the business as a whole, its strategic
directions, and identifying initiatives that will allow a business to meet those
strategic goals.

Requirement planning Involves planning the requirements development process, determining

and management which requirements are the highest priority for implementation and
managing change.

Requirement Techniques for collecting requirements from stakeholders in a project.

elicitation
Requirement analysis Describes on how to develop and specify requirements in detail to allow
and documentation them to be successfully implemented by a project team.

Requirement Techniques for ensuring that stakeholders have a shared understanding of

communication the requirement and how they will be implemented.
Solution assessment Describes how the business analyst can verify the correctness of a proposed
and validation solution and how to access possible shortcomings in the implementation.
 STRATEGIES

1.2 Manage records according to the regulatory requirements

International National

Manage records according to the regulatory

requirements

-to help organization stay within the policies and

procedures of the country they are operating in
regarding the retention of information.
Statute and case laws, and regulations
governing the sector specific and general
business environment, including laws and Mandatory standards of
regulations relating specifically to records, practice
archives, access, privacy, evidence, electronic
commerce, data protection and information

REGULATORY
REQUIREMENTS

Voluntary codes of conduct Voluntary codes of best

and ethics practice

Identifiable expectations of the

community about what is acceptable
behavior for the specific sector or
organization
The Malaysian government especially National Archives of Malaysia and
MAMPU had legislated various, regulations, procedures, and guidelines to
formulate a comprehensive records management program such as those
listed below :

1) National Archives Act 2003.

2) Official Secret Act 1972 ( Amendment 1986 ).

3) Guidelines on Managing Electronic Records in Unstructured, Structured

and Web environments.

4) Guidelines on the Management and Preservation of Electronic Mail.

 International Standard :
ISO 15489
• it provides guidance to ensure that adequate records,
Intended for use by ;
in all formats and media, are captured and managed
• Managers of organizations.
adequately throughout their lifespan.
• Records, information and
technology management
•It is the primary good practice and reference model
professionals.
that guides the implementation of records management
• All other personnel in
programs worldwide.
organizations.

Part of ISO 15489 ;

1. Applies to the management of records, in all formats or media, created or

received by any public or private organization in the conduct of its activities, or
any individual with a duty to create and maintain records.
2. Provides guidance on determining the responsibilities of organizations for records
and records policies, procedures, systems and processes.
3. Provides guidance on records management in support of a quality process
framework to comply with ISO9001 and ISO14001.
4. Provides guidance on the design and implementation of a records system.
5. Does not include the management of archival records within archival institutions.
Authenticity Reliability

Lead to the
criteria

Usability Integrity
 Authenticity
 A record is authentic if it can be verified that it is now exactly as it was when first
transmitted or set aside for retention.

 To ensure the authenticity of records, organizations should implement and document

policies and procedures which control the creation, receipt, transmission, maintenance
and disposition of records to ensure that records creators are authorized and identified
and that records are protected against unauthorized edition, deletion, alteration, use
and control.

 For example ;
› A letter received in an office may be date-stamped, registered and placed on a file. The file
containing the letter is tracked throughout its use and stored when not in use in a records
office.

 An authentic record is one that can be proven ;

1. To be what it purports (claim) to be;
2. To have been created or sent by the person purported to have created or sent it; and
3. To have been created or sent at the time purported.
 Reliability
 A reliable record is one whose contents can be trusted as a full and accurate
representation of transactions, activities or facts to which they indicate and can be
depended upon in the course of subsequent transactions or activities.

 For the records system, the reliability of the system should be documented by creating
and maintaining records of systems operation. These records should demonstrate that
the system satisfies the criteria listed below :

1. Routinely capture all records within the scope of the business activities it covers.
2. Organize the records in a way that reflects the business processes of the records
creator.
3. Protect the records from unauthorized alteration or disposition.
4. Routinely functions as the primary source of information about actions that are
documented in the records, and
5. Provide ready access to all relevant records and related metadata.
 Usability
 A useable record is one that can be located, retrieved, presented and interpreted.

 It should be capable of subsequent presentation as directly connected to the

business activity or transaction that produced it.

 The contextual linkages of records should carry the information needed for an
understanding of the transaction that created and used them.

 It should be possible to identify a record within the context of broader business

activities and functions.

 The links between records that document a sequence of activities should be

maintained.
 Integrity
 The integrity of a record refers to its being complete and unaltered.

 It is necessary that a record be protected against unauthorized alteration.

 Records management policies and procedures should specify what

annotations may be made to a record after it is created, under what
circumstances additions or annotations may be authorized and who is
authorized to make them.

 Any authorized annotation, addition, or deletion to a record should be

explicitly indicated and traceable.
 STRATEGIES

1.3 Training for Records Management Professionals

Providing a policy framework for how Responding to internal and/or external
Storing, arranging, indexing and
people are expected to manage their information enquiries.
classifying records.
records and use the system in place.

Facilitating the development of filing Ensuring that relevant legislative and Collating and writing reports.
systems and retention and disposal compliance requirements are met
schedules and maintaining these to
meet administrative, legal, and financial Giving advice on issues related to
Standardizing information sources legislation
requirements.
throughout an organization or group of
organizations.
Advising on records storage and records
media.
Managing the changeover from paper to Managing and monitoring budgets and
electronic records management systems. resources.
Overseeing the management of
electronic and/or paper-based
information
Preserving corporate memory and
heritage.
Setting up, maintaining, reviewing, and Training and supervising records staff.
documenting records systems
Resolving problems with information
management through effective use of
Identifying the most appropriate records software and other information
management resources. Advising staff in other departments on
management resources.
the management of their records and
inforamtion.
Advising on and implementing new
Enabling appropriate access to
records management policies and
information.
classification systems.
 IMPACTS A well designed and operated filing
An organized filing system will system with an effective index can
help to save cost of handling such facilitate retrieval and delivery of
as the cost for filing equipments, information to users as fast as they need.
space in office and staff to Apart from that, a good records
maintain and organize filing management program will eliminate
system especially when it involves overlapping of functions and duplication
with misfiling. of work.

Reducing the operating

Enhances reduction of
cost
time required

2.1 Economically

An effective records management program

addresses both control of creation (limits and
reduces the existence of non essential records that
is not required to operate a business) and records
retention (a system for destroying useless records
or retiring inactive records), thus stabilizing the
Controls the creation and growth of records in all formats.
growth of records
 IMPACTS

2.1 Ensure accountability

The organizations have to be
The foundation for accountability is
accountable for their actions and to
based on records. Recorded
prove the accountability,
documentation is essential in
administrators require access to
managing organizations.
records.

All organizations need to keep records

of business decisions and transactions A record is evidence of an activity or
to meet the demands of corporate decisions and demonstrates
accountability and to service their accountability.
own information needs.

Poor record keeping will contribute to

failures to meet accountability and
other organizational requirements.
 Below are the examples of organizational
risks of record keeping accountability failures:

1. Non-compliance with existing law in force.

2. Lack of evidence that an organization did something
under contract or according to regulation.
3. Inability to find mission critical information.
4. Loss of proof of ownership, rights, obligations.
5. Lack of documentation of who knew what and
when.
 Resources such as human, knowledge,
accommodation, equipment, financial, and
IMPACTS Managing records effectively based on the
payroll are essential to the success of systematic records management program
recognizing records as a strategic resource. will help the managers to identify an
Therefore, organization can manage the organization’s mission, aims and objectives,
resources effectively and efficiently if the determine its needs, capabilities and
systematic records management program is resources, and then develop strategies to
applied in the organization. achieve those goals successfully.

Managing resources effectively

Developing strategic plan

2.3 Support better management

Minimize litigation riisks

Effective decision making

Managing records effectively will reduce the risks

associated with litigation and potential penalties.
A records management program can
A systematically records management program
help ensure that managers and
can reduce the liabilities associated with
executives have the information they
document disposal by providing for their
require easily. It also avoids the loss of
systematic and routine disposal in the normal
control of records. Therefore,
course of business.
managers and executives can keep
track of the firm’s progression and can
make a decision effectively.
The End