Records Management Practices in Sarawak State Public Services

Transcription

1 Records Management Practices in Sarawak State Public Services Rusnah Johare, Faculty of Information Management, Universiti Teknologi MARA, Shah Alam Malaysia, Mohamad Noorman Masrek,Accounting Research Institute, Universiti Teknologi MARA, Shah Alam Malaysia, Mohd Sharif Mohd Saad, Faculty of Information Management, Universiti Teknologi MARA, Shah Alam Malaysia, Hasnah Rahim, Faculty of Information Management, Universiti Teknologi MARA, Shah Alam, Malaysia, Arpah Adenan, Sarawak State Library, Kuching, Malaysia, Norlida Ismailly, Faculty of Information Management, Universiti Teknologi MARA, Sarawak Branch Campus, Abstract This study was carried out with the objectives of investigating the records management practice in the Sarawak State Public Services (SSPS). Using the survey research methodology, involving 364 personnel attached to 137 organizations of the State Ministries, State Departments, State Local Authorities, State Residents Offices, District Offices and State Statutory Bodies. The questionnaires incorporated information on records management practices segmented into several sections namely institutionalization; records creation and maintenance; records inventory; records schedules; records information access; and records transfer and storage. The findings of the study indicate that records management practices in SSPS were based on the fundamental organizational requirements that relates to the requirements of the records life cycle concept. Keywords Archives, records, records management, Sarawak State Government, Malaysia Introduction The Sarawak State Library (Pustaka Negeri Sarawak) houses public records created by the Sarawak State Government Public Services as its main custodial role and responsibility, followed by other categories of records including records of the private sector and non-governmental organizations, as well as private papers and oral history recordings. The collection is vast, defined by the scope of historical events that shaped the historical sources. The boundary is set by the relevance of the records to the nation or state. These records which are almost totally paper-based need to be preserved, in order to prevent further deterioration of historically valuable records which dated back to as early as 15 th century. The volumes of records in the custody of Pustaka are consisted of: (1) Public archives; (2) Newspaper collection; (3) Private papers; (4) Photographic collection; (5) Cartographic records; and (6) Illustrations. The Pustaka Negeri Sarawak enjoys full custody of all records generated by the State Government and operates with a certain degree of autonomy. This being so, there is leeway for improvisation and innovation. Since records management is one of its core functions, a Records Management Working Group (RMWG) under the purview of Depository Services Sector of Pustaka was formed to embark on records management projects with the aim of implementing best practices for SSPS. One of the initiatives of RMWG is a project to study and prepare for the implementation of credible records management program. Before any recommendations could be made it is necessary to conduct a study on the current states of records management practices in 1

2 SSPS. This study was carried out to fulfill the following objectives (i) to ascertain whether organizations in SSPS manage their records in accordance to the life cycle concept (ii) To identify whether organizations in SSPS are aware that their records should be preserved for posterity when the records become archives; and (iii) To find out whether organizations in SSPS are aware of the importance of records management. This study focuses specifically on the management of paperbased records. Definitions of terms Public Records Papers, documents, registers, printed materials, books, maps, plans drawings, photographs, microfilms, cinematograph films and sound recordings of any kind whatsoever, officially received or produced by any public office for the conduct of its affairs or by any employee of the public office in the course of his official duties (National Archives Act, 2003). As such, public records are all kinds of record materials made or received by any office of the Government or by any of its employees in the course of carrying out his official duties, regardless of its contents (1974 State Secretary s Circular on Departmental Records Officer, State of Sarawak). Records Management Field of management responsible for the efficient and systematic control of the creation, receipt, maintenance, use and disposition of records, including processes for capturing and maintaining evidence of and information about business activities and transactions in the form of records (IRMT, 1999). The Record s Life Cycle One of the core concepts in records management is that of the record s life cycle. It is invariably used in records management textbooks and widely accepted by professionals in the field. Records management experts regard this concept as so important that it serves as the basis for a total records management program. It is so crucial that they equate the term with theory. Writers on records management stress that like most theories, the concept will only have value if it is put into practice The function of the life cycle as the framework for records management is also highlighted by Hare and McLeod (1997) who use the term to identify the specific elements or functions of a records management program which are appropriate to an organization. As an important concept the life cycle provides the greatest potential for effective management of recorded information, particularly where records are held in paper form. Records managers and archivists have practiced the life cycle management of records for decades since the concept was established by the US National Archives and Records Administration (NARA) in 1930s. Basically, the life cycle concept involves the application of a series of interrelated professional procedures as the records pass through three distinct and separate stages: active, semi-active and inactive. Normally records managers or the records staff of an organization is responsible for the creation or reception of the records by the organization and for their maintenance, use and appraisal. When records become inactive the archives take over the responsibility for their selection, arrangement and description and preservation (Rusnah, 2002). Read-Smith, Ginn and Kallaus (2002) suggest that the life cycle concept consists of many interrelated components that must work together for an efficient records and information management program. Figure 1 shows the life-cycle of records as introduced by Read-Smith, Ginn and Kallaus (2002). Figure 2 shows the elements of the life cycle concept from the point of view 2

3 of Robek, Brown and Stephens (1996). Figure 3 illustrates another perception of the life cycle concept by Rusnah (2002). Even though the various writers interpreted the life cycle concept differently based on their own personal analysis but the basic principles of records management procedures where the records pass through the three distinct and separate stages of active (creation, use and maintenance), semi-active (disposition and storage) and inactive (Preservation or destruction) are evident in these three illustrations. Creation Disposition (Or receipt of records from outside the business) Distribution Transfer, retain or destroy. Maintenance Store/file, retrieve and protect Use Decision, reference, inquiries or legal requirements Who gets the records? Internal and external users Figure 1: Records Life-Cycle (Read-Smith, Ginn and Kallaus, 2002) Creation Stage Records are produced by internal and external parties Archival Preservation Stage or preserved permanently in an archive for historical or research purposes. Distribution and Use Stage and are transmitted to internal and external users Retention and Disposition Stage then become inactive and are destroyed or transferred to a storage facility Storage and Maintenance Stage and are classified and filed in storage devices and maintained for active records reference Figure 2: Five stages in the Life-Cycle of Records (Robek, Brown and Stephens, 1996) Figure 3: Four stages in the Life-Cycle of Records (Rusnah, 2002) 3

4 Keep in view Proceeding of the 19 th decision making International Business Information Management (IBIMA) Conference, th November 2012, Reference Barcelona and use (ISBN: ) Distribution and tracking Use Creation Maintenance Disposition Files, maps, plans, photos, forms, reports, minutes, letters, electronic media. Acts / Circulars, etc Storage Retrieval Control Security Previous Studies on Records Management Storage of semi-active records Permanent storage Destruction The literature suggests that records management is more pragmatic currently by comparison to few decades ago; being seen as an applied system or technique to solve a particular problem and many of the studies were conducted as case studies. They do however appear to realize that, without proper management of records, organizations seem to be facing problems with mountains of paper and wasting time searching for information, often after something devastating has happened to those organizations (Asmadi, 2011). However, the literature also indicates that attitude towards records management has changed over the years. Zawiyah (1999) and Asmadi (2011) in their studies found out that many organizations in the private sectors have shown interest in practicing appropriate records management procedures. Organizations are beginning to recognize that the problems associated with records can be partly solved with the creation of a records centre, the establishment of a records management service, and employing qualified personnel to take charge of the records. Within this context the establishment of a records centre or records repository helps organizations to place inactive records in less expensive accommodation. This means fewer records in the main office area. However, problems relating to records need farsighted strategies involving many aspects, from budget, planning, manpower and many others (Asmadi, 2011). Study by Rusnah and Mohamad Noorman (2011) found that, top management support, knowledge and skills of records and archives practitioners are part of critical success factors for records management in organizations. Another study carried out by Rusnah suggests that improvements in the management of all phases of the life cycle of records are vital for the efficiency of public administration and for the advancement of the country (Rusnah, 2006). Research Methodology The conduct of this study involved the use of survey research methodology. A questionnaire was developed and used to collect the research data. The respondents of the study were personnel involved in managing their organizational records involving six categories of the Sarawak State Public Services (SSPS) with 137 organizations namely respondents from the State Ministries, State Departments, State Local Authorities, State Residents Offices, District Offices and State Statutory Bodies. The questionnaires incorporated information which was divided into several areas aligned with the objectives of the study and include, Demography and Organizational profile; Institutionalization; Glossary of terms; Records creation and maintenance; Records inventory; Records schedules; Records information access; and Records transfer and storage. To ensure the questionnaires met quality standard, they were piloted with prospective respondents. A total of 364 questionnaires were returned from 137 agencies. 4

5 Findings Descriptive Profiles of Respondents Table 4.1 shows that the respondents consisted of 110 (30.2%) male and 254 (69.8%) female out of the total number of 364 respondents. This shows that the female respondents outnumbered the male respondents where records management tasks in the surveyed organizations are concerned. The findings also show that the respondents age ranges between below 25 and 60 with the majority in the range of 36 & 40 which made up 18.1%. Whereas the least is between the age of 56 & 60 which made up 1.9%. In terms of the place of work of the respondents, mostly dominated by State Departments consisting of 150 (41.2%), followed by State Statutory Bodies with 88 (24.2%), District Offices 39 (10.7%), State Residents Offices 34 (9.3%) and State Local Authorities 27 (7.4%). The least being State Ministries with 26 (7.1%). Table 4.1 Frequency Percent Gender Male Female Age Group Below Between 26 & Between 31 & Between 36 & Between 41 & Between 46 & Between 51 & Between 56 & Place of Work State Ministry State Department State Local Authorities State Resident Offices District Offices State Statutory Bodies Descriptive Profiles of Records Management Practice Institutionalization Table 4.2 shows that under the Institutionalization section of the questionnaires, it is evident that majority of the respondents 51.4% agreed that their programs meet the State regulations. Pertaining to the question on the respondents awareness on the Federal and State Treasury Instruction, the majority of the respondents which made up of 70.3% were aware of the Treasury Instructions. This is not surprising due to the fact that financial records are subjected to detailed scrutiny of financial audit. On the other hand, 62.1% of the respondents admitted that their managers/supervisors/head of departments have the knowledge and were involved in records management programs in their organizations. 5

6 On promotional activities pertaining to records management program, 69% respondents believed that there were steps taken to promote records management programs in their organizations. It is good to know that at least 55.2% of the employees of the surveyed organizations were aware of the advantages that records management programs offered. Those who were not aware should be made aware by giving them awareness programs on records management. This data should be considered in developing the strategic plan of the records management for the SSPS. Table 4.2: Institutionalization Does your records management program meet Sarawak State regulations? 51.4% 48.6% Are employees aware of State Government Circulars 78.3% 21.7% Are employees aware of State of Sarawak General Orders, % 18.1% Are employees aware of Federal and State Treasury Instructions 70.3% 29.7% Is your manager/supervisor/head of department knowledgeable about and involved with records management program? Are employees aware of the advantages that records management programs offer? Yes No 62.1% 37.9% 55.2% 44.8% Records Creation and Maintenance Table 4.3 shows the responses to the question pertaining to records creation and maintenance. The data suggests that 50% of the employee s were familiar with concepts and regulations concerning the creation and maintenance of the records. On the other hand 75.3% of the respondents agreed that requirements for recordkeeping of the surveyed organizations have been identified. Whiles, 58.5% of the respondents agreed that employees maintained their own records. Following the question on whether active and semi-active records were being kept in the organizational registries, majority of them 84.3% believed so. Employees should be familiar with the basic filing principles, the above data revealed that majority of the employees 66.5% according to the respondents were familiar with the basic filing principles. This data is being verified when 62.4% respondents agreed that their organizations have used a standardized classification and filing systems. When asked whether there were any procedures manuals for creation, use and maintenance of records, 55.2% acknowledged the availability of the procedures manuals. Table 4.3: Records creation and maintenance 6

7 Are employees familiar with the concepts and regulations concerning the creation and maintenance of records? Yes No 50.0% 50.0% Have recordkeeping requirements been identified for your organization? 75.3% 24.7% Do employees maintain their own records? 58.5% 41.5% Are active and semi-active records being kept in the organizational registry? 84.3% 15.7% Are employees familiar with basic filing principles? 66.5% 33.5% Is a standardized classification and filing system used? 62.4% 37.6% If yes, are there any procedures manuals for creation, use and maintenance of records? 55.2% 44.8% Records Inventory and Retention Schedule Table 4.4 revealed that half of the respondents i.e. 50% agreed that there has been a records inventory for retention schedule was conducted within the last three years. Pertaining to the types of records covered by the inventory, the highest positive response goes to active records with 57.1%, followed by permanent records of archival value with 54.4% response. Relating to the involvement of offices (Divisions, Units) of the surveyed organizations were included in the inventory activity, 55.8% believed so and 57.4% agreed that the inventory was conducted by a Departmental Records Officer. 67.6% of the respondents believed that the inventory was approved by the management and 82.1% agreed that the inventory were not maintained electronically. 54.4% respondents agreed that the inventory process was documented. Pertaining to the availability of procedure manuals for implementation of records inventory, 50% agreed that there were procedure manuals available for the implementation of records inventory to prepare retention schedule Table 4.4: Records inventory and Retention Schedule Has a records inventory for retention schedule been conducted within the last three years? Yes No 50.0% 50.0% Does the inventory and retention schedule include permanent records? 54.4% 45.6% Does the inventory and retention schedule include active records? 57.1% 42.9% Are all offices (Divisions, Units) of the organization included in the inventory? Was the inventory and retention schedule conducted by Departmental Records Officer? 55.8% 44.2% 57.4% 42.6% Was the inventory and retention schedule approved by the management? 67.6% 32.4% Are the inventory and retention schedule maintained electronically 17.9% 82.1% Is the inventory and retention schedule process documented? 54.4% 45.6% Are procedure manuals available for the implementation of records inventory? 50% 50% Records Information Access 7

8 Table 4.6 illustrates data on records information access. 56.9% agreed that there were controls provided for records that were viewable only to authorized personnel. Pertaining to awareness on the Official Secret Act, 52.2% respondents said that they were unaware of the Act. However, on matters pertaining to familiarity with policies regarding personnel papers, only 50% respondents believed that employees were familiar with policies regarding personnel papers. By comparison of the used of manual and electronic finding aids, majority of the respondents 78.6% believed that manual finding aids were available, whilst only 32.7% respondents agreed that electronic finding aids were available to help locate records. Majority of the respondents 79.9% mentioned that there were no any procedure manuals for records information access. Table 4.6: Records information access Are appropriate controls provided for records that are viewable only to authorized personnel? Yes No 56.9% 43.1% Are you aware of the Official Secret Act? 47.8% 52.2% Are employees familiar with policies regarding personal papers? 50.0% 50.0% Are finding aids available to help locate manual records? 78.6% 21.4% Are electronic finding aids available to help locate records? 32.7% 67.3% Records Transfer and Storage Table 4.7 shows data on records transfer and storage. The majority of respondents 76.6% admitted that their inactive organizational records were not transferred to the State Records Repository. This data is supported by the qualitative data that these records were stored in the respective creating agencies. This is supported further by the following data which suggested that 57.7% respondents admitted that there were no dedicated records storage facility been constructed onsite. Even though the data suggested that inactive records were stored in the creating agencies, the data revealed that 67.3% respondents admitted that the on-site storage location did not meet State regulations. In relation to that, 92.3% respondents revealed that additional commercial space was not leased for records storage and definitely out of 8.5% respondents who said there were additional space leased for records storage, 8.5% only respondents believed that the leased space meet the State regulations. The findings also revealed that 73.1% of the respondents agreed that procedures were clearly defined and separate active, semi-active and inactive records. The next data supported the earlier data on State Records Repository was not used to store inactive records, whereby the data here in Table 4.7 shows that 90.4% respondents admitted that inactive records were not sent routinely to records storage or State Records Repository. When question on how inactive records were tracked either manually or electronically, majority of the respondents agreed that the records were tracked manually, whilst 15.9% respondents believed that the records were tracked electronically. The above data also reveals that 59.9% respondents were not aware of the procedures on retiring records and 60.7% respondents were also not aware of the procedures on records retrieval. On the question pertaining to the availability of any procedure manuals on records transfer and storage, 59.9% respondents acknowledged that there were no such procedure manuals. Table 4.7: Records transfer and storage 8

9 Yes No Is State Records Repository used to store records? 23.4% 76.6% Has a dedicated Records Storage Facility been constructed on-site? 42.3% 57.7% Does on-site storage location meet State regulations? 32.7% 67.3% Is additional commercial space leased for records storage? 7.7% 92.3% Are inactive records tracked manually? 72.8% 27.2% Are inactive records tracked electronically? 15.9% 84.1% Employees are aware of the procedures of retrieving record? 39.3% 60.7% Are there any procedures manuals for records transfer and storage? 40.1% 59.9% Discussion In determining the records management practices this study has used questionnaires which measure five aspects of the life cycle concept namely records creation and maintenance; records inventory; records retention schedule; records information access; record transfer and storage. Aspect on institutionalization is included in the survey with the intention to ascertain the availability of legislations and regulations on records management which is closely related to records management policies and implementation. Overall the findings of the study indicate that records management practices in SSPS to a certain extent is in accordance to the life cycle concept. In most cases records in SSPS have been managed as dictated by the legal requirements where majority of the respondents are familiar with the Sarawak State regulations governing records management in the State government agencies. Employees were aware of the State Government Circulars, State of Sarawak General Orders, 1996 and Treasury Instructions. These are instrumental to SSPS records management activities whereby the data suggests that manager/supervisor/head of department are knowledgeable about records management and they were involved with records management programs in their respective agencies. In this way it is possible for the records staff in SSPS to implement records management policies with the support of their superior and this make the employees aware of the advantages that records management programs offer. As a result, records were created in the SSPS in accordance to the required concepts and regulations as the data suggests that requirements for recordkeeping of the surveyed organizations have been identified and records are maintained in the organizational registry. In addition standardized classification and filing systems have been used for the creation and maintenance of records in the registry. The availability of the procedures manual for creation, use and maintenance of records make it possible for the registry staff and the employees to ensure that State Government programs and operations are adequately documented for legal, fiscal and administrative purposes. Comprehensive records management program based on the life cycle concept includes the implementation of records inventory for the preparation of records retention schedules whereby all units and divisions of the surveyed organizations were included in the inventory activity conducted by departmental records officers in some cases. The surveyed data reveals that there has been a records inventory for retention schedule conducted at least for the last three years. The inventory seems comprehensive as it covers active records and permanent records of archival value and approved by the management. Even though the inventory and the records retention schedules were not maintained electronically, nevertheless they were documented as 9

10 there were procedures manuals available for the implementation of records inventory in majority of the cases. Regarding records information access majority of the surveyed agencies have provided a control mechanism whereby records were viewable only to authorized personnel even though employees in the majority of the surveyed agencies were not awareness of the Official Secret Act. It means a precautionary action has been ensured that records with sensitive information and confidential in nature are securely protected in the registry by using manual procedures. This is enhanced by the fact that no electronic finding aids were available to view these records virtually. Moreover somehow or rather the employees were familiar with policies regarding personal papers that are confidential in nature. The role and responsibility of a records centre is vital for records in the paper environment. Semi-active records that are no longer needed in the daily business of agencies and those of inactive records of archival value must be transferred to the records center or archival institution for permanent preservation. Every record must go through the last phase of their life cycle. Even though the quantitative data suggests that majority of the surveyed agencies did not transfer their semi-active and inactive records to the State Records Repository, the qualitative data suggested that many State agencies located in the city centers have constant communication with the State Repository and have transferred their records for preservation. It is evident that agencies distantly located in other territories and regions (as Sarawak is a vast State) are yet to transfer their records to the State Repository. If this is the case, State Records Repository branches should be established in these distant locations to ensure that State Records Repository could play its roles and responsibility more effectively to preserve the records of the Sarawak State Government in entirety. Conclusion The conduct of this study has been to investigate the records management practices in Sarawak State Public Services. The findings of the study indicate that records management practices in Sarawak State Public Services to a certain extent have fulfilled the requirement of the record life cycle concept. Thus the above data and discussions of the findings have fulfilled the objectives of the study: (i) to ascertain whether organizations in SSPS manage their records in accordance to the life cycle concept (ii) To identify whether organizations in SSPS are aware that their records should be preserved for posterity when the records become archives; and (iii) To find out whether organizations in SSPS are aware of the importance of records management. Thus the findings of the study could be used to establish a strategic plan for the improvement of records management in the SSPS and to improve the State Records Repository services. Acknowledgement The researchers would like to extend their thanks and gratitude to the Sarawak State Library for funding the project. References Asmadi Mohammed Ghazali ( 2011). The development of the Malaysian competencies profile for records managers. Unpublished PhD dissertation. Universiti Teknologi MARA, Malaysia. 10

11 Hare and McLeod (1997). Developing a records management programme. London: The ASLIB Know How Series. National Archives of Malaysia Act, 2003 Read-Smith, J., Ginn, M.L., and Kallaus, N.F. (2002). Records management, Cincinnati: South- Western Thomson Records Management Glossary of Terms, International Records Management Trust London: IRMT. Robek, M.F., Brown, M.F. & Stephens, D.O. (1996). Information and records management. New York, NY: McGraw Hill. Rusnah Johare (2002). Records Management Manual. Kuala Lumpur: Vision Press Rusnah Johare (2006). The development of a model on education and training for the Malaysian record keepers to manage electronic records. Unpublished PhD dissertation, University of Northumbria, United Kingdom. Rusnah Johare and Mohamad Noorman (2011). Malaysian archival heritage at risk? A survey of archivists knowledge and skills in managing electronic records. Library Review. Vol.60 No.8. pp Sarawak State Secretary s Circular on Departmental Records Officer, 1974, Sarawak State Government. Zawiyah Yusuf (1999). Records management in the business community in Malaysia: A study of the understanding of concepts and practice and the development of a model. Unpublished PhD dissertation, University of Wales, Aberystwth, United Kingdom. 11