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Record Management
Audit:
Nuclear Malaysia’s
Experience
Ms. ADNAN, Habibah [email protected]. ISMAIL, Rudarul Morhaya [email protected]. YUSOF, Mohd Hafizal [email protected]. NGADIRON, Norzehan [email protected]
Third International Conference on Nuclear Knowledge Management:Challenges and Approaches | 7 -11 November 2016 | I A E A
C O N T E N T S
CONTENTS
Abstract
Introduction : Objective & Drives
Description of KM Initiative
Challenges & Lesson Learned
Conclusion & References
Abstract
Malaysian Nuclear Agency (Nuclear Malaysia) is heavily reliant on information in
order to accomplish its strategic research & development, and
commercialization (R&D&C) outcomes. Since its beginning in 1972, the activity
of information management – Records Management (RM) is always integrated
in the process of knowledge repository.
Division of Information Management (DIM), is the custodian for the
agency’s knowledge repository and also responsible to ensure it complies with
the National Archive of Malaysian Act 2003 (Act 629), as well as to address the
needs of 3s - Safety, Security and Safeguards outlined by IAEA.
In 2013, Nuclear Malaysia has launched KM Nuclear Policy which includes KMaudit committee, to overseeing and provide check and balance for KM
initiative programmes. The first KM audit conducted was Record Management
Audit (RMA), started in 2014. The journey faced some challenges from people,process and technology and later completed in 2015 with accumulation of new
knowledge derived for the KM improvement. RMA is a unique process which
need to be shared with others because it offers example and experience from
the perspective of nuclear R&D agency.
IntroductionOBJECTIVES:
To provide assurance on the adequacy and effectiveness of the DIM's
implementation of its records management framework, in terms of collection
numbers, documentation process, security classification, and to provide an
interim progress check on the availability of the documents recorded in
the repository
To perform KM audit as outlined by Nuclear Malaysia KM Policy
To implement the recommendation of IAEA Assist Mission (Jan 21-25, 2013).
To get buy-in from the government for digitization project.
KM Initiative Programme: Drives for Record Management Audit
Description of KM Initiative
WORK PLAN:
Conducted RMA internally as part of KM initiatives.
Developed an action plan with people centric approach.
Communicated with top management for their support and endorsement
Focused on researchers as the respondent for this audit.
KNOWLEDGE GATHERING: Observing thru KM technical visit -
particularly from the R&D institutions
perspective. E.g. MARDI, MPOB
Identifying national requirement
outlined by M’sia National Archive
Literature searching - background
information through IAEA
publication series.
SCOPE REQUIREMENT: Determined would it be necessary to maintain certain record series on the site,
while others to be surrendered to DIM repository.
A revised set of document category was established that provides a basis for the
types of information and record to be stored in the system
Determining the record classification requirements - as it is important to save critical
records and discard others that are inconsequential.
- Conventional (book keeping) to computerized system (Ms Excel)
- Knowledge identification
-Development of template form
-Identifying respondent : 323 researchers
-Email to respondent : 23/05/2014
- Date: 06/06/2014
- Feedbacks: 30 forms
- Percentage: 9%
- Telephone calls as reminder
- Questionnaire -reasons for
not answering
- Flexible Format : CV or Form
- Date: 11/09/2014
- Feedbacks: 160
- Percentage: 49.5%
- New records found & cataloguing
- Identification location & classification
- Number of records grow
- Records onsite location
- Records surrendered to DIM
- Lesson learned
- Improvement action
Record Management Audit Process
Migration of Record
Management ListACTION 1st DEADLINE
MITIGATION PLAN 2nd DEADLINE EVALUATION/ ASSESMENT
RESULTUPDATING DATA
ChallengesPEO
PLE • Respondents: Failed to
see the importance of RMA. They had difficulties to respond within time frame because of some reasons such as; busy with other jobs responsibilities (meetings, research), not in the office (fellowships, trainings), misunderstanding the format and not received the mail at all.
• DIM’s officers: Difficulties to choose the best practice, lack of staff, has no background in record management and proper training for KM Repository.
PR
OC
ESS • The system used were
conventional or manually
recorded into log books
• The classification was too
simple & the issue of docs
security not properly
addressed.
• The record keeping
activity was not properly
monitored.
• Some respondents
claimed the docs were
no longer available, due
the malfunction of their
desktop computer.
TEC
HN
OLO
GY • Microsoft excel to
record the list of documents that have been audited – from various long books.
• Old documents in hardcopy was recalled and recorded in a more systematic way.
• Requires modern tools – for digitization (e.gdifferent types of scanner) to ensure a smoother process and saves time.
• Well developed system – ILMU
Lesson Learned
Strengthening record management system
•Benchmarking or identifying the national key requirement (archive act) & to comply with international standard (if any)
•Endorsement from top management of the agency and supported by internal policies & procedures
•Planning - identifies kind of ‘record’, and the process involved (received, created, controlled, archived or destroyed)
Documenting key decisions
•Try to track a sample of key business decisions or processes through agency’s records
•Documentation for these processes was relevant for future operational decisions
•For example the chronology to embark on a new nuclear facilities; government decisions, legal aspect, procurement, commissioning, operational and decommissioning
Ensuring adequate security over records
•Document placement (onsite or offsite) & format (digital or printed)
•Classification according to the user’s need and standard of government documentation
•Secured access - by restricting the administrator to only a few staff
Training staff in records management
•Training has to be perceived like on investment, no like at expense
•Training focus on records management and it must be comprehensive and undertaken by all required staff
•E.g. Working closely with Malaysian National Library for capacity & capability building
RMA has very important and should be considered by the any R&D organizations
as part of their KM initiatives…
Conclusion
Good record management underpins Nuclear Malaysia’s R&D&C activities and
processes.
It supports agency accountability, permits effective flow of information within and
between agencies, and assists agency efficiency by ensuring information is readily
identifiable and available.
RMA will be considered as yearly activity with different scope and objectives.
[1] INTERNATIONAL ATOMIC ENERGY AGENCY, Knowledge Management for Nuclear Research and Development Organizations, IAEA-TECDOC-1675, IAEA, Vienna (2012).
[2] INTERNATIONAL ATOMIC ENERGY AGENCY, Record Keeping for the Decommissioning of Nuclear Facilities: Guidelines and Experience, IAEA-Technical Report Series 411, IAEA, Vienna (2002).
[3] NATIONAL ARCHIVE OF MALAYSIA, National Archive of Malaysian Act 2003 (Act 629) (2003), http://www.arkib.gov.my/c/document_library/.
[4] JIANKANG WANG, JIULING XIAO, Knowledge management audit framework and methodology based on processes, Journal of Technology Management in China, Vol. 4 Iss: 3, (2009) 239 – 249.
[5] HEALTH AND SOCIAL CARE INFORMATION CENTRE, An Approach to Records Management Audit (2007), http://systems.hscic.gov.uk/infogov/records/it04a.pdf
Re
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T H A N K Y O U | T E R I M A K A S I H
HABIBAH ADNAN
Director,
Information Management Division
MALAYSIAN NUCLEAR AGENCY
Bangi, 43000 Kajang Selangor
Malaysia
