Assessing Record Management Practices: A Study of Compliance and Diversity

Records management plays an important role in determining the continuity of organizational operations. The activities, procedures, and systems of any company depend on effective record management, and they facilitate organizational effectiveness, responsibility, risk management, and business continuity (De Mingo & Cerrillo-i-Martínez, 2018). According to Law No. 43 of 2009, records are the entire record of activities or events made and received by state agencies, local governments, educational institutions, companies, political organizations, community organizations, and individuals in the implementation life of society, nation, and state in various forms and media following information and communication technology developments. In an organization, records serve as the primary basis for decision-making. Given the importance of the records function, record management strives to guarantee that it is carried out in compliance with regulatory requirements. The term "records management" refers to the process of taking care of records. It is the process of keeping track of all of an institution's, organization's, or body's records from the moment they are created until they are ultimately disposed of. This comprises identifying, storing, protecting, and discarding (either through archival preservation or, in some situations, destruction (Unegbu & Adenike, 2013). The core of records management is the discipline and standards for the collection, storage, and administration of information in a meaningful format (Penn and Pennix, 2017). Making sure that records are created, used, preserved, and retired in a regulated and organized manner is the goal of records management (Touray, 2021). Archives and records must be handled by archive providers. Archives consist of documents produced or received by an individual, family, or organization, and are safeguarded due to their ongoing significance. On the other hand, records encompass information or data stored on a medium, serving as an extension of human memory or aiding in accountability (Pearced-Moses & Baty, 2005). Records are not synonymous with archives. Archives are static, long-lived, durable, and they collect records and long-term storage permanent preservation. On the other hand, records are dynamic and not all records merit ongoing preservation (Peace Moses & Baty, 2005). Records (public records, vital records, preserved records) and inactive records are controlled by record makers through creation, maintenance, and usage, as well as record depreciation. Records are administered by archival organizations using historical archival criteria for acquisition, management, preservation, and access to records (Azmi, 2016). The worth and relevance of a record must be preserved since records include a wealth of information about key transaction activities and serve as a collective memory for future generations (Deliani and Armiati, 2021). Sari, Tri Rama, et al. (2019) defined records as the translation of the word record, which means recorded, and which also consists of data in a computer system and is made or received by bodies or institutions, as well as individuals in transactional activities or taking actions as evidence of activity. Records must be managed in the record creator's environment to ensure their availability in organizational operations since records represent proof of performance accountability and legitimate evidence for an organization. At the records creator level, records management operations include record creation, record usage and maintenance, and record disposal. The purpose of managing records is to manage the creation of records to minimize unnecessary documents, which requires an efficient level of records management, one of which is arranging records files according to procedures and ensuring adequate record storage space, then being able to destroy records that are not valuable and preserving records that have permanent value (Basuki: 2003 in Sari, Tri Rama et al. 2019). Records play a vital role in higher education management, from the institution's founding to the development, implementation, monitoring, and renewal stages of its programs, and these records contain crucial data for the institution's ongoing survival (Mahama, 2017). Universities must manage their records properly as they serve as authentic proof in all activities. ISO 9001:2008 is a quality standard used in higher education to enhance educational quality. Therefore, organizations including higher education must struggle with managing records due to a lack of assessment of records management. Research in records management is needed to integrate record knowledge and technology in the sector. If records management doesn't align with field theory and techniques, it can lead to (1) poor use of records for organizational governance; (2) inadequate use of records for organizational responsibility; (3) difficulty assessing losses, and (4) wasted space due to record accumulation. An initial survey of record management practices at a few Islamic universities and colleges (Perguruan Tinggi Keagamaan Islam Negeri, PTKIN) in Central Java and Yogyakarta revealed that systematic record management is in place, with established procedures in each institution. For example, IAIN Kudus had two pillars for record management in 2019, and by 2023, this increased to four pillars. UIN Salatiga is noteworthy for its excellent service integrity. Each of these five PTKINs exhibits distinctive characteristics warranting further investigation. Consequently, exploring the subject of record management in these institutions becomes crucial to enhancing the effectiveness and efficiency of record administration. Therefore, the study aims to assess whether the five PTKINs in Central Java and Yogyakarta have implemented record management practices under ANRI Head Regulation (Perka) Number 14 of 2011, which pertains to record management in the higher education environment. This includes aspects such as filing system design, record creation, usage, and maintenance and depreciation. Despite the significant benefits that effective records management can bring to universities, the reality is that some Islamic universities and colleges in both Central Java and Yogyakarta still face challenges in achieving optimal dynamic archive management. This study seeks to assess the records management practices in PTKINs in these regions, focusing on both compliance and diversity. The suboptimal practices identified in records management could lead to the loss of crucial information, impacting the availability of archives for performance accountability evidence and legal documentation. Consequently, this research is essential to provide recommendations for the enhancement of records management at PTKINs as a whole.

This field study aims to describe compliance and diversity in records management across PTKINs in Central Java and Yogyakarta. The research employed a qualitative descriptive technique. This study investigated records administration at PTKINs throughout Central Java and Yogyakarta using purposive sampling. The criteria for selection included having a record manager, and the chosen institutions were UIN Raden Mas Said Surakarta, IAIN Kudus, UIN Walisongo, UIN Sunan Kalijaga, and UIN Salatiga. Informants for this study included record managers and individuals associated with records in each of these higher institutions. The research was conducted from May 3rd to August 29th, 2019, and it was re-confirmed in July 2023. The research utilized the following data collection methods: 1. Observation: direct observation of archivists and records administrators, along with video recording of their records management processes. 2. Interviews: conducting interviews with archivists, records administrators, and the head of administration affairs. 3. Documentation: utilizing records management guidelines, screenshots of sample records, and screenshots of records management information technology. The data analysis procedures involve several steps. Initially, the researcher aims to minimize the collected data by selecting the most relevant information essential for research development. Field-collected data is documented and summarized, focusing on key points, and thorough descriptions or reports are used to identify themes or patterns. The data is then presented in tabular form for verification and conclusion. During the conclusion-drawing and data validation phase, researchers examine patterns, themes, linkages, similarities, recurring topics, and theories within the gathered data. Despite the initial conclusions being tentative, unclear, and uncertain, they gain strength as evidence accumulates over time.

Based on the study field observations, the study gained insights into the construction, management, depreciation, use, and maintenance of records at five research locations in Central Java and Yogyakarta, along with the challenges they face. The information we gathered is presented below. Table 1. Record information at IAIN Kudus and UIN Raden Mas Said Surakarta IAIN Kudus UIN Raden Mas Said Surakarta Filling System Design Record Creation Use and Maintenance Disposal Vital Record Management Inactive Record Management Records Management Challenges IAIN Kudus' file system is now legitimate and legalized by Chancellor's Decree No 01 tahun 2022. The classification record and classification system of security record number 001 year of 2021. Record retention schedule (the JRA) number 1476 the year of 2019. They implemented the Electronic Record System (SKE). To improve the filing system, organize and classify documents, set retention schedules, and establish access rights. This ensures comprehensive and efficient management.. Proper filing of records is crucial for easy accessibility and utilization. The standard for classification is widely accepted as the guideline for record managers. The record retention schedule (JRA) is the initial step in the record depreciation process. A draft of the Record Retention Schedule has been created at IAIN Kudus. The JRA is based on KMA No. 120 of 2013 and Permenristekdikti No. 23 of 2018. A rector's order will specify the draft strategy, which will be attempted in 2019. 1. The Head of the AUAK Bureau keeps vital records linked to the results of the BPK audit, the Decree on the STATUTA of IAIN Kudus. 2. The General, Household, and Public Relations sub-sections keep vital State Property records. 3. The Quality Assurance Agency maintains vital records about study program accreditation. The management of inactive records at IAIN Kudus is still in the process of organizing and collecting data, but it already has a distinct structure that serves as a record depot. In the IAIN Kudus environment, managed inactive records are records generated by all faculties, units, and rector's offices. a) Human resources are still in short supply. b) Discipline and Compliance in the use of official scripts. UIN Raden Mas Said Surakarta has not implemented a computerized system for organizing records but adheres to Chancellor's Decree No. 411 and Ministry of Religion guidelines for official document layout. UIN Raden Mas Said Surakarta is testing a new record information system to register incoming letters. The National Records of Indonesia is funding the system, and scanning is used to back up the correspondence procedure. UIN Raden Mas Said Surakarta organizes records alphabetically and stores academic records by year of graduation. Financial records disbursement. track fund Unused records at UIN Raden Mas Said Surakarta are moved to inactive record spaces. The transfer is authorized by the unit head and supported by an official report. The record manager receives and handles these records with help from staff with lower workloads. a. Lack of Human resources as UIN Raden Mas Said Surakarta has just one Record manager. b. Facilities and infrastructure are adequate. c. Because there is only one record manager, the socialization of records management is not in line with appropriate procedures. d. There are no rules for classification, maintenance, or JRA Record Retention Schedule. Source: Data processing Table 2. Record information at UIN Walisongo dan UIN Sunan Kalijaga UIN Walisongo UIN Sunan Kalijaga Filing System Design 1) In July 2023, the Chancellor's Decree for the 4 pillars of records management guidelines completed. was 2) The establishment of a dedicated space as an embryo of the UIN Walisongo record depot, which will be launched in August 2019, as well as the installation of the SIKD application in the rectorate environment. The arrangement of official scripts at UIN Sunan Kalijaga has been set up since 2014 when it was approved by Chancellor's Decree Number 237.1. The scope of UIN Service Manuscripts includes composing official letters, signing official letters, 3) Four record managers who have been spread in various sections will be assigned to work together in the archive depot. utilizing institutional emblems or logos, and making revisions, revocations, cancellations, and corrections to official documents. 4) Monitoring the implementation of the four instruments to all UIN Walisongo stakeholders. Record Creation 1) At UIN Walisongo, the development of records begins when the General sub-section receives incoming letters from both internal and external stakeholders. 2) The administrator verifies the address, the destination, and the sender. Furthermore, the administrator enters the arriving letter into the computer's mail agenda book and provides a disposition sheet. 3) Incoming mail is then scanned and saved on the computer. This media transfer is only performed for essential incoming mails. 4) Incoming mail is directed based on the function of the letter. 5) Distribute according to the disposition sheet. 6) Request acknowledgment of receipt of letters sent. Use and Maintenance 1. The record manager receives and investigates the request for borrowing the collection. 2. The executor approves the loan's disposal and subsequently searches for records. UIN Sunan Kalijaga now uses an updated SIKD system with an outgoing mail electronic feature for document management. All faculties and units have a user login with access permissions overseen by an Archivist. Currently, UIN Kalijaga's maintenance Sunan services are confined to dusting printed records. PTIPD maintains records in the form of maintenance files since they are stored in a database 3. Records are discovered, and a list of borrowed records is created. Disposal Vital Record Management Inactive Record Management Record Management Challenges The Records Retention Schedule at UIN Walisongo already has written regulations based on the ANRI Head Regulation (Perka), but execution has been delayed since the Chancellor's Decree, which is a derivative of the SK Head of ANRI, has not been signed. The management of the important records at UIN Walisongo is still in the storage and borrowing stages. The storage of this crucial record is handled by a storage unit in line with the record's usage. 1. The Quality Assurance Agency maintains records of higher education accreditation certificates and majors. 2. The BMN UIN Walisongo area maintains State Properties (BMN) records. 3. The Head of the Bureau keeps records relevant to the history of the founding of UIN Walisongo, nomenclature, and other topics. and those who back up data periodically are computer institutions. The record retention schedule (JRA) of UIN Sunan Kalijaga is now awaiting the decision of ANRI Jakarta's head. The UIN Sunan Kalijaga Records Section used to depreciate records; in 2018, the 2001-2007 Financial Records were disposed. This devaluation was done in collaboration with ANRI. 1) The server is still linked to the Academic Information System, coincides therefore if it with KRS/registration or if the Academic Information System experiences issues, the mail system is affected as well. 2) Application to official email circulation is not always real time. 3) Employee resistance to switching from the old pattern to the new pattern. 4) According to the leadership paradigm, once a system is in place, it operates 24 hours Source: Data processing Table 3. Record information at UIN Salatiga UIN Salatiga Filing System Design UIN Salatiga's record system needs improvements in TND, classification, file system, and record retention. Guidelines from the Ministry of Religion are used, but there are no specific rules for archiving. This leads to variations in classification and criteria. Record Creation Khizanah al-Hikmah : Jurnal Ilmu Perpustakaan, Informasi, dan Kearsipan Volume 11 Issue 2 Incoming mail is received at the Public Relations division and goes into the electronic system for letter disposition. Letters addressed to the Chancellor are sent to the Administration Division for instruction on who to address it to. Some letters go to vice chancellors, heads of bureaus, and heads of sections. After disposition acknowledgment, the letter is sent to the processing unit for a response. Use and Maintenance Disposal Vital Records Management Borrowing records at UIN Salatiga depends on daily practices. Only internal personnel have access, and external employees need authorization from the direct supervisor. Photocopies or printed scans from Google Drive are allowed. Although there is no record retention schedule guidance, UIN Salatiga has performed archival reduction. This is based on the findings of conversations with Mr. Argo, the recipient of the records that the processing units "considered" to be inactive. It is said to be "considered" since there are no defined criteria and the record manager's feelings govern the appraisal of active and inactive records. - Inactive Record Management - Record Management Challenges 1) Competent human resources in the field of records continue to be scarce. UIN Salatiga currently has two record managers. These two record managers are employees who apply to become record managers by completing in-passing tests. Given their backgrounds, these ardent Record managers are eager, yet institutional support and expertise in the world of records remain missing. 2) A lack of stakeholder support for records governance. 3) Because the campus is divided into three places, coordination between units, institutions, central offices, and faculties within UIN Salatiga is challenging. Source: Data processing

According to ANRI Head Regulation (Perka) Number 24 of 2011 concerning Guidelines for Organizing Records in Higher Education Environment, four things must exist in management: system design, records creation, use and maintenance, and record disposal. There were two PTKIN (IAIN Kudus and UIN Walisongo Semarang) that had completed the four records management system instrumented in the ANRI Perka. UIN Sunan Kalijaga Yogyakarta already has three instruments (official document management, retention schedule, and record classification). The official manuscript arrangement is the only type of instrument available at UIN Raden Mas Said Surakarta. Lastly, UIN Salatiga lacks the instrument entirely. Furthermore, there are no established guidelines for the process of using and maintaining all of the PTKINs studied, especially in terms of usage. The challenges in maintaining records at PTKINs in Central Java and Yogyakarta based on a records management system governed by ANRI Head Regulation (Perka) Number 24 of 2011 emerge from a shortage of human resources who are knowledgeable about records. UIN Raden Mas Said Surakarta and UIN Sunan Kalijaga are two PTKINs that only have one archivist. UIN Salatiga has two record managers from the in-passing route, whereas IAIN Kudus has one from the in-passing route and one from the 2018 candidates for civil servants (CPNS). UIN Walisongo has four record managers, all of whom are from the in-passing path. The recommendations are, to recruit more number of archivists, add more facilities and infrastructure, especially in the application of information technology, provide outreach and technical guidance for PTKIN, and provide more budget for organizing record management workshops.