Chapter 3

Records Management Process

in Business Organizations
 Introduction
 According ISO15489, the process of managing records systematically
include:
3.1 Capture
3.2 Registration
3.3 Classification
3.4 Access and security classification
3.5 Identification of disposition status
3.6 Storage
3.7 Use and tracking
3.8 Implementation of disposition
 3.1 Capture

 The process of determining that a record should be

made and kept.

 This includes both records creation and received by the

organization such as correspondence and memos.

 It involves deciding which documents are captured,

which in turn implies decisions about who may have
access to those documents and generally how long they
are to be retained.
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Identify a way that affected
capture process
 Decision about which documents should be captured and
which are not needed are based on an analysis of the
organizations’ business and accountability.
 In paper records system, capture can be affected by:
 Physically placing a document into a chronological
sequence within a file or folder that contain a
title.
 Papers added progressively to file maybe dated or
numbered sequentially to provide additional
security in defining the series of action.
 Additional indexing points maybe added
subsequently to the file to ensure that the specific
document can be located and retrieved.
 Electronic records systems capture documents in a
more deliberate process.

 Systems that capture records also need to capture

metadata associated with a record in a way that:
 describes the record both for what it contains
and the context of the business taking place,
 enables that record to be a fixed
representation of action, and
 enables the record to be retrieve and rendered
meaningful
 3.2 Registration

 Its purpose is to provide evidence that a record has

been created or captured in a records system.
 It involves recording brief descriptive information about
the record in a register and assigning the record a
unique identifier.
 Registration specifies the following metadata as a
minimum.
 a unique identifier assigned from the system such as:
 document name or title,
 text description or abstract,
 date of creation,
 date and time of communication and receipt,
 author (with his/her affiliation),
 sender (with his/her affiliation),
 recipient (with his/her affiliation),
 classification according to the classification scheme,
 business system from which the records was captured,
 application software and version under which the record was
created or in which it was captured,
 details of embedded document links, including applications
software and version under which the linked record was
created,
 templates required to interpret document structure,
 access,
 retention period, and other structural and contextual
information useful for management purposes.
 the date and time of registration
 a title or abbreviated description;
 the author (person or corporate body), sender or recipient.
 3.3 Classification

 Related to business functions may provide a systematic

framework for records management.
 Analysis for the purpose of developing the business
activity classification identifies all of an organization’s
activities and locates them in the framework of its
stated or mandated mission or purposes.
 Classification system provide an organization with a tool
to :
 organize, describe and link its records
 link and share interdisciplinary records, either internally
or externally to the organization
 provide improved access, retrieval and dissemination of its
records as appropriate.
 The structure of a classification system is usually hierarchical and reflects
the analytical process as follows.
 The first level usually reflects the business function
 The second level is based on the activities constituting the function
 The third and subsequent levels are further refinements of the activities or
groups of transactions that take place within each activity.
 The example of hierarchy for personnel might be set out as follows.
 1.0 Managing Human Resources
i. Determining Allowances
ii. Establishing Conditions of Employment
 Appointments
 Apprenticeship
 Childcare
 Flexible work arrangements
iii. Calculating Leave
 Accrual
 Entitlements
 Holidays
iv. Recruiting Employees
v. Determining Salaries
 Deductions
 Overtime
 Remuneration
 Superannuation
 BLOCK NUMERIC SYSTEM
Example:
▪ ANM 100 : Pentadbiran
▪ ANM 200 : Tanah & Bangunan
▪ ANM 300 : Aset (Bekalan & Kelengkapan)
▪ ANM 400 : Kewangan
▪ ANM 500 : Sumber Manusia
 PENTADBIRAN (100)
1. Perundangan 11. Kemudahan
2. Perhubungan Awam 12. Persatuan/Pertubuhan/Kelab
3. Lawatan 13. Parlimen
4. Kerjasama 14. Penerbitan/Percetakn
15. Pengurusan Kualiti: ISO, KPI,
5. Kempen KMK
6. Laporan & Perangkaan
16. Kehadiran Bekerja
7. Mesyuarat 17. Pengurusan Pejabat:
Pengurusan Rekod
8. Ucapan & Perutusan
18. Perayaan
9. Keagamaan 19. ICT
10. Pilihanraya 20. Pusat Sumber
21. Rancangan Malaysia
22. Perancangan Kerja Jabatan
 TANAH & BANGUNAN (200)
1. Tanah
2. Bangunan
3. Sewaan
4. Keselamatan Bangunan
5. Penyenggaraan
 CONTOH (200)
200 -1 Tanah
200-1/1 Perolehan Tanah
200 -2 Bangunan
200-2/1 Bangunan Ibu Pejabat
200-2/2 Bangunan Cawangan
200-3 Sewaan
200-4 Keselamatan Bangunan
200-5 Penyenggaraan
200-5/1 Penyenggaraan Bangunan
200-5/2 Penyenggaraan Peralatan
 ASET (BEKALAN & KELENGKAPAN)
(300)
1. Perolehan & Terimaan
2. Pengurusan Stok
3. Penyenggaraan
4. Pelupusan & Hapus kira
 KEWANGAN (400)
1. Akaun 11. Hasil
2. Audit 12. Kumpulan Wang
3. Bank 13. Penyata
4. Bayaran
14. Pinjaman
5. Belanjawan / Bajet
15. Perolehan
6. Cagaran & Wang
Jaminan 16. Tanggungan/Hutang

7. Cek 17. Wang Pendahuluan

8. Cukai 18. Yuran
9. Elaun 19. E-Perolehan
10. Penurunan Kuasa 20. E-SPKB
 CONTOH (400)
400 Kewangan
400-9 Elaun
400-9/1 Elaun Perjalanan
400-9/1/1 Elaun Perjalanan Dalam Negeri
400-1/1/2 Elaun Perjalanan Luar Negeri

400-9/2 Elaun Pakaian

400-10 Penurunan Kuasa
3.4 Access and security classification
 Reasonable security and access will depend on both the nature
and size of the organization as well as the content and value of
the information requiring security.

 Reasonable security can be described as the level of security

needed to protect the information from any unauthorized access,
collection, use, disclosure, deletion, alteration or destruction.

 ‘Reasonable’ for one organization maybe a locked filing room,

while for another it may be locked, guarded, and limited-access
filing room with video cameras.

 “Access classification’ apply to people, both those who are

responsible for managing the access-classified records and others
with right to access.
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Confidentiality level of Document in Malaysian public sector
Access to records may be restricted
to protect:

 personal information and privacy

 intellectual property rights and commercial confidentiality
 security of property (physical, financial)
 state security
 legal and other professional privileges.
Assigning rights or restrictions to access
involves similar steps to activity classification.

▪ Identify the transaction or business activity that the record

documents
▪ Identify the business unit to which the records belong.
▪ Check the access and security classifications to establish whether the
activity and the business area are identified as areas of risk, or have
security considerations and/or legally required restrictions.
▪ Allocate the appropriate level of access or restriction to the record
and specify appropriate control mechanisms for handling.
▪ Records the access or security status of the record in the records
system to signal the need for additional control measures.
 Chapter 3

Records Management Process

in Business Organizations
 Introduction
 According ISO15489, the process of managing records systematically
include:
3.1 Capture
3.2 Registration
3.3 Classification
3.4 Access and security classification
3.5 Identification of disposition status
3.6 Storage
3.7 Use and tracking
3.8 Implementation of disposition
 3.5 Identification of disposition status.
The disposition authorities may prescribe permanent preservation, either
within the organization or in a separate archives institutions such as National
Archives of Malaysia.
It involves the following steps:
1. Identifying the transaction or business activity documented by the
records
2. Locating the transaction and records in the appropriate records
class in the disposition authority.
3. Allocating the relevant retention period and identifying the
anticipated disposition action.
4. Recording the retention period and future disposition action in the
record system.
5. Determining the extent to which it is necessary to retain metadata
about records that have been transferred to an external storage
service provider or to an archive or that have been destroyed.
6. Monitoring and review.
 3.6 Storage

 Appropriate storage conditions ensure that records are

protected, accessible and managed in a cost- effective
manner.

 The 3 basic factors for selecting storage supplies and facilities

are as follows:
❖ Need for storage supplies and equipment
❖ Facility consideration
❖ The cost realized.
1. Need for storage supplies and equipment

▪ The kinds of records to be filed and controlled

▪ The frequency of use for each kind of record during the day
▪ The number of people working at the files at one time
▪ The volume of records to be handled in a given period of time, such as
six month or a year
▪ The method of filing best suited to handling the records- alphabetic,
geographic, subject, numeric or a combination of these methods.
▪ The type of charge out and follow out of system used
▪ The transfer method used
▪ The physical characteristic such as weight, floor space required, need
for temperature and humidity control, and the particular physical
preservation requirements for the records media.
▪ The security and retention requirements of the records
▪ The organization and distribution of records (centralized or
decentralized)
2. Facility consideration
 To ensure that records are adequately
stored and protected, the facility needs
to consider the following factors.
❖ Location
❖ The location should be easily accessed and should
not be areas of known external risks.
❖ Building structure
❖ The building structure should provide the
suitable range and stability of temperature and
humidity level protection, protection against
water damage, protection from contaminants,
safety measures, controlled access to storage
areas, detection systems for unauthorized entry
& protection against damage caused by insects or
vermin.
❖ Availability of Equipment
❖ Manual retrieval equipment
❖ Vertical file cabinet, Lateral file cabinet

❖ Shelf files

❖ Tub files

❖ Mobile shelving

❖ Suspension files

❖ Mechanical Retrieval Equipment

❖ File storage equipment with an engine. Records are delivered to the filer by some
kind of motor-driven

❖ Storing other records

❖ Catalogs and directories

❖ Large and Odd sized records

❖ Mixed Media
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3. Cost of supplies storage and equipment

▪ In determining the costs, keep in mind the following points:

❖ Cost of the personnel needed to work with the records.

❖ Compatibility of supplies and equipment.

❖ Advisability of using local vendors rather than purchasing from out-of-town

vendors.

❖ Possibility of discounts for quantity purchases.

❖ Feasibility of choosing used rather than new equipment.

❖ Volume of records that can be stored within the equipment. Lateral, shelf, or
rotary equipment can house more square feet of records than can
conventional drawer file cabinets in the same square footage of floor space.
 3.7 Use and tracking
 Use of the records is a records management transaction that
may need to be captured by the system to form part of the
metadata.

 They provide information for decision making, for

documentation, for response to inquiries, for references, or
for supporting legal requirement.

 Records used include providing record users with search,

retrieval and display tools and enforcing record access and
security transaction.

 Use of the record may affect its access and disposition

status.
 Managing the use of records encompasses

▪ Identify the records system user permissions related with

individuals and their positions with the organization.

▪ Identify the access and security status of records.

▪ Identify the access rights for people external to the

organization.
▪ Ensuring that only individuals with the appropriate
user classification or security rights have access to
records with restricted status.

▪ Tracking the movement of the record to identify

those who have or have had custody of it.

▪ Ensuring that all use of the records is recorded to

an appropriate level of detail.

▪ Reviewing the access classifications of records to

ensure that they are current and still applicable.
Tracking of records

 The tracking of records usage within records

systems is a security measure for organizations.

 It ensures that only those users with appropriate

permissions are performing records tasks for which
that have been authorized.
 Systems for monitoring use and/ or movement of
records range from physical card- based movement-
recording systems to bar- coding technology, to
electronic records systems where viewing a record is
automatically captured as a system transaction.

 Tracking systems have to meet the test of locating any

record within an appropriate time period and ensuring
that all movements are traceable.
• CONVENTIONAL INSTRUMENTS TOOLS IN
REGISTRY
There are various conventional instruments tools
designed to ensure that the registry is able to perform
these two functions. The most conventional method
makes use of:
• Register books
• Index slip
• Track card/charge out card
• KIV system
• Sub jackets and temporary files
REGISTER BOOKS

 Serves to documents which have been created and

closed.
 The order in which records are listed reflects the
numerical or alphabetical sequence and not the
subject matter.
 Normally contain details such as:
 File code no.
 File title
 Date or file opened
 Date of file closed
REGISTER BOOKS: ADVANTAGES

 Advantages:
 To indicate the number of files created within a
year
 To indicate the date of creation of file
INDEX SLIP

 Refers to all the possible references made to a

particular code, word or phrase that are to be found
in a file reference number or title.
 Arranged in either alphabetical or numerical order
 INDEX SLIP

• ADVANTAGES
– Officers only need to know the reference
number or the file title.
– Easy to look through the alphabetical index for
any word/phrase that comes close to the
subject.

• DISADVANTAGES
– Staff will not know the total number of files
that have been charge out / borrowed
TRACK CARD/ CHARGE OUT CARD

 Containing information about the borrower and the

date that file was borrowed is inserted in each and
every file.
 Insert in each and every files.
 File that are indicated on the card which is then
removed and kept separately along with other cards
for files similarly borrowed.
 The cards are arranged in sequence.
 When the file return, the card is re-inserted in the file.
 TRACK CARD/ CHARGE OUT CARD:
ADVANTAGES

 Show the number or files that have been borrowed.

 Easy to determine whether the borrower has lost it or
the file has been misplaced.
 Charge out card is much lesser than index card.
 Easy to arrange and make reference.
 KIV SYSTEM

 Files are KIV for the following purposes:

 Awaiting reply or a particular information that is
expected to be received at a particular point in the
future.
 Awaiting a particular date line that has been given
for an offices to complete his/her work.
 Facilitate the transfer of a file that is presently being
used by a particular officer to another who needs it
promptly for some other transaction.
 To act as a reminder to carry out a particular action in
the future.
 KIV SYSTEM: ADVANTAGES

 File need not to be allowed to be collected on the

officer’s desk. The file may be sent to the registry
with an assurance that they will be at hand at the
right time.
 Allow work to be planned and carried out according
to a projected time table.
SUB-JACKETS/ TEMPORARY FILES

 Used in following situation:

 File are been misplaced or cannot be
immediately retrieve.
 File being used for an urgent purpose by some
other officer.
 Document/letters received may lead to the
creation of new subject
 3.8 Implementation of disposition

 Disposition is the action taken with regards to

records as a consequence of their appraisal and
the expiration of their retention period.

 The implementation of disposition will be

effective and successful if the organization
could refer to the records retention, records
inventory and destruction schedule of the
organization.
The implementation of disposition is based on the three steps
below:
 Preservation

 Destruction
 Transfer of custody or ownership records
Preservation

 Copying the production of identical copy within the same type of medium
(papers/microfilm/electronic).
 Eg : from paper to paper, microfilm to microfilm or the production of backup
copies of electronic records (which can also be made on a different kind of
electronic medium)

 Conversion involves a change of the format of the records but ensure that the
record retains the primary information (content).
 Eg : microfilming of paper records, imaging, and change of character sets.

 Migrations involves a set of organized tasks designed to periodically transfer

digital material from hardware/software configuration to another, or from
one generation of technology to another.
 The purpose migration is to preserve the integrity of the records and to retain
the ability for clients to retrieve, display otherwise use them.
 Migration may occur when hardware and/or software becomes obsolete or may
be used to move electronic records from one file format to another.
Destruction

 Methods of Destruction
The most common method of destruction
includes the following:
 Landfill
 Incineration / Burning
 Shredding
 Recycling
 Destroying Microfilm
 Destroying electronic records
Transfer of custody or ownership records

 Such a transfer of ownership or custody of

records to another organization may
include:
▪ Transfer to other organizations with
responsibilities for the records,
▪ Transfer to outsourced or contractor
organizations,
▪ Transfer to a storage facility, or
▪ Transfer to an archive.
 If the electronic records are transferred, such issues as
the following need to be considered:
▪ Hardware and software compatibility;
▪ Metadata (control and contextual information);
▪ Data documentation (technical information on data processing
and data structure);
▪ Licensing agreements;
▪ Standards.
CRC in Malaysia
The End