VOL
198
2022
E-MAGAZINE
MANAGEMENT OF
BUSINESS RECORDS
PREPARED FOR
MADAM NOR DIANA BINTI HJ. ABD RAHMAN
CONTENTS
1 TERMS AND BASIC CONCEPT OF
RECORD MANAGEMENT
2 RECORDS LIFE CYCLE
3 BUSINESS RECORDS
MANAGEMENT
4 LAW AND LEGISLATION
5 REGISTRY
6 FILLING PROCEDURE
7 RECORDS MANAGEMENT
PROCESS
8 APPRAISAL & DISPOSITION
OF RECORDS
9 EMERGENCY PLANNING AND
VITAL RECORDS CARE
Editor’s Background
Nur Syazwana binti Anuar Nurul Fatihah Binti Abu Nain
2022924001 2022758265
Nurain Fatihah binti Siti Nurnadhirah binti
Muhammad Arif Abu Bakar
2022981121 2022970273
TERMS
AND
BASIC
CONCEPT
OF
RECORD
MANAGEMENT
INTRODUCTION
Record management is the administration
of records and recorded information over
their full lifecycles , which includes the
process of creation, maintainance ,usage,
storage,retrieval,anddestruction.
Generally, there are two types of The main goals of records
record which are traditional paper management is to keep valuable
record and electronic record . information readily accessible for
Traditional record management business requirements as well as
iovolve the management and compliance audits especially for
storage of hard-copy documents,
while electronic record save all the large organizations, record
record in the form of digital files in management is crucial things
the software . The documentation because it is impossible to track
of record may be exist in the form
of contract, memo, paper files, every piece of valuable
electronic files report, letter, information with the help of simple
emails,ordatabaserecord.
spreadsheet
TERMS IN RECORD
MANAGEMENT INFORMATION
Something that can lead to
knowledge regardless of
the medium of its
DOCUMENT conveyance to one or
A medium through which more persons
information is imprinted for
conveyance to one or
more than one person. In
a paper based records
management system, a
document is usually DATA
defined as the smallest Information that represent in a
unit for filing. formalized manner suitable
for communication,
interpretation, and
processing, generally by a
RECORD computer system. Raw data
Recorded information in a refers to unprocessed data.
form of document regardless
of form or medium made or
received by an organization
and that is useful in the PUBLIC RECORD
operation of the Records created or received and
organization. maintained in any public sector
agency.
PRIVATE RECORD
Records created, received and
maintained by nongovernmental
organizations, families or
individuals relating to their private
and public affairs.
TERMS IN RECORD
MANAGEMENT
Archives REGISTRY
Records usually but not A unit within organization.
necessarily non-current records, Basically, it responsible for
of enduring value selected for managing the records of that
permanent preservation.
particular organization.
Registry ensures that there
Evidence is a good flow of recorded
An indication, sign, testimony, in
support of a conclusion. information in the
organization.
ARCHIVAL RESPOSITARY RECORD CENTER
building or part of a building in The records center is a
which archives are preserved
building designed or
and made available for adapted for the low-cost
consultation also known as an storage, maintenance and
communication of semi-
archives. current records pending their
ultimate disposal
AuRnoteamfhctbouoecusrrrntsaediptlansaitoecearsutdrs,otre. aepfFsccouooartrutmdhrsseeeatrteer mafutsestptrarntceiroRcsetee.anbcRtSotieeoetrcanddaolttiariendrcrea
CHARACTERISTIC
OF RECORD
Authority
Records are created and received
to support business activities and have
an official status
Unique
Any group of records, with its
interrelationships, and related as it is to
specific business processes, is unique.
BENEFITS OF DECEMBER 2022 | ISSUE 10
RECORD
MANAGEMENT
Reduces records volume and storage costs
Effective retrieval of records
Enables regulatory compliance
Enables business continuly
Automates workflow
CONCLUSION
Based on this topic we can
conclude that record
management is very
important in an
organization, especially for
a large organization,
systematic record
management is very
important because it is
impossible to track every
valuable information with
the help of simple
information. spreadsheet.
Indeed, good record
management will also
facilitate the affairs of an
organization and will
speed up the process of
doing work. this will
directly make an
organization appear more
systematic and organized
in carrying out its
operations.
SPECIAL VOL 2022
EDITION 198
RECORDS
LIFE CYCLE
LIFE CYCLE
Introduction
A concept of records which is created,
is used for so long as it has continuing
value and is then disposed of by
destruction or by transfer to an
archival institution.
RECENT 2022
THE
Stages of Records
Life cycle
R ecords begin at the creation stage when a
new record is registered. At this point,
records are deemed active. Writing a letter
or memorandum, filling out a form, replicati
-ng an existing record, taking a photograph,
videotaping, and other methods can all be used to
produce a record. As a result, the creation stage of
the life cycle is critical since it establishes the
foundation for the duration of the entire life cycle.
The following stage is when it is actively being used.
It requires the records be carefully kept to prevent
loss and that action be taken in response to the
records.
The disposition stage is the last one. Records will
either be destroyed or saved for later use.
Phases of
The Life
Cycle of
Records
SEMI CURRENT CURRENT RECORDS
RECORDS
Records regularly used for
Required only frequently in the the conduct of the current
conduct of current business. business of an organization
Normally be maintained in a or individual. Normally be
records center or other offsite maintained in or near their
intermediate storage and must place of origin or in a
be kept for administrative, fiscal, registry.
or legal reasons.
NON-CURRENT RECORDS
Phases
Records no longer needed
for the conduct of business
but for records with values
can be preserve in archival
repository also non as non
active records.
Editor-in-Chief
WHO IS RESPONSIBLE FOR
IMPLEMENTING & MAINTAINING AN
EFFECTIVE LIFE-CYCLE RECORDS
MANAGEMENT SYSTEM IN AN
Records Manager is responsible ORGANIZATION?
for implementing and
maintaining and effective life
cycle records management
system that will ensure the
provision of the right records to
the right person at the right
time.
GOALS OF RECORD
MANAGEMENT
To create the right To make records To ensure To ensure records
information and are created and
records. available for the right records are maintained in
individuals
To ensure records are available at
managed efficiently
and at a low cost. To ensure the right the right times appropriate formats.
records are used in and at the
making decisions. right places.
To ensure records
with value are
transferred to the
Examples of organizational risks of record keeping archives and those
accountability failures: without value are
1. Non-compliance with existing law in force. eliminated
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.
CATCH SOME INFORMATION In order to comply with
numerous compliance
CONCLUSION
requirements and
IN THE SPOTLIGHT regulations, the records
lifecycle ensures that all
records are maintained and
preserved effectively, and
that they are disposed of or
archived in accordance with
their retention plan.
Records management
problems without the
lifecycle will make it
impossible to cNrOeMaAtDeI C the | 2 4
ideal implementation
strategy.
RECORDS
MANAGEMENT
BUSINESS
RECORDS &
BUSINESS
MANAGEMENT
CONTROL
SYSTEMS
OF BUSINESS
RECORDS
TYPES OF
BUSINESS
RECORDS
INTRODUCTION
After the legal period, records are discarded. Provides guidelines
on how to preserve, store, and monitor legal, administrative,
financial, and historical records. Good document management
reduces clutter and speeds productivity. Many companies handle a
lot of data daily.
Everyday-doers have a full and efficient record management
system. An organization must define records before creating a
management procedure. Paper, email, database, or spreadsheet
may store the record. Records might be photographs, videos, or
sounds. Legal, financial, historical, and daily records exist. Create
records, transmit them within and outside the firm, use them, keep
them updated, and store them.
BUSINESS
RECORDS
Business records provide
business-related
information. Meeting
minutes, legal contracts,
and other records might be
physical or digital. Not all
business-related papers
are business records.
Business records should be
defined by a records
management system.
BUSINESS
MANAGEMENT
Business management
organizes business activities.
Managers manage
operations and boost
employee productivity. A
business manager may
supervise or train new hires
to meet operational and
financial goals.
CONTROL SYSTEMS
OF BUSINESS
RECORDS.
04. CORPORATE
Process that ones uses to identify when The records show the
and where something goes wrong with
the business process. background and
Records control follow set procedures condition.
used to make filing and retrieval 05.
Allow authorized officer to take EXECUTIVES
corrective action Used to explain about
the administration of
TYPES OF BUSINESS the organization and
RECORDS. everything that shows
the information about
01. ADMINISTRATIVE the organization.
Used in the daily
operation of a 06. INSURANCE
business organization 07. These records can be
used by a policymaker
02. ADVERTISING to claim for any
These records are damage or loss.
created in the process
of promoting goods LEGAL
and services to the Used to protect the
customers rights of an individual
or an organization
03. ACCOUNTING & FISCAL whenever it comes to
Used to demonstrate any legal proceedings
the process of
financial in business
organization
CONCLUSION
Based on this topic, it explains about business
records and business management. In addition, it
also give more details about how to control systems
of business records. Last but not least, it also the
types of business records which is administrative,
advertising, accounting & fiscal, corporate,
executive, insurance, legal and others.
Records
Management
Standard &
Legislation
Introduction
To help organization stay
within the policies and
procedures of the country
they are operating in
regarding the retention of
information
MALAYSIA
NATIONAL
ARCHIVE &
MAMPU
THOSE ARE LISTED:
1) National Archives Act
2003 (Act 629)
2) The Statutes of
Limitation
3) BAFIA( Banking of
Financial Institution Act.)
NATIONAL ARCHIVES ACT
2003
(ACT 629)
PART IV- MANAGEMENT OF RECORDS
Prohibition against
destruction of public
records
Disposal public records
Records disposal schedule
Transfer of public records
to National Archives
Public records to be
surrendered on demand
Custody and control of
public records of a
defunct public office
Statutes of
Limitation
Guidance for selection of
records storage location
for company documents
and rectors
Guidance for Bafia
methods
BANKING AND FINANCIAL
or procedures of INSTITUTION ACT.
storing banks
and financial
institution records
International To ensure that adequate
Standard: ISO records, in all formats
15489
and media, are captured
and managed
adequately throughout
their lifespan.
Intended for
use by
Manager of organizations
Records, information and
technology management
professionals
Part of ISO 15489
Provides guidance on the
design and implementation
of records system
Does not include the
management of archival
records within archival
institution
CONCLUSION
l
There are several acts that every organization
must obey to in managing records and stay
within the policies and procedures of the
country in which they operate in relation to
information retention.
REGISTRY
INTRODUCTION
A unit within organization
that manage current records.
Responsible for managing the
records of that particular
organization. Registry ensures
that there is a good flow of
recorded information in the
organization
FUNCTIONS OF
REGISTRY
To house the entire Officially
series of records in dispatching
particular department and receiving
and to have all letters
intellectual control
over these records Monitors the
movement of
records or files
TYPE OF REGISTRY
CENTRALIZED DECENTRALIZED
The control comes from Various units or divisions
one location have their own small
registry units
ADVANTAGES
Uniform policy direction TOOLS AVAILABLE IN
Centarlized mail operation REGISTRY
ADVANTAGES
1. Register bbok
2. Index slip
Easy access to information 3. Track card
Faster retrieval 4. KIV system
5. Action slip
COMPONENTS OF 6. Sub jackets and
REGISTRY
temporary files
MAIL ROOM CCOONNCCLLUUSSIIOONN
To conclude, in this chapter
(MAIL the registry plays an
MANAGEMENT)
important role in managing
FILE ROOM records and also plays a role
in ensuring that all records
are kept in good condition,
(FILE
MANAGEMENT)
FILING HOLIDAY
PROCEDURE
IMPORTANT OF TOOLS IN FILING STEPS
FILE FILLING
DOCUMENTS
MEANINGINTRODUCTION
OF FILES
F ile is a folder that contains numbers and
title where the inside correspondence are
arrange to specific procedures.
Filling means keeping documents in a safe place
and being able to find them easily and quickly .
Documents that are cared for will not easily tear.
get lost or dirty.
A filling system is the central record-keeping
system for an organization. It helps to be
organized , systematic ,efficient and transparent.
It also helps all people who should be able to
access information easily.
THE IMPORTANCE OF FILING
Protection of records
Filling documents in files and cabinets.
It protect them from damage by insects
,dust, water, and others. Record can be
preserved for long period of time.
Legal evidence
Filling is important to settle
disputes. The documentary record
serve as legal evidence in of
disputes
Ready reference
Files provide ready reference .
Information is systematically arranged
for future reference. Past memory is
available in files for making decisions
in the present.
Planning and control
Filling provides information for
formulating plans . Past information is
needed to make future forecasts. It also
helps to monitor and correct
performance
TOOLS IN
FILING
Treasury tag Pen with red, black and
Hold the documents in blue color
file inward correspondence
written with red ink,
outward correspondence
written with black or blue
ink
Puncher Minute sheet
Use to make hole to To record correspondence
every documents, make and as a tool to calculate the
hole at the left side of number of correspondence
documents in every files.
Paper file Register Book
Documents are arrange at To register inward and
the right side of file by outward correspondence.
using treasury tag
STEPS FILING DOCUMENTS Determine either it is inward
1 correspondence or outward
correspondence
Is given serially according to date of 2
correspondence. Written at the first
page. Written at top right of every
correspondence
Make hole and the correspondence
are arrange according to the folio
3 number
Write the details in minute sheet 4
Write the details of correspondence
5 in register book
Write the date of first 6
correspondence
Write the date of last
7 correspondence
JUNE 2022
Write the reference number of 8
correspondence
Write the title subject of
9 correspondence
Write the volume of file 10
CONCLUSION
In conclusion, based on this chapter it explains to
us the procedure to file a document correctly. it
explains more detail on the correct methods and
tools used in the filing system. Indeed, filing
records in the right way can facilitate the process
of managing records in terms of protection, legal
evidence, references and controlling a record.
2022 Management of Business
Records
December Edition
Business Record
Management
Process
IMR652
Vol. 42
INTRODUCTION
Business records management is the management field
responsible for the effective and methodical regulation of the
record lifecycle, which includes the creation, maintenance,
usage, and disposition of business records. This process aims
to improve efficiency and economy while also preserving
business records by the agency as proof in accordance with
regulatory requirements.
PROCESS OF
www.managingrecords.com Thursday, 22 December 2022
CAPTURE REGISTRATION
The process of determining that a record Its purpose is to provide evidence that a
record has been created or captured in a
should be made and kept. records system.
It involves recording brief descriptive
This includes both records creation and information about the record in a register,
and assigning the record a unique
received by the organization such as identifier.
correspondence and memos. CLASSIFICATION
It involves deciding which documents are Its purpose is to provide evidence that a
record has been created or captured in a
captured, which in turn implies decisions records system.
It involves recording brief descriptive
about who may have access to those information about the record in a register,
and assigning the record a unique
documents and generally how long they identifier.
The characteristics of a good
are to be retained. classification system simple as possible
easy to operate, permit additions and
Decision about which documents should deletions, logically arranged by groups of
related subjects, effective and installed
be captured and which are not needed with a view to economy
are based on an analysis of the
organizations’ business and
accountability.
ACCESS AND SECURITY
CLASSIFICATION
All officers have access to the business
records created by the agencies that
they need to carry out the operational
requirements of their job.
Some information may be subject to
unique legislation and procedures that
regulate its accessibility.
Records containing personal,
commercial, or operationally sensitive
information will be recognised and
limited, allowing only officers with a
business motive to access this
information.
PROCESS OF
www.managingrecords.com Thursday, 22 December 2022
IDENTIFICATION OF STORAGE
DISPOSITION STATUS
Records containing sensitive or
Records retention schedules are the confidential information must be
essential tools that help an organisation labelled.
manage its records because they give Protocols and procedures must be
the justification for retention policies as established to manage and secure
well as instruction and guidance on these records, regardless of format,
other recordkeeping requirements and from unwanted access, damage, and
conditions. loss, according to UTAS (2014).
Companies benefit from effective record Records should be maintained in a
retention. A faulty retention system will way that facilitates user access while
prohibit managers from retrieving also protecting them from illegal
information required to make informed access, use, disclosure, removal,
business decisions. A faulty record deterioration, loss, or destruction.
retention system is also a security issue.
IMPLEMENTATION OF
USE AND TRACKING DISPOSITION
Patterns of record usage are useful for Disposition is the final stage in the
identifying the currency of the lifespan of any record, and appropriate
information included in the records and disposition is an essential component
for deciding when disposal action of any records management
should be performed. programme.
Keeping or employing strong business Disposal may include transfer to an
records will not only assist agencies in archival repository for records with
remaining in business, but may also enduring value, which are typically
assist them in increasing earnings. labelled as permanent in records
An organisation should determine the retention schedules.
sort of information that must be kept in The ultimate action made with regard
order to facilitate record monitoring to records as a result of their
and to implement methods for tracking evaluation and the expiration of the
the whereabouts and movement of retention period is known as
records. disposition.
It can ensure that only users with
permission from an authorised
individual have access to the record.
CONCLUSION
To sustain record productivity, a procedure for managing business records is
required. These processes range from the initial stage, which is record capture,
through the last stage, which is record disposal. The records should be
organised by document title, date, and time. We must categorise these
documents based on their subject matter, such as personal information, state
detail, military detail, and property security. We also recognise that records
should be appropriately stored to ensure their value and confidentiality.
Furthermore, the record is easily retrievable. The record must also be disposed
of in accordance with the National Archive Act's basic policies.
APPRAISAL &
DISPOSITION OF RECORD
OBJECTIVE SPERCIEACLOPRANDESL
OF APPRAISAL
APPRAISAL
& PROCESSLorem ipsum dolor sit amet,
DISPOSITION
consectetur adipiscing elit, sed do
PROCESS eiusmod tempor incididunt ut
labore et dolore magna aliqua
DISPOSITION
INTRODUCTION
Creating agency records is a costly endeavor.
One year of creating and maintaining a
registry file costs $30. Records can be split
into two categories: those with ongoing or
archival value that must be retained forever
and those with no continuing value that can
be destroyed when they are no longer
relevant. Ninety to ninety-five percent of an
agency's records have no continuing value.
The agency would save a lot of money by
identifying and destroying obsolete records.
Appraisal saves money by managing records.
objective of 1.To ensure destruction
appraisal & process for records
disposition without value.
process 2.To ensure transferring
process
(Records Transfer) for
Valuable
(Permanent) records to
archive
Temporary records to RC.
RECORD APPRAISAL PROCESS
1.FORMATION OF DEPARTMENTAL COMMITTEE
Head of the department/agency appoint:
Officer and staff who prepare the records retention schedule.
Head of all divisions within the department. Exp. Legal and
financial advisor, Archivist.
2. COLLECTING DATA AND INFORMATION
It can be done by conducting record survey.
The records survey will enable appraisal team to:
>Understand the functions of the agency ´
>Identify the various types of records created and used. Identify the
frequency use of information.
>Identify current, semi current and non current records. Identify
records management legislation.
>Locate the records and understand how they are used.
>Identify the value of records.
3. APPRAISAL OF RECORDS
From the information gathered by appraisal
team, the committee will appraise the records according to
the following appraisal criteria:
Primary value : Administrative, Fiscal, Legal
Secondary value : Research, Informational, Evidential,
Historical/Cultural/National
4. PREPARATION OF RECORD INVENTORY
Categories of records
Contents and value of records
Total volume of records
Different format of records
Retention period
5. PREPARATION OF RETENTION SCHEDULE
In the records retention schedule, the recommended step for
destruction must be stated explicitly.
Each set of inventoried documents should have a
recommended retention time determined by the committee.
To be put into effect, the retention plan needs the backing
of the Appraisal Committee, as well as the approval and
signature of the Department/Agency Director.
DISPOSITION
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.
a) Records retention b) Records inventory
Established policy and Survey conducted to find
procedure for the types and volume of
dtoetkeerempi,nwinhgerwehtoatkreeecpords filed records, their location
and frequency of use.
them and how long to
keep them.
DISPOSITION
PRESERVATION DESTRUCTION
An action taken to retard or The most common method of destruc
prevent deterioration or includes the following:
damage to records or documents Landfill
by control of their environment Incineration / Burning
Shredding
and treatment (National Recycle
Archive of Malaysia) Destroying Microfilm
TRANSFER OF CUSTODY OR OWNERSHIP RECORDS
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.
CONCLUSION
Effective record management requires a
methodical approach. Everything from the
first step—records capture—to the last
step—records disposal—is part of these
procedures.
In addition, the file may be retrieved
quickly and effortlessly. The document
must be destroyed in accordance with the
National Archive Act's predetermined
guidelines.
ISSUE 09 DECEMBER 2022
EMERGENCY PLANNING AND
VITAL RECORDS CARE
WWW.REALLYGREATSITE.COM
EMERGENCY PLANNING The registry must
plan in drawing up
AND VITAL RECORDS and implementing
CARE? an emergency plan
in order to ensure
the best possible
recovery in the
event of a disaster
INTRODUCTION involving the loss of
Records are an important thing records or damage
to records.
in an organization and need to
EMERGENCY PLAN
be preserved effectively, so
An emergency plan details the protocols that will be followed in
that it will able to last for a the event of abrupt or unforeseen events. The goal is to be ready
for everything, including avoiding injuries and deaths. Reduce the
long time. But every record will
certainly be exposed to various
risks, therefore some
emergency plan needs to be amount of damage done to the buildings, stock, and equipment.
drawn up so that every vital Be mindful of both the community and the natural world around
record is preserved and not you.
easily destroyed or damaged .
VITAL RECORDS
CONCLUSION Records that have been designed as essential to the continuation
of orderly, administration in the event of catastrophic loss. Such
In conclusion, based on this losses are fire, flood, heavy snow, war or other disaster.
chapter, it describes the
emergency plan that each How to Staff must aware the existence of vital
agency must develop to manage records and condition
guarantee the preservation of
their documents. They need to vital Must be preserved and retrieval
maintain the vital records as a records
backup for their organization Make a duplication by place it in a
in case something urgent separate building
occurs. These records are
crucial to ensuring that their
firm won't suffer significant
losses and can keep running
even in the event of an
unfortunate disaster.
References
McEachreon, Peggy. (2012). Records Life Cycle/Continuum
Models. Off the Record: The Newsletter of the Archives Association
of Ontario (AAO). 28. 10-11.
Indeed Editorial Team. (2022, June 19). What is A records
management system? (with benefits). Retrieved December 21,
2022, from https://ca.indeed.com/career-advice/career-
development/what-is-records-management-system
Records management glossary of terms. Records Management
Glossary of Terms | University Archives. (2018, May 22). Retrieved
December 21, 2022, from https://libraries.indiana.edu/records-
management-glossary-terms
National Archives and Records Administration. (2018, September
11). Resources - vital records and records disaster mitigation and
Recovery. National Archives and Records Administration. Retrieved
December 21, 2022, from https://www.archives.gov/records-
mgmt/vital-records#Introduction
12) Take online courses. earn college credit. Research Schools,
Degrees & Careers. Study.com | Take Online Courses. Earn College
Credit. Research Schools, Degrees & Careers. (n.d.). Retrieved
December 21, 2022, from
https://study.com/academy/lesson/business-records-
classification-categories.html
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