IMR652 MANAGEMENT OF BUSINESS RECORDS (E-MAGAZINE)

Volume 5, Issue 3 | December 2022

RECORDDAILY
s Business Magazine
MANAGEMENT OF
BUSINESS RECORDS

RM 10.90 Basic Concept of Record Overview of Business
Management Record Management

Records Lifecycle


Standard & Legislation

Registry Mail & File Management

Classification
Filing Procedure


Emergency Planning & Vital Appraisal & Disposition
Record Care


Emergency Planning &

Vital Record Care
EDISTPIEOCINAL
"SUCCESS IN MANAGEMENT REQUIRES LEARNING AS FAST AS THE WORLD IS CHANGING."

BUSINEIMSRS652RECORD
MANAGEMENT Prebpya:re

UNIVERSITI TEKNOLOGI MARA ILYA MAISARAH BT ALMAHDI 2020614594
JOHOR BRANCH, SEGAMAT CAMPUS SITI NURHAMIZAH BT ZALAINI 2020461982
SHARIFAH NUR MARSHA WAFA BINTI SYED
FACULTY OF ACCOUNTANCY ZEDREEN WAFA 2020618606
BACHELOR OF ACCOUNTANCY (HONS) NUR ADRIANA BINTI ZAHURIN 2020620866

Table of Contents

Editor Profile Chapter 1 Chapter 2

1 Editor profile 3 Terms and basic concept of 7 Records life cycle
Record Management
Chapter 3 Chapter 5
Chapter 4
11 An overview of business Record 19 Registry Mail management and
Management 15 Law and Legislation File management

Chapter 6 Chapter 7 Chapter 8

26 Filing procedure 30 Classification 36 Appraisal and Disposition

Chapter 9 Reference

40 Emergency planning and Vital 44 Reference
record care

Editor Profile

SBhiaSnrhtiiafarSihyfaeNhdurNZueMrdarMreseahnrasWhWaaafWfaaafa SitiShNaurrifHaahmNizuarh MBainrsthi aZaWlaifnai
Bint2i 0S2y0e6d18Z6e0d6reen Wafa Binti 2S0y2e0d4Z6e2d9r8e2en Wafa
20 July 1999 13 September 1999
Bachelor Degree Of Bachelor Degree Of
Accountancy (Hons). Accountancy (Hons).

Editor Profile

IlyaShMaarifsahraNh uBrinMtai rAshlma aWhdaifa NSuhraAridfraihanNauBr iMntairsZhaahuWrianfa
Binti20S2y0e6d14Ze5d9r4een Wafa Binti 2S0y2e0d62Z0ed8r6e6en Wafa
14 October 1999 15 November 1999
Bachelor Degree Of
Accountancy (Hons). Bachelor Degree Of

Accountancy (Hons).

CHAPTER 1

TERMS & BASIC CONCEPT OF
RECORDS MANAGEMENT

CHAPTER 1: TERMS & BASIC CONCEPT OF RECORDS MANAGEMENT

TERM & BASIC CONCEPT OF
RECORDS MANAGEMENT

No matter whatever type of project you Record management can be defined as the
are in charge of such as traditional, effective and systematic control of record
agile, or hybrid—they always require for creation, receipt, maintenance, use, and
documentation. Depending on the disposition, including methods for capturing
methodology, project management and keeping evidence of and information
about company operations and transactions in
necessitates a lot of paperwork, which is why the form of records. In other words, it refers to Furthermore, records contain information that
the management of important information is needed for daily work. Their objective is to
records management is crucial. In this chapter, that an organization generates and disposes offer trustworthy evidence and details
of during the course of its lifecycle. regarding "who, what, when, and why
we are going to learn what is record something happened." In some cases,
Any information kept as evidence or used in legislation, regulation, or professional practice
management in general and the terms and business dealings could be considered a expressly defines the need to maintain a
record. Examples of records include specific set of records. Recordkeeping is
basic concepts used in record management, documents, books, paper, electronic records, typically a matter of policy and good business
photographs, videos, sound recordings, practice that has been "built into" work
their objectives, and what are their databases, and other data compilations that processes through time to ensure that the
are used for multiple purposes, or other organization can refer to past records and
characteristics material, regardless of physical form or make future decision making
characteristics.
4

CHAPTER 1: TERMS & BASIC CONCEPT OF RECORDS MANAGEMENT

Concerned with Reduction or An efficient and systematic control of refer to records of past produce evidence of
managing the mitigation of risk the creation, receipt, use and disposition transactions in order to financial or contractual
evidence of an
organization's associated. of records, including processes for perform subsequent obligations, to avoid
capturing & maintaining evidence of actions in the future dispute or protect
activities information about business activities &
against legal liability
transactions in the form of records

Purpose & Goals draw on evidence of past events
to make informed decisions for
Help organization Part of an WHAT IS RECORD WHY KEEP RECORDS?
keep necessary organization's MANAGEMENT? & WHY IT IS the present and future
documentation broader function of IMPORTANT? can help firm organize
accessible for governance, risk
data and protect from
management & data loss vulnerability.
business operations  provide consistency,
& compliance audits compliance continuity, productivity in

management & administration,

DATA RECORDS INFORMATION TERM & BASIC STATIC UNIQUE
CONCEPT OF RECORDS
A collection of A valued document that A set of processed Records are presented in Any group of records, with
discrete values that organizations need to keep data in a meaningful MANAGEMENT static and must not be its interrelationships &
convey information, way according to the altered after creation to
as evidence for business requirement & give related as it is to specific
describing the operations or decisions for meaning to receiver preserve the authenticity business processes, is
quantity, quality, fact, regulatory, compliance & and accuracy of records
unique. This indicates that it
governance purposes CHARACTERISTIC OF is unlikely that two business
RECORDS transactions will result in the
PUBLIC RECORD MAIN TERMS EVIDENCE
production of the same
Records created, An indication, sign, or interconnected records.
received & maintained testimony, in support of a
by non-governmental
organizations, families, conclusion & serving as
or individuals relating proof of the existence of
to private&public affairs.
something

PRIVATE RECORD DOCUMENT REGISTRY AUTHENTIC AUTHORITY

Records created/ A medium in which A unit within the A record has integrity if it is Records have the
received & maintained information is organization & responsible preserved without any authority created &
in public sector agency. imprinted for for collecting & managing alteration that would impair received to support
its use as an authentic record. business activities and
conveyance to users the official records. Records must be reliable & have official status
trustworthy that broaden the Records provide the
RAEPROCHSIITVOARLY ARCHIEVES RECORDS CENTRE function of governance, risk 'official' evidence of the
management & compliance activity or transaction
A building in which Collections of records Serves as a central they document.
archives are preserved that have been chosen repository where an
and made available for for permanent or long- organization can store & 5
manage its records
consultation. term preservation

CHAPTER 1: TERMS & BASIC CONCEPT OF RECORDS MANAGEMENT

In conclusion, records refer to where all information created, sent and
received in the course of your job and they provide evidence of
business activities and functions. It is very important for some
individuals or organizations to develop systematic records
management in their daily work such as it effectively gives a company
proof or evidence of the deal they made with another party. Besides, it
is crucial in an organization's strategy or decision-making processes.
Maintaining records helps prevent data anomalies or inconsistencies,
which is important for people making decisions for the business.

If a department within an organization has managed to keep
excellent track of what they have done or have not done, it makes it
simpler for them to make judgments based on those records. As
such, for suggestions, a company or top management may give
proper regular training for its employees on how to manage records
effectively on all related policies, processes and procedures as it can
educate employees about record management skills to enhance
their work productivity and performance including establishing on
controls that will ensure accuracy and quality of records created,
captured and managed.

6

CHAPTER 2
RECORD LIFE CYCLE

Each record has its own lifespan, which might range from a few
days to indefinitely. The length of time a record must be kept
because of laws, regulations, financial considerations, or
historical significance affects its lifespan. A document needs to
be monitored and maintained properly throughout its entire
lifetime.

Records life cycle refers to the stages through which each
record must pass and be handled during its existence. There
are three primary stages in the lifecycle of records which are
creation or receipt, distribution and usage, and disposal. There
are distinct policies and processes for each step.

8

RECORD LIFE CYCLE

A concept of records that is made, utilised for as long as it retains value, and is

subsequently destroyed or transferred to an archive institution.

Current Records CREATION USED DISPOSITION Create the right information and records
Make records available for the right
Records regularly used for the New record is Actively being used Records will be individuals.
conduct business and normally be registered. Safeguarded closely so disposed or keep Ensure records are maintained in

that records are not lost appropriate formats
maintained in. Followed up on these for the future Ensure records are available at the right
records. use. times and right places
Semi Current Records
Ensure records are managed efficiently at
PHASES OF low cost
Required only frequently in the conduct of LIFECYCLE DESTRUCTION Ensure the right records are used in
current business. Normally be maintained making decisions
Disposing of in the bin Ensure records with value are transferred
in a records center Shredding of paper to the archives and those without value are
document eliminated
Non-Current Records Deleting of electronic
document Store
Records no longer needed for the conduct Shredding of optical disk
of business


Non-compliance with existing

law in force
Lack of evidence that an GOALS OF
organization did something RECORD
under contract or according to
regulation. MANAGEMENT
Inability to find mission critical
information. ORGANIZATIONAL 1.Correctly preserved to give simple
Loss of proof of ownership, RISKS OF RECORD access throughout the firm.
rights, obligations.
Lack of documentation of who KEEPING 2.Properly keep paper documents as
knew what and when ACCOUNTABILITY well as how and where to store
electronic documents.
FAILURES
Secure
OTHER RECORDS
LIFECYCLE STAGES Maintaining records appropriately
ensures that they can always be

accessible when needed, no matter
how old they are.
9

In conclusion, records lifecycle guarantees that all data are
created, managed, and stored in accordance with the
organizational requirements, as well as that vital records are
always accessible at any time. It is also to ensure that they are
disposed of or archived in accordance with their retention plan
so as to adhere to industry standards and regulations.

Without an awareness of the lifecycle, records management
programmes would never be financially viable, and their
administration efficiency would suffer.

10

CHAPTER 3

AN OVERVIEW
OF

BUSINESS RECORDS MANAGEMENT

INTRODUCTION

A business record management document is one that contains
information that is relevant to the business. Furthermore, business
record management is a field of management responsibility for the
efficient and systematic control of business record creation,
maintenance, use, and disposition. Furthermore, keeping a business
record is an important process for achieving efficiency and economy
as well as preserving the business record. A record can be physical or
digital, and it can also include documents ranging from meeting
minutes to legal contracts. It is critical to note that not all
documents created by or related to a business are considered
records.This is due to the fact that every business should have a
record management system that dictates what constitutes a record
for that business.

12

AN OVERVIEW OF BUSINESS RECORDS MANAGEMENT Function of business records:
View business progress.
Records management (RM) is the guidance and management Identify sources of income.
of digital or paper-based records, regardless of format. Remember deductible of
expenses.
Prove your finances to banks or
investors.

1 TYPES OF BUSINESS CONTROL SYSTEM A process for determining when
RECORDS OF and where something goes wrong
ADMINISTRATIVE in a business process.
Used in the day-to-day 4 CORPORATE BUSINESS RECORDS Records control complies to
operations of a business. predefined procedures for filing
Internal audit reports, The records demonstrate the and retrieval.
organisational charts, meeting context and condition. (vital Allow the authorised officer to
minutes, and inward and records). take appropriate action.
outward correspondence are Example: Permits to do
some examples. business, records of mergers 7 LEGAL 10
and reorganisations, and
2 ADVERTISING corporate videos. When it comes to legal PERSONNEL
proceedings, it is used to These records pertain to staff
These records are created 5 EXECUTIVES protect the rights of an or any individual involved in
during the process of individual or an organisation. an organisation.
promoting goods and services Used to explain the Example:Claims and litigation Example:Attendance reports,
to customers. organization's administration for breach of contract, appeal employee contracts, pension
Example: Drawing and artwork, and everything that shows records, copyright, trademarks, plan, disability and sick
Market data and survey, information about the and patents. benefit records, for example.
Catalogs and Brochures. organisation.
Example: Policy statements, 8 MANUFACTURING 11 PURCHASING
3 directives, research reports,
speeches, and publications. These records pertain to Relate to the purchase, lease,
ACCOUNTING AND FISCAL industrial operations. or hiring of large stores and
Used to demonstrate the 6 Example: Inspection records, equipment.
financial process in a business production reports, operating Example: Bids, awards,
organisation. INSURANCE reports, quality control reports, purchase orders, and
Example: accounts receivable, A policymaker can use these order registers. quotations.
financial statement, paid and records to make a claim for
cancelled checks, financial any damage or loss. 9 PROPERTY AND PLANT 12
statements and petty cash For example, claims for
records. automobile, group life and Any records relating to the MARKETING AND SALES
hospital, loss or damage in functions of managing land and These records pertain to the
transit, workers' compensation buildings. selling and buying processes. 13
For example, maintenance and ExampleLDiscount rates,
repairs: buildings, machinery, warranties, sales invoices,
depreciation schedules, plans market research studies and
and specifications, damage analysis, ordered filled, and
reports, and so on. price lists.

CONCLUSION

In conclusion, record keeping is critical to the operation of
any business because it allows for the management of one
of the most important resources in any organisation
(information resources). It is prudent to design and
implement a records management policy. A policy must be
developed to govern records management activities. Records
management policies and procedures will guide records
management activities and ensure that all records created
and received are properly recorded. The main reason for
implementing the life cycle concept of records management
is to ensure that the records created and held by the
institution are properly managed and maintained.

14

CHAPTER 4

RECORDS MANAGEMENT
STANDARD & LEGISLATION

CHAPTER 4: RECORDS MANAGEMENT STANDARD & LEGISLATION

RECORDS MANAGEMENT
STANDARD & LEGISLATION

All organizations need to identify the In Malaysia, National Archives of Malaysia
regulatory environment that affects their had legislated various regulations, procedures
activities and requirements to document their and guidelines to formulate a comprehensive
activities. The policies and procedures of record management program. Whereas,
organizations should reflect the application of International Standards (ISO 15489), it refers
the regulatory environment to their business to principles and concepts establish the core
processes.In this chapter, we are going to concepts and principles for the creation,
learn about the record management standard capture and management of records. The
and legislation, and why we should manage Standard applies to records regardless of
records according to the regulatory structure or form, in all types of business and
requirements. technological environments, and over time.

The existence of both international and
national standards is important as to promote
the compliance, accountability & transparency
of an organization when designing &
implementing a records management system
(creating, maintaining & disposing of records).

16

NATIONAL ARCHIVES ACT 2003 (ACT 629) ARAHAN PERBENDAHARAAN 150 SURAT PEKELILING AM BIL. 1/1997 SURAT PEKELILING AM BIL. 23/72
Title: To produce a group of Action: should transfer after 20 years.
PART IV – MANAGEMENT OF RECORDS : Pemusnahan Buku Akaun dan Rekod official reports at the National Method: List the 5 years records annually.
1.Prohibition against the destruction of public records Kewangan Archives. The list should be classified and separated
2. Disposal of public records Kelulusan daripada: Purpose: to ensure all related based on the form of records (file, book,
3. Records disposal schedule publications from government map, photo, etc.)
4.Transfer of public records to the National Archives Akauntan Negara/ Negeri department / agency are transfer Financial Records – refer to A.P. 150 & 299
5. Public records to be surrendered on demand Bendahari Negeri to NAM as a group of official Appointment of Departmental Records
6. Custody and control of public records of a defunct Ketua Pengarah ANM reports. Hence, the reference Officer.
public office Ketua Setiausaha Perbendaharaan service would centralize to NAM. The responsibility of the Departmental
7.Acquisition of non-public records Juruaudit Negara (Buku yang belum Records Officer.
8. Deposit of records guna dan usang) Focus on Section 10(1) & 12(2)
9. Establishment of Records Centre & Agency Records Procedures of accessing the records which
Centre NATIONAL REGULATIONS have been transferred to NAM.
10. Establishment of Limbo Records Centre
11.Return of public records

STATUTES OF LIMITATION RECORDS MANAGEMENT BAFIA (BANKING AND FINANCIAL
INSTITUTION ACT.)
Guidance for the selection of
records storage location for STANDARD & LEGISLATION Describe the types of records or
company documents and records. documents that should be
forwarded by banks and financial
SURAT KEMENTERIAN institutions to the central
KEWANGAN 3 NOV. 1993 INTERNATIONAL STANDARD: ISO 15489 bank/other authorities.
Guidance for methods or
Destruction of printed material/used procedures of storing banks and
paper from ministries/ government financial institutional records.
department/ statutory PURPOSE
bodies/Ministry/department – INTENDED USE BY: PART OF ISO 15489 :
personal action.
Quotation It provides guidance to ensure Managers of Applies to the management of records, in all formats or media, created or
Burning / Others method - Approval that adequate records, in all organizations. received by any public or private organization in the conduct of its
from National Accountant, NAM, Chief formats & media, are captured & Records, information & activities, or individual with a duty to create and maintain records.
of Security Officer managed adequately throughout technology management Provides guidance on determining the responsibilities of organizations for
their lifespan. professionals. records and records policies, procedures, systems and processes.
CHAPTER 4: RECORDS MANAGEMENT It is the primary good practice All other personnel in Provides guidance on records management in support of a quality process
STANDARD & LEGISLATION and reference model that guides framework to comply with ISO9001 and ISO14001.
the implementation of records Provides guidance on the design and implementation of a records system
management programs worldwide. organizations. Does not include the management of archival records within archival
institutions. 17

CHAPTER 4: RECORDS MANAGEMENT STANDARD & LEGISLATION

In conclusion, standards and legislation are used to
establish the technical detail, allowing the legislation to
concentrate on long-term policy objectives. Organizations
should define and document a policy for records
management. The objective of the policy should be the
creation and management of authentic, reliable and useable
records, capable of supporting business functions and
activities for as long as they are required. Organizations
should also ensure that the policy is communicated and
implemented at all levels in the organization.

It is also important to comply with the standardization of
records management policies and procedures ensuring that
appropriate attention and protection are given to all
records and that the evidence and information they contain
can be retrieved more efficiently and effectively, using
standard practices and procedures. The standards and
legislation provide guidance on managing records of
originating organizations, public or private, for internal and
external clients. All the elements outlined in this part of
ISO 15489 and national regulations are recommended to
ensure that the organization is able to keep track of its
records and have a clear plan for their retention and
disposal including to ensure that adequate records are
created, captured and managed.

18

Chapter 5: Registry
&

Chapter 5.1: Mail
Management, File Room

roduction & Conclusion

Int CHAPTER 5
REGISTRY

The registry is important for management records purposes as it records the data of
the organizations, The data that has been kept will be in the database for the work
purpose. The registry management is known for the efficiency, and effectiveness of
the data, the data that has been created will be stored and be in control of the
organization for the evidence and information of the business activities and
transactions. Proper keeping of documents is much needed for the organization to
ensure there is no data loss. Data security is important for the registry management
to be aware of the irresponsible person that will steal the data for the purpose of
profit.

20

There is intellectual control over the records: 1.Easy access to information To provide rapid handling and Tool for you and others in your
1.Uniform policy direction 2.Faster retrieval accurate delivery of mail office to use to help manage
2.Centralized mail operations 3.Speedier decision making throughout the agency at a records
3.Centralized messenger services minimum cost.
4. Uniform classification scheme, procedure practice, file
descriptions, file operations and schedule and disposal
standards and practices.

Is a unit within organization ADV OF ADV OF MAIL FILE ROOM
that manage current CENTRALIZED DECENTRALIZED MANAGEMENT
records. Basically, it is
responsible for managing DEFINITION COMPONENTS Mail Room (Mail Management)
the records of that OF REGISTRY File Room (File Management)
particular organization.
Registry ensures that there is
a good flow of recorded
information in the
organization

Centralized TYPES OF REGISTRY 1. Register book
Decentralized REGISTRY 2. Index slip: Refer to all possible references

To keep the whole series of records in one FUNCTIONS made to all particular codes, words, or
department and to have intellectual control
over them. phrases that are found in a file reference
Officially dispatching and receiving all letters.
Monitors the movement of records or files. number

TOOLS 3. Track card/charge-out card: Contains
AVAILABLE information about the borrower, the date that
the file was borrowed, name of records,

contact number (phone or email), and date

returned.

4. KIV system: To act as a reminder to carry

out a particular action in future

CENTRALIZED DECENTRALIZED REGISTER 5. Action slip
BOOK 6. Sub jackets and temporary files: File been
control comes from one location. Exp: misplaced, used for urgent purpose and
Main registry
It controls the following components: document may lead to the creation of new
1. The records system
2. The records staff Various units/divisions have their own small registry units. To register correspondence: subject.
3. The allocated space for the registries
4.The records equipment and supplies. All the registries will have their own records systems, Contain the records of

records staff, allocated space for the registries, and inward and outward

records equipment and supplies. correspondences.

The classification scheme, use, care, custody, and final To register file: Contain the 21
disposition vary in practice. records of created and
closed files

1.Conduct survey to determine volume of mail. OPERATING THE MAIL ROOM
2.Where and when mail must delivered.
3.How much time allocated for complete pick and delivery. 1.Allocation of duties and Coordinate activities of more Budget forecast (postage, Register - Document,
4.Workflow pattern. responsibilities. than one registry with the mail replacement needs etc). usually a volume, in
5.Plan proper main processing routine for efficient flow of 2.Systematic use of resources room services and operations. which regular entry of
mail through the unit. (staff, time, budget). data is made.

VS

In-register -Document

registration involves

entry into an inward

PLANNING ORGANIZING COORDINATING BUDGETING correspondence
registry.

To provide rapid handling and accurate 1.Title Page
delivery of mail throughout the agency 2.Contents - Inward correspondence, internally
at a minimum cost.
generated documents & Copies of outward

correspondence

DEFINITION FILE FORMAT 3.Treasury tags
MAIL MGT

Receive, sort, open, route, control & distribute WHAT IS MAIL STAGES OF 1.File creation - File number & Title, date file
incoming mail. MAIL MGT MANAGEMENT RECORD MGT created
Collect, sort, & distribute paperwork
Collect, prepare, sort, control & dispatch & FILE ROOM 2.File use & Maintenance - speedy retrieval of
outgoing mail. information, minute sheet are letters that internal
and external created and date of letter

3.File DIsposition - The file must indicate clearly on

A space/room in an agency allocated for OBJECTIVE SUBDIVISION the file cover
mail management. It provides a vital to OF FILES
department/agency. Parts of files: One of a number of
physical units into which a file has

been sub-divided chronologically

as it has increased in size

Sub-files: Separate files dealing

ELEMENTS IN MAIL DELIVERY FILING with a discrete aspect of the
PLANNING LAYOUT OPERATIONS subject of a more general file.
OPERATION OPERATION Continuation files: A new file
OF ROOM 1.Do each day filing of the files and paper opens when the old file on the
Series of tasks performe
d by mailroom personnel 2. The contents and file number must be checked subject has reached its cut-off
1.Reduction of the distances for the to prevent misfiling date within the file cycle.
movement of mail and personnel in moving an agency’s written communications. 1.Sort incoming materials. 3. Do not staple, and file together incoming and
outgoing correspondence. 22
2.Rate of work flow The components of mail operation are: 2.Maintain efficiency check system on 4. Attachments from their cover letter/
3.Use of all spaces (Horizontal & Vertical) 1.Sort incoming mails sorted material to minimize improper documents cant be separated and file all
4.Flexibility of arrangement – changing 2.Segregate and deliver direct delivery mail delivery. together under the date of the cover papers.
demands 3.Deliver material to registry 3.Maintain route delivery schedules to
5.Convenience – Servicing and maintenance 4.Process incoming mail and from offices.
6.Security 5.Process incoming valuable in mails 4.Obtain signatures for registered
items
6.Prepare and dispatch outgoing mail

A space/room in an agency Filing the records Clean, neat & orderly New subject arise within 1.Do each day’s filing of the files and paper.
allocated for mail management. It Verify the record to be file and appearance administrative process 2.As a record is being filed, check it against the file’s contents
provides a vital to department. File cabinet modular Relevant document need to and the file number to prevent misfiling.
maintain accurancy control shelf filing bay must be filed 3.Adhere to a strict chronological sequence – do not staple or file
The flow of mail, documents, files Veify issue record in the form of files maintain with ordely Exist subect siubdivide into together incoming and outgoing correspondence
and etc in 3 channels: Control location of issued files Charge out & other new discrete subject 4.Do not separate attachments from their cover letter/document
control gudie must be New subject need new files – file all this together under the date of the cover papers.
From outside of office within Open "Keep In View" system properly maintained or sub files

Maintain the record physically
Find the record on demand

the department/agency

From office to office within the FILE ROOM FILE ROOM OPENING FILE CONTAINERS
building /area being serviced MANAGEMENT ASPECT NEW FILE
From offices within the Open/receipt – by the designated officer.
department /agency to outside Stamping with the date receipt.
individuals/organizations. Assign serial number

(102/1/2007 @ 102/2007).

Department will have to handle MAIL ROOM MAIN RECEIPT ON Identify security and other
internally generated documents and MANAGEMENT INWARD confidential correspondence
circulated material such as: DOCUMENT
PROCESSING IN & CORRESPONDENCE Attaching other closures to the
ReDpiroerctstives THE MAIL ROOM FILE ROOM covering correspondence.
FoMrmesmoranda FILE
Committee minutes FORMAT Cover (Title page)
Drafts Contents
REGISTER OF Treasury Tags
Do not allow too much space for expansion cabinets or shelve & INWARD
Serial Number
overcrowded FILE CONTAINER CORRESPONDENCE DaDtaeteofotfhreeccoeripretspondence
2. Provide sufficient file guides Name/agency of the sender
Subject of correspondence
3. Keep the transfer of dormant files up to date Number/nature of any enclosures

4. Maintain follow up outstanding charged out files

5. Maintain follow up examination of transfer files for further disposal

action

CORRESPONDENCE CIRCULATION OF REGISTER OF RULES OPENING
OPERATION OUTWARD NEW FILE
CORRESPONDENCE
1. Receiving & opening of inward correspondence CORRESPONDENCE
2. Sorting correspondence that requires special handling 1.New correspondence placed directly on the appropriate
3. Registering inward correspondence file Date of the correspondence Each file relate single
4. Associating inward correspondence with the relevant file Date of dispatch subject
5. Circulating the correspondence for information/reply 2.Top-down circulation occurs when correspondence is Any security classification Each file have title
6. Preparing the reply sent to a designated senior officer/Director to determine NaMmaein&fiilnesrteitfuetiroenncoef the address describe content
7. Dispatching outward correspondence what action should be taken. References of other files precisely, concisely &
8. Filing inward (original) & outward (copy) correspondence & other Subject of correspondence unique
associated documents. 3. While, junior officer take action and draft any reply for Number & nature of any closures Each file documented
approval and signature Each file location record

4. Bottom-up correspondence is directed to the appropriate in files control tools
officer, who takes minutes on proposals and draft any
responses.

5.Bottom-up correspondence is directed to the appropriate
officer, who takes minutes on proposals and draft any
responses.

Different types of
registries track specific

aspects of care

Clinical data registries Data are collected via
record information secure online portals
or electronic health
about patients’ health record (EHR) systems.
status and the care

they receive over time.

Improve the quality Why registry Data are used in
and safety of the care important? treatment analyses.
you and other patients
Healthcare Industry 24
receive, now and in
the future.

roduction& Conclusion

Int CHAPTER 5

REGISTRY

Finally, evidence is critical for record management in order to ensure that big
data is stored in the registry. The registry is important for all industries because
big data is stored in systems for organizations to access documents. As a result,
every organization will have systematic systems in place. Documents must be
carefully organized for each department because they are important for the
company to use for audits and other purposes. However, there are benefits and
drawbacks to using electronic data management, as it is vulnerable to data
theft. As a result, organizations must have a proper procedure in place if data is
lost or stolen.

25

CHAPTER 6
FILING TECHNIQUE

Filing involves storing documents in a secure location and What is File?
being able to locate them quickly and conveniently. When
documents are properly cared for, they are less likely to File is a folder that contains
suffer damage, numbers and title where the inside

A central record-keeping system for an organisation is correspondences are arrange to
typically referred to as a file system. It will assist you in specific procedures
becoming more organised, methodical, productive, and
transparent. In addition to this, it makes it easier for everyone
who should be able to access information to do so.

When someone searches for something and locates it
without difficulty, it is always a pleasure to experience.
Typically, people in organisations work in teams during which
they receive and deliver documents on a number of subjects.
Organizations are required to retain certain documents for
future reference purposes. If these records are not
maintained, they will not be able to account for all of our
company's operations. Everyone who has to utilise
documents should be aware of where they can be obtained.

27

Treasury Pen with red, Protect 1. Determine either it 2. Is given serially 3. Make hole and
Tag black/blue documents is inward according to date of the
ink
Paper File from correspondence or correspondence. correspondences
damage Avoid lost outward Written at the first are arrange
page. Written at top
Records are correspondence according to the
kept right of every folio number
Easy to correspondence
according to handle 4. Write the
TOOLS IN subject details in
Minute FILING minute
Sheet sheet
THE IMPRTANCE OF
Paper FILING FILING RECORDS STEP IN FILING THE 5. Write the details
Puncher METHODS CORESPONDENCE of correspondence
FILING
Register TECHNIQUES in Register Book
Book

Filing by Filing in Filing by Dates/ MAINTAINING 6. Write the date
Subject/ Alphabetical Chronological FILES of first
Category
order order correspondence

Review your
files regularly.

Filing by Filing by Places/
7. Write the date
Numbers/ Geographical Use a “To File” of last
Numerical order order
basket. correspondence

Designate a Make sure that Keep vital 10. Write 9. Write the 8. Write the
consistent others with documents in the volume title/subject of reference number
time to work a safe place. correspondence of correspondence
access to the of file
on filing. files understand
28
the system.

To conclude, filing is important in an organasation
because it assists in improving office efficiency since
filing allows for the provision of records in the time
required to make quick decisions and filing aids in the
development of future plans.

Filing technique is also essential in order to avoid any
complexity in the future such as missing and damaged
files. It is important for every organisation to
implement a proper filing technique in order to avoid
any difficulty in the future.

29

CHAPTER 7

Records Management Process In Business
Organization:

Capture, Registration and Classification

Records can a be described as any documented information or data in any
physical format or media created or received by an organization in the course
of official business and maintained as proof of policies, decisions, processes,
functions, activities, and transactions.

The field of management known as "business records management" is
responsible for the effective and systematic regulation of the record lifecycle,
which includes the creation, maintenance, usage, and disposal of business
records. This procedure has the goals of increasing both the agency's
efficiency and its economy, as well as preserving the business records as
evidence in accordance with the regulations' standards and requirements.

According to ISO 15489 (2016), process of managing record include capture,
Registration, Classification, Access and security classification, Identification
of disposition status, Storage, Use and tracking and Disposition.

31

Capture Records Management Process Classification
In Business Organization

Process of determining that a record should be Registration Classification system that related to business
made and kept functions may provide a systematic framework for
Includes both records creation and received by To provide evidence that a record has been created or records management
the organization such as correspondence and captured in a records system. Classification identifies all of an organization’s
memos It involves recording brief descriptive information about the activities and locates them in the framework of its
It involves deciding which documents are record in a register, and assigning the record a unique stated or mandated mission or purposes.
captured, which in turn implies decisions about identifier.
who can see the documents how long they are Registration specifies the following metadata as a minimum. Benefits of Classification :
kept. a unique identifier assigned from the system such as:
Decision regarding which papers to capture and document name or title, An aid to services
which are unnecessary is based on an examination text description or abstract, An aid to research
of the organizations’ business and accountability. date of creation, An aid to documentation
date and time of communication and receipt, An aid to preservation
In paper records system, capture can be affected by: author (with his/her affiliation), An aid to disposal
sender (with his/her affiliation), An aid to economy
Physically placing a document into a chronological recipient (with his/her affiliation), An aid to personnel
sequence within a file or folder that contain a title. classification according to the classification scheme,
Papers added progressively to file maybe dated or business system from which the records was captured Characteristics of Good Classification System
numbered sequentially to provide additional security templates required to interpret document structure,
in defining the series of action. access Simple as possible easy to operate
Additional indexing points maybe added subsequently the date and time of registration Permit additions and deletions
to the file to ensure that the specific document can a title or abbreviated description; Logically arranged by groups of related
be located and retrieved. subjects
Effective 32
• Electronic records systems capture documents in a Installed with a view to economy
more deliberate process.
Classification System Structure
Systems that capture records also need to capture
metadata associated with a record in a way that: The structure of a classification system is
– describes the record both for what it contains and
the context of the business taking place, ▪usually hierarchical and reflects the analytical
– enables that record to be a fixed representation of
action, and process as follows.
First level - reflects the business function
– enables the record to be retrieve and rendered Second level - based on the activities
meaningful constituting the function
Third and subsequent levels - further
refinements of the activities or groups of
transactions that take place within each
activity

Classification system that related to business Records Management Process Type of Subject Classification System :
functions may provide a systematic framework for In Business Organization
records management Alphabetical system
Classification identifies all of an organization’s Function and activity system
activities and locates them in the framework of its Administrative structure system
stated or mandated mission or purposes.
Classification ALPHABETICAL FUNCTION AND ACTIVITY
Subject Classification :
Dictionary Filing System Examples : BANGUNAN
Types Akaun Jabatan Baikpulih
Fields Bantuan Kewangan Keselamatan
Locations Carta Organisasi Pembinaan
Categories
Organizations Encyclopedia Filing System Examples: LESEN
Identify group Primary Subject Heading Lesen Kelas B
Custody or standardized the files/records Secondary Subject Heading Lesen Kelas D
Tertiary Subject Heading Lesen Kelas B2
Subject Classification Operation
ADMINISTRATIVE STRUCTURE
Subject File Classification
Subject file is a collection of papers on a specific
subject or its specific sub-subjects collated &
placed within a single file container under the
logical arrangement of a subject classification
plan.

Classifying records according to Subject
Act of determining the subject/subjects under
which the records are to be named, numbered,
cross-referenced & filed.

Classified Records Categories of Subject File

Open records – white Administrative files/records of an internal
Limited records – white with “limited” label housekeeping nature.
Confidential records – green Operational files/records created by a
Secret – red with dark red cross marking department or agency in carrying out its main
Top secret – yellow with dark red cross marking functional role.

33

Coding system Records management Index
process in business
It is made up of numbers, letters, or a organization A mental process for deciding on
combination of the two. Used in the the filing which record segment
design and arrangement of subject is to be stored in an order that
headings for file/record storage and adheres to a specific system

retrieval. When combined with The Index is a tool for finding specific information
subject file classification, a coding within a document. A good index guides users
quickly to any important piece of information
system facilitates record filing, within a file. Each approved keyword should have
retrieval, and refilling. its own index sheet, which should be filed
alphabetically in an index book or system.
Codes must be placed on: Coding scheme used with Step in Indexing:
File cover labels subject filing:
Alphabetic 1. Indexing name for filing purposes.
Storage equipment labels Alphanumeric 2.Divide the filing segment into filing units.
Records. 3.Determine the order of filing units.
Block-numeric Indexing Rules for Business Names:
Decimal-numeric
Duplex-numeric Rules 1: Order of filing units.
Subject Rules 2: Minor words and Symbols in
Business Names.
Examination Classification Rule 3: Punctuation and Possessives.
of Subject Files Techniques Rule 4: Single Letters and Abbreviations.
Rule 5: Title and Suffixes.
and Document The Act of Classifying. The Act of Coding. Rule 6: Prefixes- Articles and Particles.
Rule 7: Numbers in Business Names.
Ensure that file are in good physical order & condition. Read the paper to determine the primary topic of the Determine the objective code considerations Rule 8: Organizations and Institutions.
Check routing references on the file covers to ensure text. Determine and choose the broad subject such as department, organisation, location, Rule 9: Identical names.
that all have been properly signed. Ie: “File”, “KIV” or classification group into which the primary important and so on. Classify under the initial Primary
any other actions. subject falls. Consult the broad classification group Subject Heading and number. If the file does 34
Check that the contents of the files have been correctly and choose the primary subject heading and number not exist, select the appropriate objective code
classified and indexed. that best fits the primary subject. Determine whether symbol and a new file will be created.
Ensure that office have concluded their action fully. the text is about policy or about general information.
Direct the creation of sub-files if the examination Use the general file number under the Primary
reveals that this has become necessary. Subject Heading for general matters. Determine the
Ensure that the contents are in their proper order, subject of the Main if it is not a general or policy issue.
normally chronologically. Discover the relationship to the subject classification
scheme that will direct you to a specific relative sub-
subject file. Otherwise, create a new index and file.

In conclusion, a procedure for managing company records should
be used to keep records productive. These procedures range

from the initial stage, which is record capture, through the final
stage. 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.

35

CHAPTER 8

APPRAISAL & DISPOSITION
0F RECORDS MANAGEMENT

APPRAISAL & DISPOSITION OFCHAPTER 8: APPRAISAL & DISPOSITION RECORDS
RECORD MANAGEMENT

In this chapter, we are going to learn about the appraisal and As for disposition, records disposal is the final operational step in
dispositions of records. According to National Archives and Records the records life cycle and is a fundamental component of records
Administration, NARA (2001) defines appraisal as "the process of management. Records may be destroyed or transferred to another
establishing the value and subsequently disposing of documents organisation for long-term preservation as part of the disposition
based on their current administrative, legal, and fiscal use, their process. During the disposal process, records are approved for
evidentiary and informational or research value, their arrangement, destruction or transfer in accordance with the organization's
and their connections to other records”. Records are examined or policies and procedures. Disposing of records in a consistent and
reviewed to determine if they should be destroyed, retained or appropriate manner throughout regular company operations is one
permanently preserved. of the objectives of this procedure.

37

RECORDS APPRAISAL PROCESS CHAPTER 8: APPRAISAL & DISPOSITION RECORDS

1 2 3 4 5

FORMATION OF DEPARTMENT COLLECTING DATA & INFORMATION APPRAISAL OF RECORDS PREPARATION OF RECORDS PREPARATION OF RETENTION
COMMITTEE INVENTORY SCHEDULE
1.Conducting a survey From the information gathered, the
Head of the department appoint: 2.The records survey will enable the appraisal committee will appraise records Records inventory – list of every The disposal action must clearly worded.
Officer & staff who prepare according to: records series in department that The committee should suggest the most
records retention schedule. team to understand agency functions, consists of: suitable retention period for every records
Head of all divisions within Identify the various types of records Primary value: Administrative, series that are inventoried.
the department. created, the frequency of use, identify Fiscal, Legal Categories of records The complete retention schedule must be
current, semi-current & non-current Secondary value: Research, Contents and value endorsed by the Appraisal Committee,
what is appraisal? records, Identify records legislation and Informational, Evidential, Total volume of records approved and signed by the Director of the
locate the records. Historical/Cultural/National Different format of records Department /Agency & then implemented.
3.Prepare records inventory. Retention period
4.Develop a disposal schedule what is disposition?

The process involve evaluation of APPRAISAL & DISPOSITION OF RECORDS Action taken with regards to records as
records to determine whether it possess a consequence of their appraisal and
evidential or informational value which DISPOSITION IMPLEMENTATION the expiration of their retention period
have the continuing relevance
It enables unnecessary records to
Records are examined or reviewed to be destroyed as soon as possible to
determine if they should be destroyed, avoid storage problems.
retained or permanently preserved.

PRESERVATION DESTRUCTION TRANSFER OF CUSTODY OR
OWNERSHIP RECORDS

Action taken to prevent Copy the production of identical copies within the The act or process of The most common method of Such a transfer of ownership or If the electronic records are transferred,
deterioration of records by same medium type damaging something so destruction: custody of records to another
control of their environment Conversion involves a record format change but badly that it no longer organization may include: such issues need to be considered:
and treatment ensures that the record retains the primary exists or cannot be repaired Landfill
Preservation strategies including information. Incineration / Burning Transfer to other organizations Hardware and software compatibility;
copying, conversion & migration Migrations involve a set of organized tasks Shredding with responsibilities for the
of records. designed to periodically transfer digital material Recycle records, Metadata (control and contextual
from hardware/software configuration to Destroying Microfilm Transfer to outsourced or
another, or from one generation of technology to Destroying electronic contractor organizations, information);
another to preserve the integrity of the records records Transfer to a storage facility, or
Transfer to an archive. Data documentation (technical

information on data processing and data

structure);

Licensing agreements;

Standards. 38

CHAPTER 8: APPRAISAL & DISPOSITION RECORDS

To conclude, whether you have a paper or electronic records
management system, it’s essential to track records throughout
their life cycle as evidence of their existence. The tracking of
records permits your staff to know when and how to apply
retention rules, such as legal hold or disposition. this is why
appraisal of records is important and needed in order to
evaluate and determine whether the records should be
retained, dispose or permanently reserve in terms of their
value and functions. Records should be kept as long as is
necessary to fulfill legal requirements and obligations and to
serve the operational needs of the organization.

On the other hand, once records are appraised, those records
having no archival value should be destroyed or disposed of at
the end of their retention period. This is to save storage space
or costs, to make it easier to find information and to reduce
risks associated with keeping information too long. However,
no disposition action should take place without the assurance
that the record is no longer required, that no work is
outstanding and that no litigation or investigation is current or
pending which would involve relying on the record as evidence.

39

CHAPTER 9

EMERGENCY PLANNING
AND

VITAL RECORDS CARE

INTRODUCTION

No organisation is completely immune to emergencies or disasters caused by natural or man-made
causes. Organizations create 'emergency plans,' also known as 'disaster plans,' or 'Plans for business
resumption' These plans are based on the idea that an organisation should identify its assets, which
include its people, equipment and supplies, and property critical information sources and then
develops procedures to protect those assets. An emergency plan aims to protect people and property
in the event of a disaster. In the event of an emergency, immediate action is taken to mitigate the
damage and implement recovery procedures as soon as possible.
In an emergency, not all records can be equally protected. Rather than simply beginning to move
boxes and possibly rescuing supplies but losing valuable documents, it is preferable to plan what will
be given first priority for protection in the event of an emergency. It is possible to identify the
records that are critical to the organization's operations and ensure that those records are protected
first. These are known as 'vital records.'

41

Emergency planning and vital records care

Emergency plan is policies and procedures devised by an organisation In the event of a major loss, vital records are records that have been 42
to be used in the event of an emergency or disaster in order to prevent designated as essential to the continuation of orderly administration.
or minimise damage to the organisation, its people, and its resources. Such losses include those caused by fire, flood, heavy snow, war, or

Types of emergencies other disasters.

Natural: earthquake, fire , flood, hurricane, tornado, and winter Person that identifies vital records
storm.
Environmental: aircraft crash, hazardous material or chemical Senior management:
spills, building collapse, nuclear fallout, radiation, explosion, Before identifying any vital records, senior managers should
transportation accident, dust, light, rodents, and insects. review and confirm the organization's mandate statement.
Political: Civil unrest, labor disputes, riots, strikes, and Senior management should also be involved in reviewing
insurrections. proposed vital record lists and determining which records
Provoke: arson, bomb threats, theft, sabotage, security leaks, should be protected as vital and which are less important to
vandalism. the organisation.
Technology related: hardware and/or software malfunctions,
viruses from damaged or corrupted computer files, Management of vital records
electromagnetic interference, power failures and/or fluctuations,
computer hardware/software theft. Employees must be aware of the existence and condition
of vital records.
Emergency plan's distinct activities Must be saved and retrievable
Make a duplicate and store it in a different building. The
• Readiness: the development of a combination of original is kept in the office, while the copy is kept
preventive measures to prevent future emergencies or elsewhere, or vice versa.
disasters, as well as strategies for dealing with
disasters if they occur. Management of vital records
• Response: following procedures to handle any
emergency situation that arises. The list should include the record's name and file number, the
• Recovery: restoring records and facilities to their office responsible for its creation and use, the purpose of the
original state and resuming normal operations. record, a description of the record, including information about its
purpose and the type of information it contains, media type(s),
storage location, an indication of whether the record is classified
for security purposes, the record's retention period, and steps
taken to protect the record.

CONCLUSION

In conclusion this lesson has described the steps involved in developing an emergency plan as
well as the work involved in identifying and safeguarding vital records. The emergency plan
depicts the various types of emergency plans and their associated activities. It has been
discussed in vital records the importance of obtaining senior support for a vital records
programme in order to protect records critical to the organization's operations. It can be
conclude that the topic provide an overview of the entire module of Emergency planning and
vital records care.

43

01 REFERENCE
02
03 Contributor, T. T. (2014, August 4). What is records management?: Definition from TechTarget. Content Management.
Retrieved from https://www.techtarget.com/searchcontentmanagement/definition/records-management-RM

WriterBookmark, S. N. (2014, October 15). 5 things to know about clinical data registries. American Medical Association.
Retrieved from https://www.ama-assn.org/practice-management/digital/5-things-know-about-clinical-data-registries

Touray, R. (2021, December 1). A review of records management in organisations. Open Access Library Journal. Retrieved
from https://www.scirp.org/journal/paperinformation.aspx?paperid=113666

04 Filing. (n.d.). Retrieved from https://www.etu.org.za/toolbox/docs/admin/filing.html
05
06 A training programme - irmt.org. (n.d.). Retrieved from
http://www.irmt.org/documents/educ_training/public_sector_rec/IRMT_emergency_plan.pdf

Haissam Abdul Malak (2022, November 6). What is records lifecycle: The Complete Guide. Information Management
Simplified. Retrieved from https://theecmconsultant.com/what-is-records-lifecycle/

07 INFORMATION AND DOCUMENTATION - RECORDS MANAGEMENT - PART 1: GENERAL (ISO 15489-1:2001, IDT) (2009)
DEPARTMENT OF STANDARDS MALAYSIA

44

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