CHAPTER 1

FACULTY OF BUSINESS AND MANAGEMENT

UNIVERSITI TEKNOLOGI MARA (UiTM)
KAMPUS BANDARAYA MELAKA

BACHELOR IN OFFICE SYSTEMS MANAGEMENT (HONS.)

ADVANCED RECORDS MANAGEMENT
ASM501

ASSIGNMENT TITLE:
CHAPTER 1
INTRODUCTION TO RECORDS MANAGEMENT

PREPARED FOR:
MADAM ZATUL HIMMAH ABDUL KARIM

PREPARED BY:
RABIATUL NADHIRAH BINTI ZAINAL

STUDENT ID:
2021464936

CLASS:
BA232 3A

SUBMISSION DATE:
5th APRIL 2022
Chapter 1 – Introduction to Records Management
a) Define these terms:
TERM:
Records management
Storage
Storage method
Alphabetic records management
Storage procedures
Management
Records management program
Centralized records
Decentralized records
Records system
Record life cycle
DEFINITION:
Records management is systematic control of all records
from their creation, or receipt, through their processing,
distribution, organisation, storage and retrieval, to their
ultimate disposition.
Storage is the placement of records onto a shelf or into a
file drawer, according to a plan.
Storage method is a systematic way of storing records
according to an alphabetic, subject, numeric,
geographic, or chronologic plan.
Alphabetic records management is a method of storing
and arranging records according to the letters of the
alphabets.
Storage procedures is a series of steps for the orderly
arrangement of records as required by a specific
storage method or records management system.
Management is the process of using an organisation’s
resources to achieve specific goals through the functions
of planning, organising, leading and controlling.
Records management program is the systematic and
consistent control of all records, regardless of the media
on which they are held, throughout their lifecycle.
Centralised records is physically located and controlled
in one area.
Decentralised records is physically located in the
departments where they are created and used.
Records system is a group of interrelated resources:
people, equipment & supplies, space, procedures, and
information, acting together according to a plan to
accomplish the goals of the records and information
management program
Record life cycle is the life span of a record as
expressed in the 5 phases of creation, distribution, use,
maintenance, and final disposition. The phase of the life
cycle often overlaps.
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b) List and explain four (4) categories of records in business. Provide example for each
answer.
Categories of records in
business
1 Vital Records
2 Important Records
3 Useful Records
4 Non-essential Records
Explanation
Vital records are necessary
for the continuing
operation of an
organisation and it is
usually not replaceable.
This record is the highest
degree of protection
necessary.
Important records are
assisted in performing an
organisation’s business
operations. Usually, it is
replaceable but at a great
cost. This record has high
degree of protection
necessary.
Useful records are helpful
in conducting business
operation. Usually, it is
replaceable at slight cost
and low to medium degree
of protection necessary.
Non-essential records have
no predictable value after
their initial use. It has
lowest degree of
protection necessary.
Example
1. Legal papers
2. Articles of
incorporation
3. Titles of property
1. Personnel records
2. Sales records
3. Financial and tax
records.
1. General
correspondence (letter,
faxes)
2. Bank statements
1. Announcements and
bulletins to employees.
2. Acknowledgments
3. Routine telephone/
email messages.
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c) List ten (10) reasons why organizations keep their documents in a proper manner.

1. Conduct
To conduct business in and orderly, efficient and accountable manner.
2. Deliver
Deliver care and services in a consistent and equitable manner.
3. Support and document
Support and document policy formation and managerial decision-making.
4. Provide
To provide consistency, continuity and productivity in management and administration.
5. Facilitate
Facilitate the effective performance of activities throughout the organisation.
6. Provide
Provide continuity in the delivery of services.
7. Provide
Provide continuity in the event of a disaster.
8. Meet
Meet legislative and regulatory requirements including archival, audit and oversight
activities.
9. Protect
Protect the interests of employees, management, clients, and present and future
stakeholders.
10. Support and document
Support and document current and future research, and document activities, developments
and achievements, as well as historical research.

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d) Briefly explain the four (4) record values and provide examples for each value.

Record values Explanation Example

1 Administrative value Records that help employees
perform office operation
within the firm.
2 Fiscal value Records used to document
operating funds and other
financial process.
3 Legal value Records that provide
evidence of business
transactions.
4 Historical value Records that document the
organisation’s operation and
major shifts of direction over
the years.
• Policy and procedures
manuals
• Handbooks
• Organisational charts
• Tax returns
• Record of financial
transaction, purchase
and sales order,
invoices, balance sheets
and income statements.
• Contracts
• Financial agreements
that are legally binding
• Deeds to property
owned
• Articles of incorporation
• Minutes of meetings
• Corporate charter
• Public relations
documents
• Information on
corporate officers

e) List and explain four (4) characteristics of records.

Characteristic Explanation
1 Permanence Recorded information should be permanent so
that it can be used as evidence
2 Value as official source of Records should have authority so that they
information should be considered to be the true, official
account or report that will have universal
validity as the one true record.
3 Unique Records are unique in that they are
documents of a single or individual event or
transaction that will be repeated in the same
time, at the same place or for the same actions
4 Authentic Records are supposed to be authentic in that
they document accurately what actually
transpired, and indicate what was actually the
state of affairs at a particular point on time.

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f) Briefly explain the five (5) phases of record life cycle.

Record life cycle Explaination

1 Creation Creation is which includes records that
are internally produced or received
from external parties.
2 Distribution Records are then distributed (sent) to
the persons responsible for their use.
3 Use Records are commonly used for
decision making, documentation, or
references, in answering inquiries, or in
satisfying legal requirements.
4 Maintenance When a decision is made to keep a
record for use at a later date, it must be
stored, retrieved and protected.
5 Disposition After a predetermined period of time has
elapsed, records to be kept are
transferred to less expensive storage
sites within the organization or to an
external records storage facility.

g) List the five (5) key elements of records management.

1. Meeting business & client needs

2. Public record legislation
3. Managing records as a valuable and expensive asset
4. Accountability for practice and service provision
5. Accountability and quality of information and services

h) Briefly explain the four (4) functions of records management.

Functions of records management Explanation
1 Planning Establishing goals or objectives, and the
method required to achieve them.
2 Organising A step that calls for arranging the tasks,
people, and other resources needed to
meet the goals set in the planning stage
3 Leading Managerial behaviour such as training,
supervising, and motivating, that support
the achievement of an organisation’s
goal
4 Controlling Measuring how well the goals have been
met.

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i) List and explain the four (4) features of records management program.

Records management program Explanation

1 Well-defined goals understood by all Goals of the record management
workers program is clearly known by the
workers.
2 Simple, sound organizational plan Easy location plan to access by the
workers.
3 Efficient procedures for managing Organisations must clearly define the
each of the five stages in the record elements of the program to achieve the
life cycle objective or goals of a records
management program.
4 Well-trained staff • In a small office, an administrative
assistant and a manager occupy most
of their time handling records.
• In a large organisation, specialised
staff/supervisor directs the work of
several records clerks.

j) Differentiate between centralised records and decentralised records.

Types of records management program Differences

1 Centralised records
2 Decentralised records
Physically located and controlled
in one area.
Physically located in the
departments where they are created
and used.

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k) Identify the six (6) GOALS of records management program.

1. To provide accurate, timely information whenever and wherever it is needed.

2. To provide information at the lowest possible cost.
3. To provide the most efficient records systems, including space, equipment, and
procedures for creating, storing, retrieving, retaining, transferring, and disposing of
records.
4. To protect information by designing and implementing effective measures for
records control.
5. To determine methods for evaluating all phases of the records and information
management program.
6. To train company personnel in the most effective method of controlling and using
records.

l) Identify and explain the problems in records system.

Problems in records system Explanation

1 Management
2 Human Problem
3 Inefficient Filing Procedures
4 Poor Use of Equipment
5 Inefficient Use of Space
6 Excessive Records Costs
No overall plan for managing records
problem.
Lack of concern about the importance of
records.
Overloaded and poorly labelled drawers and
folders
No equipment standards.
Crawdad working conditions.
Inefficiency due to the above problem.

8|Page
CHAPTER 2
 FACULTY OF BUSINESS AND MANAGEMENT
UNIVERSITI TEKNOLOGI MARA (UiTM)
KAMPUS BANDARAYA MELAKA

BACHELOR IN OFFICE SYSTEMS MANAGEMENT (HONS.)

ADVANCED RECORDS MANAGEMENT
ASM501

ASSIGNMENT TITLE:
CHAPTER 2
RECORDS MANAGEMENT PRACTICE

PREPARED FOR:
MADAM ZATUL HIMMAH ABDUL KARIM

PREPARED BY:
RABIATUL NADHIRAH BINTI ZAINAL

STUDENT ID:
2021464936

CLASS:
BA232 3A

SUBMISSION DATE:
16th APRIL 2022
Chapter 2 – Records Management Practice

a) Define these terms:

Terms Definitions

1 Information Something that can lead to knowledge

regardless of the medium of its conveyance to
one or more persons.
2 Document A medium through which information is
imprinted for conveyance to one or more than
one person.
3 Inward correspondence Also known as (Correspondence Received)
which includes mail that may be received.
4 Outward correspondence Also known as (Correspondence Dispatched)
which includes mail that may be dispatched.
5 Register It is a document usually a volume in which
regular entry of data is made.
6 In-registers Traditional systems of document registration
involve the entry into an inward
correspondence registry.
7 Part of files One of a number of physical units into which a
file has been subdivided chronologically as it
has increased in size.
8 Subfile A separate file dealing with a discrete aspect of
the subject of a more general file.
9 Continuation file A new file is opened when the old file on the
subject has reached its cut-off date within the
file cycle.
10 Keyword A keyword is terms or group of terms taken
from the title or text of a document or file
characterising its content and facilitating its
retrieval.
11 Folio number • Documents and the accompanying
enclosures must be placed on files in “date
of receipt” order (the most recent on the top).

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 • Number each paper on the file consecutively
in the top right-hand corner with the number
being enclosed in a small circle (called a
folio number).
• If a document runs to more than one page,
the whole document (not the individual
pages) is numbered.
12 Registry It is basically responsible for managing the
records of that particular organisation.
13 File classification scheme • (It is also known as a file plan) is a tool that
allows for classifying, titling, accessing
and retrieving records.
• Is presented as a hierarchical structure of
classification levels and is based on the
business activities.
14 Subject file Collections of related papers on a specific
subject or its specific sub-subjects collated and
placed within a single file cover container.
15 Classifying records Classifying records is the act of determining
the subject under which the records are t be
named, numbered, cross-referenced (if
necessary) and filed. The classification will be
the key to the retrieval of information from the
files or records.
16 Lateral file cabinet Storage equipment that is wider than it is
deep-records are accessed from the side
(horizontally).
17 Shelf file An open-shelving equipment in which records
are accessed horizontally from the open side.
18 Mobile shelving A series of units that move on tracks attached
to the floor for access to files in some movable
shelving equipment, the shelves slide from side
to side.
19 Motorized rotary storage A unit that rotates shelves in the unit around a
central hub to bring the files to the operator.

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20 Guide A guide is a rigid divider used to identify a
section in a file and to facilitate reference to a
particular record location.
21 Primary guide A divider that identifies a main division or
section of a file and always precedes all other
material in a section.
22 Special guide A divider used to lead the eye quickly to a
specific place in a file.
23 Folder A container used to hold and protect the
contents of a file together and separate from
other files.
24 General folder A general folder holds records to and from
correspondents with a small volume of records.
25 Individual folder An individual folder holds records for an
individual correspondent.
26 Out-indicator Out indicators are a control device that shows
the location of borrowed record.
27 Out guide Out guides are a special guide used to replace
any record that has been removed from
storage and to indicate what was taken and by
whom.
28 Out folder Out folder is a special folder used to replace a
complete folder that has been removed from
storage.
29 Out sheet Out sheets are a form that is inserted in place
of a record removed from a folder
30 Label Device containing the name of the contents
of a folder, drawer, or container.
31 Sorter A sorter is a device used to arrange records
into alphabetic or numeric categories and to
hold records temporarily prior to storage.
32 Release mark An agreed-upon mark such as initials or a
symbol placed on a record to show that the
record is ready for storage
33 Indexing Mental process of determining the filing
segment (or name) by which a record is to be

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 stored and the placing or listing of items in an
order that follows a particular system.
34 Subject indexing The act of describing or classifying a
document by index terms or other symbols in
order to indicate what the document is about, to
summarize its content or to increase its
findability.
35 Coding An un-coded record that is removed from
storage and then returned at a later date to be
refiled, must be indexed and coded.
36 Sorting Arranging records in the sequence in which
they are to be filed or stored.
37 Rough sorting Arranging records in approximately the same
order as the filing system in which they will be
placed.
38 Storing Placing records into storage containers.

39 Tickle file A date-sequenced file by which matters

pending are flagged for attention on the proper
date.

b) When should a new file be opened?

i. A new subject arises within the administrative process.
ii. Relevant documents need to be filed.
iii. An existing subject subdivides into new discrete subjects.
iv. New subject needs new files or subfiles.

c) What is Folio Number?

Folio number is a document and the accompanying enclosures must be placed on files in
“date of receipt” order (the most recent on the top).

d) Give three (3) reasons why files should not be allowed to become thick.
i. They are difficult to handle.
ii. Their contents can be at risk of damage.
iii. Liable to contain papers no longer required for the daily conduct of business.

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e) List and explain the categories of subject files.
Categories Explanation
1 Administrative Files Records of an internal housekeeping
(Housekeeping Files) nature.
2 Operational Files (Functional Records created by a department or
Files) organisation in carrying out its main
functional role.

f) Differentiate centralised and decentralised registry.

Types of registries Explanation
1 Centralized • Means the control comes
registry from one location (Main
registry) to control the
following components:
✓ Records System
✓ Records Staff
✓ Allocated Space for the
Registries
✓ Records Equipment and
Supplies
2 Decentralised • Various units or divisions
registry within a department (normally
a large department) that have
their own small registry units).
• the various registries will
have their own records
systems, records staff,
allocated space for the
registries and records
equipment and supplies.
Advantages
• There is control over
records creation in
accordance with a file
design (This would ensure
that records will not be
duplicated).
• Standard procedures on
records management will
be in place.
• There is savings in terms
of manpower and
equipment.
• Easy access to
information.
• Faster retrieval and
speedier decision making.
• Savings in labour and
expensive equipment.

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g) List and explain the benefits of a Good Subject File Classification System.
Benefits
1 An aid to service
2 An aid to research
3 An aid to
documentation
4 An aid to preservation
5 An aid to disposal
6 An aid to economy
7 An aid to personnel
h) Briefly explain the four (4) types of storage equipment commonly used for paper
records.
Types of storage equipment
1 Vertical File Cabinet
2 Lateral File Cabinet
3 Shelf File
4 Mobile Shelving
Explanation
It can result in better, faster, cheaper reference service
where complete files or records are produced quickly.
It can make the proper arrangement of written accounts
of facts and events.
It can mean the proper arrangement of written accounts
of facts and events.
It can speed up the identification and segregation of
valuable records since selection will be easier.
It can speed up the identification and segregation of
files or records of limited usefulness.
It can affect economies when it is applied to the whole
organisation by mass purchase of uniform equipment
and supplies.
It can permit the transfer of records personnel from one
division to another or from one department to another,
wherever situated, without re-training.
Explanation
• Storage equipment that is deeper than it is
wide.
• Generally, the arrangement of folders in the
file drawers is from front to back.
• Storage equipment that is wider than it is
deep-records are accessed from the side
(horizontally).
• Records can be arranged in the drawers from
front to back or side to side.
• An open-shelving equipment in which records
are accessed horizontally from the open side.
• A series of units that move on tracks attached
to the floor for access to files in some
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 movable shelving equipment, the shelves
slide from side to side.

i) Why new folders are needed?

i. A new group of names is to be added to a file.
ii. Older folders have become full, and additional ones must be added to take care of
the overload.
iii. Enough records have accumulated for certain correspondence so that their records
can be removed from the general folders and put into individual folders.
iv. Folders have worn out from heavy use and must be replaced.
v. The scheduled time has arrived for replacing folders and transferring infrequently
used folders to inactive storage.

j) Briefly explain the three (3) types of folders for manual records.

Types of folders for manual records Explanation

1 Suspension (hanging) folder
2 A below (expansion) folder
3 A pocket folder
A folder with built-in hooks on each side that
hang from parallel metal rails on each side of
a file drawer or other storage equipment.
A folder that has a top flap and sides to
enclose records in a case with creases along
its bottom and sides that allow it to expand.
A folder with partially enclosed sides and
more expansion at the bottom than an
ordinary folder.

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k) List and explain the requirements for the selection of storage equipment and
supplies.
Requirements
1 Type and volume of records to
be stored and retrieved.
2 Degree of required protection of
records
3 Efficiency and ease of use of
equipment and systems
4 Space considerations
Explanation
• An inventory of what is to be stored is a
basic step in making the best choice of
storage equipment and supplies.
• Records in different formats or media
such as papers, cards, books, computer
disks, microfilm, videos, architectural
drawings, or computer printouts have
special storage needs.
• A record inventory also shows the
current volume of stored records
• Future volume and needs must be
forecast.
• Confidential or classified records require
equipment with locks or location in a
records vault.
• Records vital to the operation of the
business need fireproof or fire-resistant
storage equipment.
• The ease with which records can be
found is a major consideration.
• The simpler the system is to understand,
the easier it is to use.
• Also, less training of new employees is
needed when the system is a simple
one.
• Time saved by personnel who store and
retrieve records means dollars saved.
• The ease of expansion or modification of
a system or the addition of compatible
equipment will be important to meet the
changing needs of an organization.
• Floor-weight restrictions, use of space to
the ceiling air space or the advisability of
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 counter-type equipment or something in
between and the possibility of
transferring part of the records to off-site
storage facilities affect space which in an
office is costly.
• Lateral, shelf, or rotary equipment can
house more square feet of record than
conventional drawer file cabinet in the
same square footage of floor space.

l) List the advantages of Alphabetic Records Management.

i. Alphabetic storage does not require an index and is, therefore, a direct access
storage method.
ii. All records for correspondent names that begin with numbers written as digits are
filed before all alphabetic names according to alphabetic indexing Rule 7.
iii. Storage is easy if standard procedures are followed.
iv. The alphabetic dictionary (A to Z) order of arrangement is simple to understand.

m) List the disadvantages of Alphabetic Records Management.

i. Misfiling is prevalent if rules for alphabetic storage are not established and
followed.
ii. Similar names may cause confusion, especially when spellings are not precise.
iii. Transposition of some letters of the alphabet is easy, causing filing sequence to
be out of order.
iv. Names on folders are seen instantly by anyone who happens to glance at an
open storage container. Consequently, confidential or classified records are not
secure.
v. Filing under the wrong name can result in lost records.
vi. Related records with different correspondent names are filed in more than one
place.

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n) List the five (5) techniques in trying to find missing records.
i. Look in the folders immediately in front of and behind the correct folder.
ii. Look between folders and under all folders in the drawer or shelf (records may
have slipped to the bottom of the drawer or shelf).
iii. Look completely through the correct folder because alphabetic order of sequence
may have been neglected due to carelessness or haste.
iv. Look in the general folder in addition to searching in the individual folder.
v. Check for transposition of names (DAVID MILLER instead of MILLER DAVID)
and alternate spellings JON, JOHN).

o) List four (4) things a filer must do before storing the records.
i. Glance quickly at the container label to locate the place to begin storage.
ii. Scan the guides until the proper file section is located.
iii. Pull the guides forward with one hand, while searching for the correct folder. If
none if this folder is in the file, locate the general folder.
iv. Check for an individual or a special folder for the filing segment.

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CHAPTER 3
 EXERCISE 1 – CHAP 3

Question 1
Define these terms:
Terms Definitions
1 Alphabetic storage method A method of storing records arranged according to the
letters of the alphabet.
2 Indexing The mental process of determining the filing segment
(or name) by which a record is to be stored and the placing
or listing of items in an order that follows a particular
system.
3 Coding The act of assigning a file designation to records as they
are classified.
4 Indexing rules Written procedures that describe how the filings
segments are ordered.
5 Key unit The first unit of a filing segment. It is the part of the
segment considered first when determining where the
record will be stored.

Question 2
Filing segment Key Unit Unit 2 Unit 3 Unit 4
1 Catherine A. James James Catherine A
2 Latifah Ismail Samad Latifah Ismail Samad
3 Josephine Phillips Phillips Josephine
4 Abdul Razak bin Halim Abdul Razak Halim
5 Kamal Amirul Hasanuddin Kamal Amirul Hasanuddin
6 Kedai Runcit Brahim Kedai Runcit Brahim Family
Family
7 Addina Kedai Jahit Addina Kedai Jahit
8 Hamimah Helena bin Hamimah Helena Hanafiah
Hanafiah
9 Kiosk Jamu Herba Kiosk Jamu Herba Manjakani
Manjakani
10 Sherman J. Atkinson Atkinson Sherman J
11 Puteri Aleya Jameela binti Puteri Aleya Jameela Fauz
Fauz

2|Page
CHAPTER 5
 FACULTY OF BUSINESS AND MANAGEMENT
UNIVERSITI TEKNOLOGI MARA (UiTM)
KAMPUS BANDARAYA MELAKA

BACHELOR IN OFFICE SYSTEMS MANAGEMENT (HONS.)

ADVANCED RECORDS MANAGEMENT
ASM501

ASSIGNMENT TITLE:
CHAPTER 5
CONTROLS AND PROTECTION IN RECORDS MANAGEMENT

PREPARED FOR:
MADAM ZATUL HIMMAH ABDUL KARIM

PREPARED BY:
RABIATUL NADHIRAH BINTI ZAINAL

STUDENT ID:
2021464936

CLASS:
BA232 3A

SUBMISSION DATE:
10th JUNE 2022
EXERCISES
CHAPTER 5: CONTROLS AND PROTECTION IN RECORDS MANAGEMENT
a) Define these terms:
NO TERMS
1 Control
2 Standards
3 Knowledge management
4 ISO 9000
5 Records management manual
6 Records inventory
7 Records audit
8 Disaster recovery plan
9 Efficiency control
DEFINITIONS
A device or mechanism used to regulate or
guide the operation of a system to check or
verify/by comparison with a standard.
Standards are complete and well-defined set
of published rules pertaining to a certain
subject.
An interdisciplinary field that is concerned with
systematic, effective management and
utilisation of an organisation’s knowledge
resources.
ISO 9000 is an international standard for
organizing and documenting processes and
procedures used to establish a quality system,
developed by the International Organisation for
Standardisation (ISO).
A records management manual is a guide to
the functioning of the records management
system.
A records inventory is a survey that provides a
detailed listing of an organisation’s records.
A records audit is a periodic inspection to
verify that an operation is in compliance with a
records management program.
A disaster recovery plan is a written and
approved course of action to take when
disaster strikes, ensuring an organization’s
ability to respond to an interruption in services
by restoring critical business functions.
An efficiency control is a method for evaluating
the ability to produce a desired effect with a
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 minimum expenditure of time, energy, and
space.
10 Efficiency standards Used to measure filers’ ability to locate
information include:
• The number of misfiles, usually about
3% of the total numbers of records
filed.
• The number of “can’t find” records,
which should be under 1%.
• The time required to find a record,
which should never exceed 2 to 3
minutes.
11 Efficiency ratios A standard for measuring the efficiency of
various aspects of records systems.
12 Records safety Records safety is protecting records from
physical hazards existing in an office
environment.
13 Records security Records security refers to protecting records
from unauthorised access.
14 Firewall Firewall refers to a combination hardware and
software buffer that many organizations place
between their internal networks and the
Internet (limit specific messages from the
Internet to flow in/out of the internal network).
15 Records protection Records protection can be defined as
safeguarding records against
intentional/unintentional destruction/damage
and protecting records confidentiality.

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b) Explain the difference between explicit knowledge and tacit knowledge.

Explicit knowledge Contained in documents, databases, e-mail, or

other records.
Tacit knowledge Acquired through observation, practice, and
imitation. (relies on experience, judgment, and
intuition and is exhibited through employee’s
skills or “know-how.”

c) List the four (4) purposes of Records Management Manual.

i. Standardizes Procedures
ii. Establishes Responsibility
iii. Assists Employees Training
iv. Provides Updates of Policies and Procedures

d) What are the eight (8) steps in preparing the records management manual?

i. Obtain the approval and support of upper-level management.

ii. Determine the type of annual needed – Policy, organizational, administrative,
operational, and combination.
iii. Assign authorship responsibility.
iv. Identify sources of information for the manual
v. Determine the content of the manual.
vi. Collect and analyse data.
vii. Write the manual – style and format.
viii. Publish the manual – quantity required, printing method.

e) List the three (3) kinds of information the records audit will provide on records

and information management program.

i. Information about current operations.

ii. Analysis of the current system and its needs.
iii. Recommended solutions for improving the RIM program.

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f) List the three (3) types of efficiency ratios.
i. Activity ratio.
ii. Accuracy ratio.
iii. Retrieval efficiency ratio.

g) List and explain the four (4) types of data protection.

NO Type Of Data Explanation

Protection
1 Password A password is a string of characters known to the
computer system and a user, who must specify it to gain
access to the system.
2 Digital Signature A digital signature or e-signature consists of a string of
characters and numbers added as a code on electronic
documents being transmitted by computer.
3 Encryption Encryption is a method of scrambling data in a
predetermined manner at the sending point to protect
confidential records.
4 Call-back System. Call-back system is a records protection procedure
requiring an individual requesting data from a computer
system to hang up after making telephone request and
wait for the computer to call back.

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h) List and explain the four (4) phases in disaster recovery plan.

NO PHASES IN DISASTER EXPLANATION

RECOVERY PLAN
1 Prevention
2 Preparedness
3 Responding
4 Recovery
Prevention is the first phase of the disaster plan in
which activities or measures are taken to reduce
the probability of loss resulting from an
emergency.
Preparedness, the second phase, is simply being
prepared to respond when an emergency occurs.
Responding to an emergency event means
activating resources necessary to protect the
organization from loss is the third phase.
Recovery, the fourth phase, involves necessary
activities to restore resources or operations
quickly, especially vital systems and processes
that will keep producing products and services as
well as retaining customers.

i) List the four (4) method of recovering damaged records.

i. Vacuum Freeze Drying
ii. Vacuum Drying
iii. Freezing
iv. Air Drying

Page | 6
CHAPTER 6
 FACULTY OF BUSINESS AND MANAGEMENT
UNIVERSITI TEKNOLOGI MARA (UiTM)
KAMPUS BANDARAYA MELAKA

BACHELOR IN OFFICE SYSTEMS MANAGEMENT (HONS.)

ADVANCED RECORDS MANAGEMENT
ASM501

ASSIGNMENT TITLE:
CHAPTER 6
RECORDS DISPOSITION AND DESTRUCTION

PREPARED FOR:
MADAM ZATUL HIMMAH ABDUL KARIM

PREPARED BY:
RABIATUL NADHIRAH BINTI ZAINAL

STUDENT ID:
2021464936

CLASS:
BA232 3A

SUBMISSION DATE:
27th JUNE 2022
 EXERCISES
CHAPTER 6: RECORDS DISPOSITION AND DESTRUCTION
SHORT ANSWER QUESTIONS
a) Define these terms:
NO TERMS
1 Disposition
2 Disposal schedule
3 Primary value
4 Secondary value
5 Archival value
6 Records retention program
7 Records inventory
8 Records retention
schedule
9 Records retrieval
DEFINITION
Disposition is the final destination of records after
they have reached the end of their retention
period in an active and/or inactive storage.
The disposal schedule is the control document that
contains appraisal decisions and prescribes disposal
action.
Primary value is the value to the organization that
created them for administrative, legal, and fiscal
purposes.
Secondary value is the additional “historical” value to
the organization and wider society.
Archival value warrants the continued preservation of
records beyond the period required to transact the
business of their originating service or its successor in
function.
A records retention program consists of policies and
procedures relating to what documents to keep,
where the documents are kept, and how long these
documents are to be kept.
A Records Inventory is a detailed listing that includes
the types, location, dates, volumes, equipment,
classification systems and usage data of an
organisation’s records.
A Records Retention Schedule is a comprehensive list
of records, indicating the length of time records are
to be maintained.
Records retrieval is the process of locating and
removing a record or file from storage.
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 10 Requisition A requisition is a written request for a record or
information from a record.
11 On call form An on-call form (wanted form) is a written request for
a record that is out of the file.
12 Charge out Charge out is a control procedure to establish the
current location of a record when it is not in the
records centre or central file, which can be a
manual or automated system.
13 Follow-up Follow-up is a system for assuring the timely and
proper return of materials charged out from a file.
14 Charge out log A charge-out and follow-up file is a tickler file that
contains requisition forms filed by dates that
records are due back in the inactive records
center.
15 Records disposition Records disposition is the final destination of
records after they have reached the end of their
retention period in active and/or inactive storage.
16 Destruction suspension A destruction suspension is a hold placed on the
scheduled destruction of records that may be
relevant to foreseeable or pending litigation,
governmental investigation, audit, or special
organizational requirements.
17 Records centre Records centre is a building designed or adapted
for the low-cost storage, maintenance, and
communication of inactive records pending their
ultimate disposal.

b) What is the objective of Appraisal and Disposition?

The objective of appraisal and disposition is to ensure that the destruction of records
without value and the transfer of records of value for archival preservation take place at
the right time through the systematic implementation of decisions based upon the
assessment of continuing utility and permanent value of records.

3
c) List and explain the three (3) primary value records.
PRIMARY VALUE EXPLANATION
1 Administrative Value Records with administrative value are those
records that are required to assist a department
or organization in carrying out its current task and
comprises of papers relating to the establishment
of the department or organization, organization of
the organization, staff, acts, policies, office
instructions, guides and manual issues by the
headquarters, changes in policies,
implementation of policies and procedures,
changes in organizational structures, programs,
functions, and activities.
2 Fiscal Value Records with fiscal or financial value are those
records relating to the financial transactions such
as annual budget allocation and estimates,
policies and procedures, claims, vouchers,
cheques, cash books and others that require
auditing must comply with the Treasury
Instructions.
3 Legal Value Records with legal value are those records that
protect the rights and responsibilities of the
government and they provide individuals with the
right to make claims upon the government.

d) List and explain the two (2) types of secondary value records.
TYPES OF SECONDARY
VALUE
1 Research Value
2 Historical/Cultural/National
Value
EXPLANATION
Records with research value are those records
which contain important information about a
particular happening or event, important
personalities or objects such as historical
buildings, landmarks, and places.
These are records with information on events
with national or international significant.

4
e) List the six (6) items to be considered when developing a records retention
schedule.
1. How long will the records be used?
2. In what forms should the records be kept? How accessible should the reocords
be?
3. When should the records be determined inactive? Which records should be
transferred offsite and when? How will such records be accessed? Will
transferred records maintain their integrity and security?
4. What are the applicable federal, state, and local laws?
5. What are the comparative costs for keeping the records or not keeping the
records?
6. When and how ill the records be disposed of?

f) Briefly explain the three (3) ways of how records can be retrieved.
WAYS EXPLANATION
1 Manual Manually is a person goes to a storage container and
removes by hand a record wanted or makes a note of
the information requested from it
2 Mechanically Mechanically is a person uses some mechanical
means (ex. pressing the correct buttons to rotate
movable shelves to the correct location of a record,
remove the record manually, or record information
requested from it)
3 Electronically Electronically is a person uses some means, (ex. a
computer, to locate a record).

5
g) What are the ten (10) steps involved in the retrieval process.
1. Request for stored record or records series—requester or records centre
personnel prepare requisition form.
2. Check index for location of stored record(s).
3. Search for record or records series.
4. Retrieve (locate) record or records series.
5. Remove record(s) from storage
6. Charge out records(s) to requester. Insert OUT indicator in place of record(s)
removed from storage. Complete chargeout log.
7. Send record(s) to requester.
8. Follow-up borrowed record(s).
9. Receive record(s) for re-storage.
10. Store record(s) again. Remove OUT indicator. Update charge-out log

h) What is a requisition form?

A requisition form is the most frequently used requisition forms is a 5” by 3” or 6” by 4”
card or slip of paper printed with blanks to be filled in. When the requisition form is
completed, the filer will have answers to the five records retention questions (Who?
What? When? Where? How Long?)

i) What is an out indicators?

An out indicators is when a requested record is found, it is removed from storage and an
OUT form is inserted in place of the record. An OUT form is inserted in place of the
record.

j) The length of time records may be borrowed from storage depends on four (4)
factors, list the four (4) factors.
1. The type of business.
2. The number of requests received for the records.
3. The use of a copying machines.
4. The value of the records.

6
k) List the seven (7) items included in the charge out log.
1. What record was taken (correspondent name or subject title on the record and
date on the record).
2. When the record was taken (date borrowed).
3. Who took the record (name of person, extension number, e-mail address).
4. Date due.
5. Date returned.
6. Date overdue notice was sent.
7. Extended date due.

l) List the three (3) types of records centre.

1. National Records Centre.
2. Departmental Records Centre.
3. Commercialial Records Centre.

m) List the five (5) functions of records centre.

1. Received ad administer all records, in whatever format, that are retired from
current records systems.
2. Provide a reference service based upon the records.
3. Dispose of all records held in accordance with disposal schedules and plans.
4. It is not just a storage facility but an information centre for the creating
organizations.
5. Provide security measures for the records in the centre.

n) To ensure security and access, what are the four (4) important things a
records centre must do?
1. Records officially classified as confidential, secret or above must be kept in
accordance with the general rules for the management of confidential, secret or
other classified records.
2. Records must be classified wherever possible, because obsolete classification or
restrictions prevent the full use of the information in records.
3. Records may only be issued to, or by the direct authority of, the agency that
transferred them to the records centre.
4. Authorised person comes to the records centre to consult records; they must do
under supervised conditions, and they must conform to the rules in force

7
o) What are the duties of Management of Records in the Records Centre?
1. Preparing records for storage.
2. Executing and maintaining control and retrieval system procedures (this includes
checking transfer files, filing lists in the appropriate places and completing the
accessioning procedure).
3. Completing statistical information.
4. Receiving and carrying out requests for information or records.
5. Implementation of retention and disposal schedule.

p) List the Duties of Records Centre Staff.

1. Liaising with creating organisations.
2. Receiving records from creating organisations.
3. Retrieving records on demand.
4. Retrieving records for transfer to the archives or for disposal.
5. Communication and technology management.
6. Administrative duties

q) What are the three (3) degrees of records activity?

DEGREES OF
RECORDS
1 Active record
2 Inactive record
3 Archive record
EXPLANATION
Active record is a needed to perform current
operations.
Inactive record is a record that does not have to be
readily available but which must be kept for legal,
fiscal or historical purposes.
Archive record is a record that has continuing or
historical value to an organization and is preserved
permanently.

8
r) Briefly explain the two (2) types of Transfer Method.

TRANSFER METHODS EXPLANATION

1 Perpetual Transfer
Method
2 Periodic Transfer Method
Perpetual transfer method is records are continually
transferred from active storage to inactive storage
areas whenever the records are no longer needed for
reference.
Periodic transfer method is a method of transferring
active records at the end of a stated period of time,
usually one year, to inactive storage.

s) What is a records centre box?

A records centre box or carton or container is usually made of corrugated cardboard that
is designed to hold approximately one cubic foot (12 inches high by 12 inches wide by 12
inches deep) of records, either legal or letter size.

t) Briefly explain the destruction date file.

A destruction date file is a tickler file containing copies of forms completed when records
are received in a records centre. Destruction dates are determined when a records
retention schedule is created.

u) List the five (5) method of physical records destruction.

Physical Record
1 Landfill (bury in an authorised land).
2 Incineration (burning).
3 Shredding (soaked in a chemical solution to soften
the paper, then bailed).
4 Recycling (convert into reusable material).
5 Pulping (shredded and mixed with water, then
bailed).

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v) List the five (5) method of electronic records destruction.
Electronic Record
1 Digital file shredding.
2 Degaussing (the process of demagnetising magnetic
media to erase recorded data).
3 Physical destruction of storage media (pulverisation,
incineration or shredding).
4 Reformatting (if it can be guaranteed that the
process cannot be reversed).
5 Clear and overwriting.

10