Records Management Processes

PHYSICAL RECORDS

VS

ELECTRONIC RECORDS
INFORMATION TECHNOLOGY SYSTEM

VS

ELECTRONIV RECORDS MANAGEMENT

SYSTEM
• Information Technology System (ITS) is widely used in
organizations to store, protect, process, transmit, and
retrieve information as necessary.

• Without the function of records management principles,

though, the ITS tends to store everything permanently.

• It lacks the capacity to execute retention schedules, resulting

in the ongoing need for large storage space. The end result of
this situation is the occurrence of backlogged records since
everything is kept despite becoming outdated.
 ITS is seldom designed to manage the complete life-cycle of
records.

 Normally, the system does not capture the structural and contextual
information that describes how the record was created, how it was
arranged, who created it and what business function and
transaction led to its creation.

 Without information on the record’s or data’s structure, it may be

difficult to retrieve it in the future, especially if the software and
hardware becomes obsolete. Furthermore, without context the
record is meaningless.

 This is where an electronic records management system is needed.

 According ISO15489, the process of
managing records systematically include
 Capture
 Registration
 Classification
 Access and security classification
 Identification of disposition status
 Storage
 Use and tracking
 Implementation of disposition
 the process of determining that a record
should be made and kept.
 This includes both records creation and received
by the organization such as correspondence and
memos.
 It involves deciding which documents are
captured, which in turn implies decisions about
who may have access to those documents and
generally how long they are to be retained.
 Systems that capture records also need to
capture metadata associated with a record in
a way that:
 describes the record both for what it contains and
the context of the business taking place,
 enables that record to be a fixed representation of
action, and
 enables the record to be retrieve and rendered
meaningful
 Its purpose is to provide evidence that a
record has been created or captured in a
records system.
 It involves recording brief descriptive
information about the record in a register,
and assigning the record a unique identifier.
 Registration specifies the following metadata as a minimum.
 a unique identifier assigned from the system such as:
▪ document name or title,
▪ text description or abstract,
▪ date of creation,
▪ date and time of communication and receipt,
▪ author (with his/her affiliation),
▪ sender (with his/her affiliation),
▪ recipient (with his/her affiliation),
▪ classification according to the classification scheme,
▪ business system from which the records was captured,
▪ application software and version under which the record was created or in which it was
captured,
▪ details of embedded document links, including applications software and version under
which the linked record was created,
▪ templates required to interpret document structure,
▪ access,
▪ retention period, and other structural and contextual information useful for management
purposes.
 the date and time of registration
 a title or abbreviated description;
 the author (person or corporate body), sender or
recipient.
 related to business functions may provide a
systematic framework for records
management.
 Analysis for the purpose of developing the
business activity classification identifies all of
an organization’s activities and locates them
in the framework of its stated or mandated
mission or purposes.
 Classification system provide an organization
with a tool to :
 organize, describe and link its records
 link and share interdisciplinary records, either
internally or externally to the organization
 provide improved access, retrieval and
dissemination of its records as appropriate.
 The structure of a classification system is usually
hierarchical and reflects the analytical process as
follows.
 The first level usually reflects the business function
 The second level is based on the activities constituting
the function
 The third and subsequent levels are further
refinements of the activities or groups of transactions
that take place within each activity.
 The example of hierarchy for personnel might be set out as follows.
 1.0 Managing Human Resources
i. Determining Allowances
ii. Establishing Conditions of Employment
▪ Appointments
▪ Apprenticeship
▪ Childcare
▪ Flexible work arrangements
iii. Calculating Leave
▪ Accrual
▪ Entitlements
▪ Holidays
iv. Recruiting Employees
v. Determining Salaries
▪ Deductions
▪ Overtime
▪ Remuneration
▪ Superannuation
 Indexing.

 Indexing name for filing purposes

▪ Select the filing segment
▪ Determine the order of filing units
▪ Divide the filing segment into filing units
 Indexing Rules for Business Names
▪ Rule 1:Order of filing units
▪ Index business names as they are written using letterheads or
trademarks as guides. Each word in a business name is a separate
filing unit. If business names contain a personal name, index the
name in the order it is written.

Name Key Unit Unit 2 Unit 3

Dr Nabila Dr Nabila Clinic

Clinic
▪ Rule 2: Minor words and Symbols in Business Names
▪ Articles, prepositions, conjunctions and symbols in business names are
separate filing units. Index all words in the name in the order they are
written except for the word The. When the word The is the first word in a
filing segment, consider it as the last filing unit. Symbols (&, #, $ etc.) are
separate indexing also. Spell them out in full when indexing manually.
(AND, CENT, NUMBERS, DOLLAR, RINGGIT etc).

Name Key Unit Unit 2 Unit 3 Unit 4

AZFAR & AZFAR AND IKMAL CORP

IKMAL
CORP.
THE MARION PRINTING CO THE
MARION
PRINTING
CO.
▪ Rule 3: Punctuation and Possessives
▪ Disregard all punctuation when indexing personal and business
names. Commas, periods, hyphens, apostrophes, exclamation
points, question marks, slash marks – all of these are ignored.
Close-up the letters or words and index name as one unit. Same
goes with electronic records system where the computer sorts
punctuations marks before letters. Therefore, omit all
punctuation marks.
Name Key Unit Unit 2 Unit 3

FATIM’S FATIMS BAKERY

BAKERY
SPK-SENTOSA SPKSENTOSA SDN BHD
SDN BHD
 Rule 4: Single Letters and Abbreviations
▪ When single letters are part of a business or an
organization name, index the letter as they are written.
If a space separates the letters, each letter is a separate
unit: letters written with out spaces are one unit.
Name Key Unit Unit 2 Unit 3 Unit 4
K B SDN BHD K B SDN BHD
KB KB ASSOCIATES INC
ASSOCIATES,
INC
K-B KB ASSOCIATES INCOME TAX
ASSOCIATES
INCOME TAX
▪ Rule 5: Title and Suffixes
▪ All title in business names is indexed as written.
Name Key Unit Unit 2 Unit 3

DR. ILHAN’S DR ILHANS PHARMACY

PHARMACY
▪ Rule 6: Prefixes – Articles and Particles
▪ Combine an article or particle in a personal or business name with the part of the name
following it to form one filing unit. The indexing order is not affected by spaces or punctuation
between a prefix and the rest of the name. Disregard the spaces and punctuation when
indexing names containing articles and particles.
▪ Examples of articles and particles are these: a, A’, Al’, la, D’, Da, De, Del, De la, Della,Den, Des,
Di, Dos, Du, El, Fitz, Il, L’, La, Las, Le, Les, Lo, Los, M’, Mac, Mc, O’, Per, Saint, Sainz, San, Santa,
Santo, St., Ste.,Te,Ten,Ter, Van, Van de, Von, Von der.

Name Key Unit Unit 2

AL’YAFIE ALYAFIE RESTAURANT

RESTAURANT
D’ FAZLEY CO. DFAZLEY CO

ST JOHN HOSPITAL. STJOHN HOSPITAL

▪ Rule 7: Numbers in Business Names
▪ Arrange alphabetically any numbers spelled out in business name. Arrange numbers (3,4,5) in
business names in ascending order before all alphabetic letters or words.
 For example, the name 7 eleven food store come before the name Ali Restaurant.

▪ When numbers appear in other than the key unit in a name (Pier36), arrange the name alphabetically
but immediately before a similar name without a number.
 For example, the name B4 Photographers comes before the name Baba Bookstore.

▪ Ignore the letter endings when arranging digit numbers that contain st, rd, nd, and th (21st, 2nd, 4th).
Consider only the digits (21, 2, 4). Be sure to place in ascending order (2, 4, 21).

▪ All Arabic numerals (2,3,4) come before all Roman numerals (I, II, III). Star 4 Productions is followed
by the name Star III and Star Cinema Supplies Corp. However, for electronic records system, key in
Roman numerals as Arabic numerals (2, 3, 5 etc). The computer reads Roman numerals as capital
letters.

▪ For electronic records system, insert leading zero before Arabic numbers of unequal length that will
be sorted. A leading zero is one that is added to the front of numbers so that all numbers align on the
right and are the same length. If the longest number in the field that will be sorted has three digits,
then zeros are added to the left of smaller number so that all numbers have three digits (007, 011,
034, 789).
▪ Rule 8: Organizations and Institutions
▪ Index and file all organizations and institutions according to the
names written on their letterhead. ‘The’ used as the first word in a
name is considered the last filing units. Organizations and
institutions include banks, financial institutions, clubs, colleges,
hospitals, hotels, motels, museums, religious institutions, schools,
universities etc.
Name Key Unit Unit 2 Unit 3 Unit 4
BANK OF BANK OF COMMERCE
COMMERCE

NATIONAL NATIONAL ARCHIVE OF MALAYSIA

ARCHIVES OF
MALAYSIA
UNIVERSITI UNIVERSITI TEKNOLOGI MARA
TEKNOLOGI
MARA
▪ Rule 9: Identical names
▪ When personal names and names of businesses, institutions and
organizations are identical, addresses determine the correct filing
order. Although not considered to be indexing units, addresses are a
secondary means of distinguishing between identical names.
Compare addresses in this order.
 City names
 State or province names
 Street names
 House or building numbers when the city, state and street names
are identical
 House number or building number written as figures in ascending
numeric order before alphabetic building name.
 When a street address and a building name are both included in
an address, use the street address and disregard the building
name.
 Postcodes are not considered in determining filing order.
Business Key Unit CITY STATE STREET
Name

MAXIS
9. JLN U2/2, 9 JLN U2/2
TMN TTDI MAXIS SHAH SELANGOR TAMAN
JAYA, SHAH ALAM TTDI JAYA
ALAM,
SELANGOR.

MAXIS
32, SS19/2B,
47600, MAXIS SUBANG SELANGOR 32 SS19/2B
SUBANG JAYA
JAYA,
SELANGOR