CHAPTER 4:

MANAGING BUSINESS RECORDS IN A MIXED PAPER

AND ELECTRONICS ENVIRONMENT

4.1 Records Management Processes

Introduction
 According ISO15489, the process of
managing records systematically include
4.1.1 Capture
4.1.2 Registration
4.1.3 Classification
4.1.4 Access and security classification
4.1.5 Identification of disposition status
4.1.6 Storage
4.1.7 Use and tracking
4.1.8 Implementation of disposition
 4.1 Capture
 The process of determining that a record should be
made and kept.

 This includes both records creation and received by

the organization such as correspondence and
memos.

 It involves deciding which documents are captured,

which in turn implies decisions about who may have
access to those documents and generally how long
they are to be retained.
CONTOH BILIK REGISTRI

4
 Decision about which documents should be captured and which are not
needed are based on an analysis of the organizations’ business and
accountability.
 In paper records system, capture can be affected by:
▪ Physically placing a document into a chronological sequence within
a file or folder that contain a title.
▪ Papers added progressively to file maybe dated or numbered
sequentially to provide additional security in defining the series of
action.
▪ Additional indexing points maybe added subsequently to the file to
ensure that the specific document can be located and retrieved.
CONTOH MEMINITKAN SURAT DALAM FAIL
1
Kertas Minit No. ANM.600-23/2/5 Helaian No.

Surat kpd. Jab. Penjara Malaysia bth. 11/11/2011 d/h

1
pd. 12/11/2011.

2
Surat dpd. Jab. Kebajikan Masyarakat bth. 14/11/2011
d/k pd. 15/11/2011

PNMB., K.L (Kertas Minit ini dalam ukuran Metrik ISO A4 = 210mm x 297 mm)
 Electronic records systems capture documents in a more
deliberate process.

 Systems that capture records also need to capture metadata

associated with a record in a way that:
 describes the record both for what it contains and the
context of the business taking place,
 enables that record to be a fixed representation of action,
 enables the record to be retrieve and rendered meaningful
Source:
https://image.slidesharecdn.com/information-life-cycle-1219392707829666-9/95/information-
management-life-cycle-15-728.jpg?cb=1228699068
 4.2 Registration

 Its purpose is to provide evidence that a

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

 Related to business functions may provide a

systematic framework for records
management.
 Analysis for the purpose of developing the
business activity classification identifies all of
an organization’s activities and locates them
in the framework of its stated or mandated
mission or purposes.
 Classification system provide an organization
with a tool to :
 organize, describe and link its records
 link and share interdisciplinary records, either
internally or externally to the organization
 provide improved access, retrieval and
dissemination of its records as appropriate.
 The structure of a classification system is
usually hierarchical and reflects the analytical
process as follows.
 The first level usually reflects the business function
 The second level is based on the activities
constituting the function
 The third and subsequent levels are further
refinements of the activities or groups of
transactions that take place within each activity.
 Classification scheme
Peringkat 1: Fungsi Umum

Peringkat 2: Sub-Fungsi Umum

Peringkat 3: Aktiviti Khusus

Peringkat 4: Transaksi Khusus

 How to classified?BEROPERASI?
FUNGSI SUB-FUNGSI AKTIVITI TRANSAKSI

Pentadbiran Jawatankuasa J/Kuasa Dalam J/Kuasa

Jabatan Kebersihan

J/Kuasa Kualiti
J/Kuasa Luar
Jabatan J/Kuasa Hari
Perpaduan

J/Kuasa Hari
Kebangsaan
 Finance (400) (400)
1. Akaun 11. Hasil
2. Audit 12. Kumpulan Wang
3. Bank 13. Penyata
4. Bayaran 14. Pinjaman
5. Belanjawan / Bajet
6. Cagaran & Wang 15. Perolehan
Jaminan 16. Tanggungan/Hutang
7. Cek 17. Wang Pendahuluan
8. Cukai 18. Yuran
9. Elaun 19. E-Perolehan
10. Penurunan Kuasa 20. E-SPKB
 Example (400)
400 Kewangan
400-9 Elaun
400-9/1 Elaun Perjalanan
400-9/1/1 Elaun Perjalanan Dalam Negeri
400-1/1/2 Elaun Perjalanan Luar Negeri

400-9/2 Elaun Pakaian

400-10 Penurunan Kuasa

 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