CHAPTER 6

RECORDS DISPOSITION
AND DESTRUCTION
LEARNING OBJECTIVES

• APPRAISAL AND DISPOSITION OF RECORDS

• INTRODUCTION TO RETENTION PROGRAM
• MANAGING INACTIVE RECORDS
• RECORDS DESTRUCTION
LEARNING OBJECTIVE

• APPRAISAL AND DISPOSITION OF RECORDS

• APPRAISAL
• DISPOSITION
• OBJECTIVE OF APPRAISAL AND DISPOSITION
• RECORDS APPRAISAL PROCESS
• THE DEGREE OF APPRAISAL VALUE
• THE CRITERIA OF APPRAISAL VALUE DEGREES
LEARNING OBJECTIVES

• INTRODUCTION TO RETENTION PROGRAM

• RECORDS RETENTION PROGRAM
• RECORDS INVENTORY
• RECORDS RETENTION SCHEDULE
• RECORDS RETRIEVAL
• REQUISITION, CHARGE-OUT AND FOLLOW-UP PROCEDURES
LEARNING OBJECTIVES

• MANAGING INACTIVE RECORDS

• RECORDS CENTER AND ARCHIVAL REPOSITORY
• TYPES OF RECORDS CENTER
• THE FUNCTIONS OF RECORDS CENTER
• CHARACTERISTICS OF RECORDS CENTER
• MANAGEMENT OF RECORDS IN THE RECORDS CENTER
• DUTIES OF RECORDS CENTER STAFF
LEARNING OBJECTIVES

• MANAGING INACTIVE RECORDS

• RECORDS CENTER CONTROL PROCEDURES
• TRANSFER OF RECORDS TO THE RECORDS CENTER
• RETRIEVING RECORDS
• RECORDS TRANSFER
• TRANSFER METHOD
• RECORDS TRANSFER PROCEDURES
LEARNING OBJECTIVES

• RECORDS DESTRUCTION
• TYPES OF RECORDS DESTRUCTION
• THE NEED FOR RECORDS DESTRUCTION
• DESTRUCTION DATE FILE
• METHOD OF RECORDS DESTRUCTION
• DESTRUCTION FILE
• RECORDS DESTRUCTION PROCEDURES
THE LIFE-CYCLE OF RECORDS IN BUSINESS
ENVIRONMENT
CREATION
- Or receipt of record form
outside of business

DISPOSITION
DISTRIBUTION
-Transfer/Archive
- Who gets the records?
-Retain/Appraisal
- Internal/External User
-Destroy/Dispose

MAINTENANCE USE
-Store - Decision/Inquiries/ Reference
-Retrieve -Legal Requirement
-Protect
APPRAISAL AND DISPOSITION OF RECORDS
LEARNING OBJECTIVE

• APPRAISAL AND DISPOSITION OF RECORDS

• APPRAISAL
• DISPOSITION
• OBJECTIVE OF APPRAISAL AND DISPOSITION
• RECORDS APPRAISAL PROCESS
• THE DEGREE OF APPRAISAL VALUE
• THE CRITERIA OF APPRAISAL VALUE DEGREES
APPRAISAL

Appraisal - the process of determining the value of records

for further use, and the length of time that value will
continue.
Appraisal involves deciding which records are retained
permanently as archives, and destroyed once the
organization’s business and accountability requirements
have been met.
Effective appraisal in digital environment depends on good
systems of records creation and business classification of
records.
DISPOSITION

Disposition - the final destination of records after

they have reached the end of their retention period
in an active and/or inactive storage.
It is an action taken in due course as a
consequence of appraisal.
GUIDELINE FOR DISPOSAL FOR GOVERNMENT
AGENCY IN MALAYSIA

http://www.arkib.gov.my/web/guest/home

http://www.arkib.gov.my/documents/10157/ed21625c-4f50-4159-810f-8f349785d745
BAHAGIAN PELUPUSAN
REKOD UITM
BAHAGIAN PELUPUSAN
REKOD UITM
SCHEDULES

Disposal Schedule - the control document that contains appraisal

decisions and prescribes disposal action.

Retention and Disposition Schedule - a plan of action that indicates

the period of time you should retain your records.
OBJECTIVE OF
APPRAISAL & DISPOSITION

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.
The process should be through the systematic implementation of
decisions based upon assessment of continuing utility and
permanent value of records.
RECORDS APPRAISAL
PROCESS

Involves distinguishing records of continuing value from those of no

further value so that the latter may be eliminated.
The Archivist is responsible for ascertaining which records are to be
kept permanently after liaising with the appropriate business areas.
• Archival appraisal - perhaps the most important and certainly the
most final decision-making function that an archive service makes.
MAIN PROCESSES TO BE CONSIDERED IN
RECORDS APPRAISAL

Formation of Departmental Committee on Appraisal

Collecting Data and Information about the Records

1. FORMATION OF DEPARTMENTAL COMMITTEE
ON APPRAISAL

The head of the department of an organization must appoint

officers and staff who will be responsible for the preparation of the
records inventory and the records retention/disposal schedule.
A committee, comprising of:
Heads of all the divisions within the department
Legal and financial advisor
Records manager and archivist (if any)
2. COLLECTING DATA AND INFORMATION ABOUT
THE RECORDS

This is done by conducting records survey though physical survey,

information gathering, conducting interviews, or circulated
questionnaire.
 2. COLLECTING DATA AND INFORMATION ABOUT
THE RECORDS

• The Records Survey Will Enable Appraisal

Team To:
• Understand thoroughly the • Identify active, inactive and archival
functions of the agency. records.
• Identify the various types of records • Identify records management
created and used. legislation.
• Identify the volumes of records and • Locate the records and understand
their location. how they are used.
• Identify the frequency use of • Identify the value of records.
information. • Prepare records inventory.
• Identify the annual accrual of • Develop retention/disposal
records. schedules.
2. COLLECTING DATA AND INFORMATION ABOUT
THE RECORDS

In most organizations, the determination of which records are

considered to have archival value is made by archivists.
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.
THE DEGREE OF APPRAISAL VALUES

Generally, there are two degrees of appraisal values for

retaining records:
1. Primary Value
• Administrative value
• Fiscal value
• Legal value
2. Secondary Value
• Research value
• Historical/cultural/national value
1. PRIMARY VALUE

Primary Value - the value to the organization that created them for
administrative, legal and fiscal purposes.
Identifying records of ongoing business value will:
Assist efficient and effective administration.
Enable decision making and policy development based on current
information.
Allow organizations to be accountable in terms of the management
of resources & legal and financial scrutiny (careful examination)
THE CRITERIA OF APPRAISAL VALUE DEGREES

Based on the appraisal value degrees of records that are primary

value records, the Appraisal Committee will appraise the records
according to the criteria:
1. Administrative Value
2. Fiscal Value
3. Legal Value
 ADMINISTRATIVE VALUE

 Records that are required to assist a department/organization in carrying

out its current task & comprises of papers relating to the:

Establishment of the department/ Guides and manual issues by the

organization headquarters
organization of the organization Changes in policies
Staff Implementation of policies &
Acts procedures changes in
Policies organizational
Office instructions structures/ programs/
functions/activities
FISCAL VALUE

 Records with fiscal/financial value are those records relating to the:

Financial Transactions (Annual Cheques

Budget Allocation &Estimates) Cash Books
Policies And Procedures Others That Require Auditing
Claims Must Comply With The
Vouchers Treasury Instructions.
 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 such as:
Agreements Contracts and establishment of laws
Individual Rights to the ownership relating to the activities of the
of Property department/organization.
Land Grants Records on contract matters are
kept for a certain period of time &
Title Deeds destroyed after all action pending
have been completed.
2. SECONDARY VALUE

Secondary Value - the additional “historical” value to the

organization and wider society.
This can include “evidential” value derived from the way the record
documented the history, structure and functions of an organization,
an “informational” value in providing research material on persons,
places and subjects.
These records tend to include high level policy or complex case
files.
THE CRITERIA OF
APPRAISAL VALUE DEGREES

Based on the appraisal value degrees of records that are secondary

value records, the Appraisal Committee will appraise the records
according to the criteria:
1. Research Value
2. Historical/ Cultural/ National Value of Records
RESEARCH VALUE

Records with research value - are records which contain important

information about a particular happening or event, important
personalities or objects such as historical buildings, landmarks and
places.
Documents with important data on various fields such as politics,
economy, social, science and technology, and others are valuable for
research because they also have informational and evidential values.
HISTORICAL/ CULTURAL/ NATIONAL VALUE OF
RECORDS

These are records with information on events with national or

international significant.
As the number of the “older” records which have research value are
limited and difficult to obtain, the National Archives Advisory Board
of Malaysia has fixed that all archival materials dated before 31st
December 1948 be kept permanently and only files in that period
that do not have any enclosures or minutes in them be destroyed.
EXAMPLES OF RECORDS RETAINED
PERMANENTLY
• Acts, ordinances, laws and legal opinions
• Policy records, circular letters and instructional, orders and guides
• Organizational charts, publications, guide books and notes on the
history, functions, organizations and activities of the
department/organization
• Annual and monthly reports, statistics on achievements of the
department/organization in the regional, national, and international
level
EXAMPLES OF RECORDS RETAINED
PERMANENTLY
• Press statements and publicity, photographs and official speeches
regarding changes in policy etc.
• Agenda and minutes of importance meetings
• Reports on special studies, operational inspection and management
system
• Records on parliamentary matters, minister’s speeches which affect
the activities of the department/ organization
EXAMPLES OF RECORDS RETAINED
PERMANENTLY
• Budget estimates and financial planning reports
• Records which documents the growth, control and evaluation of the
function of the department/ organization
• Maps, plan, architectural drawings, photographs with geographical
and scientific data and the cartographic records regarding a certain
place or location
• Charts or drawings of important buildings
• Audio visual records such as photographs, film, sound and video
recording regarding important event or subject which has research
value
INTRODUCTION TO RETENTION PROGRAM
LEARNING OBJECTIVES

• INTRODUCTION TO RETENTION PROGRAM

• RECORDS RETENTION PROGRAM
• RECORDS INVENTORY
• RECORDS RETENTION SCHEDULE
• RECORDS RETRIEVAL
• REQUISITION, CHARGE-OUT AND FOLLOW-UP PROCEDURES
RECORDS RETENTION PROGRAM

• 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.
• Retention is part of the disposition phase in the records life cycle.
• Maintenance phase determines where and in what condition and
environment documents are stored.
RECORDS INVENTORY

A Records Inventory - a detailed listing that includes the

types, location, dates, volumes, equipment, classification
systems and usage data of an organization’s records.
It usually involves a survey conducted by each department
in the organization.
RECORDS INVENTORY

A records inventory is a valuable tool for helping managers decide

which filing method (alphabetic, subject, numeric or geographic) to
use information obtained from a records survey and inventory.
After the records inventory is completed, the records manager
determines the value of each record and then determines how long
records are to be kept (retained).
Appropriate retention periods are determined and included in a
records retention schedule.
INFORMATION IN A RECORDS INVENTORY

Name and dates of record series.

Records location by department or office, then building, floor and
room, if necessary.
Equipment in which records are stored—cabinets, shelves or vaults.
Number of cabinets, shelves or other storage containers.
How often records are referenced—daily, weekly, monthly or
annually—and why.
INFORMATION IN A RECORDS INVENTORY

Records media—paper, microfilm, electronic or optical.

Records size--letter, legal, tab/check, other.
Records housing—folders, binders, disks, reels, etc.
Records value—vital, important, useful, nonessential.
Retention requirements.
RECORDS RETENTION SCHEDULE

A Records Retention Schedule - a comprehensive list of records,

indicating the length of time records are to be maintained.
 This survey information includes types of records (official, record
copy or non-record) and their media—paper, electronic or image.
OFFICIAL RECORD

An official record - a significant, vital, or important record of

continuing value to be protected, managed, and retained according
to established retention schedules.
The official record is often, but not necessarily, an original.
In law - an official record is legally recognized and judicially
enforceable quality of establishing some fact.
Another name for an official record is record copy.
RECORD COPY

Record Copy, or the official copy of a record that is retained for legal,
operational, or historical purposes, sometimes the original.
A document printed from an electronic file is often considered the
“official record” rather than the file stored on electronic media
because of its readability, durability and ease of use.
This printed document may be saved for two or three years,
depending on the content.
However, the electronic file must still be retained for a week or two.
NON-RECORD

A Non-record - an item not usually included within the scope of

official records (ex. convenience file, day file, reference materials
such as dictionaries and drafts).
Non-records are created, modified and destroyed without formal
RIM procedures and are not included in a retention program.
Non-records should not be retained past their usefulness.
NONRECORD

Electronic Mail (e-mail) messages sent and/or received within one

organization may be considered non-records even though these
messages are usually stored in the organization’s computer system
for some time.
E-mail messages sent to or received from external correspondents
may or may not be considered records.
NONRECORD

If an e-mail message contains information the recipient needs to

keep, a copy can be printed and the original message deleted from
the system.
The printed copy becomes the official record.
CONSIDERATIONS IN DEVELOPING A
RETENTION SCHEDULE

1. How long will the records be used?

2. In what forms should the records be kept?
3. How accessible should the records be?
4. When should the records be determined inactive?
5. Which records should be transferred offsite and when?
6. How will such records be accessed?
CONSIDERATIONS IN DEVELOPING A
RETENTION SCHEDULE

7. Will transferred records maintain their integrity and security?

8. What are the applicable federal, state and local laws?
9. What are the comparative costs for keeping the records or not
keeping the records?
10. When and how will the records be disposed of?
RECORDS RETRIEVAL

Retrieval is the process of locating and removing a record or file

from storage.
It is also the action of recovering information on a given subject
from stored data.
WAYS IN RETRIEVING A
RECORD/INFORMATION
Manually
Mechanically
Electronically
WAYS IN RETRIEVING A
RECORD/INFORMATION

Manually - a person goes to a storage container and removes by

hand a record wanted or makes a note of the information requested
from it.
Mechanically - 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).
WAYS IN RETRIEVING A
RECORD/INFORMATION

Electronically - a person uses some means, (ex. a computer, to

locate a record).
• The physical record may not need to be removed from storage.
• The requester is informed as to where it can be found, or the
information requested is shown to the requester in some way (on a
screen in a database or electronic mail file).
RETRIEVAL AND RE-STORAGE CYCLE

The same basic steps for retrieving are used for handling all manual
records.
Only the specific operating procedures differ.
 The crucial step, the point at which a problem is most likely to arise,
is in Step 1 with the words used to request a record.
RETRIEVAL PROCESS STEPS

Request for stored record or records series—requester or records

center personnel prepare requisition form.
 Check index for location of stored record(s).
 Search for record or records series.
 Retrieve (locate) record or records series.
 Remove record(s) from storage.
RETRIEVAL PROCESS STEPS

Charge out records(s) to requester. Insert OUT indicator in place of

record(s) removed from storage. Complete charge-out log.
 Send record(s) to requester.
 Follow-up borrowed record(s).
 Receive record(s) for re-storage.
 Store record(s) again. Remove OUT indicator. Update charge-out
log.
EFFECTIVE RECORDS CONTROL

1. Who took the records?

2. What records are out of storage?
3. When were the records taken?
4. Where will the records be refilled when they are brought back to
storage?
5. How long will the records be out of storage?
REQUISITION, CHARGE-OUT AND FOLLOW-UP
PROCEDURES

Effective records control includes following standard procedures for

requesting records, charging them out, and seeing that they are
returned.
These procedures are referred to as:
Requisition
Charge-out
Follow-up
These procedures may be completed manually or by using an
automated system.
REQUISITION PROCEDURES

Preparing a requisition is the first step in the retrieval process.

A request - an in-person, mail, telephone, fax, or e-mail inquiry for
information about or from records stored in a records center or an
archives.
A requisition - a written request for a record or information from a
record.
TYPES OF REQUISITION FORMS

1. Requisition Form
2. On Call (Wanted) Form
REQUISITION FORM

• 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?).
REQUISITION FORM

This form may be prepared in

duplicate: The original stays in
the folder from which the
document was retrieved to
serve as an OUT indicator.
The copy (usually placed in a
tickler file) serves as a reminder
to assure the record is returned
on time.
ON CALL (WANTED) FORM

Occasionally, another user will request a record that has already

been borrowed.
A requisition form replaced the record in the file and it identifies
who has the record and when it will be returned.
The filer should notify the second requester that the record is on
loan and state when it is scheduled for return to storage.
If the second request is urgent, the filer will notify the original
borrower that someone may be made orally, in writing on an on-call
form or a wanted form, or by fax or e-mail.
ON CALL (WANTED) FORM

An on-call form (wanted form) - a written request for a record that is
out of the file.
Similar to an OUT form.
Two copies of an on-call form are made—one copy goes to the
borrower; the other copy is attached to the original OUT indicator in
storage.
ON CALL (WANTED) FORM

When the borrowed record is returned to storage, it is charged out

to the second borrower by the standard method of charge-out or by
writing on the on-call form the date on which the record was
delivered to the second borrower. (Note the “Delivered Date”
column on the card in next Figure).
CONFIDENTIAL RECORDS REQUESTS

• All stored records are considered valuable or they would not be

stored
• Some are so valuable that they are stamped Confidential, Classified,
Secret, Vital or Personal
• Do not release these types of records from storage without proper
authorization following established procedures
CONFIDENTIAL RECORDS REQUESTS

• In an electronic system, access to confidential records is limited to

those users who know the password
• If a copy of a confidential record is sent electronically, it might be
encrypted (the words are scrambled into code using a software
program) to prevent encrypted unauthorized access
• When the requester receives the encrypted file, he or she must
unscramble the file to read it
CHARGE-OUT PROCEDURES

• 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.
• A record is charge-out to the borrower who is held responsible for returning it to
the storage by an agreed-upon date
• A standard procedure for charging out and following up records should be
observed in every instance, regardless of who removes material from storage
• Less than one minute is needed to note the name of a person borrowing the
record, but hours can be spent searching for lost or misplaced records
OUT INDICATOR

• 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
• An OUT form shows where to refile the record when it is returned
DISPOSING OF OUT INDICATOR

• When a borrowed records is returned to storage, the OUT form is

inserted while the record was gone must be removed immediately
• If the charge-out information was written on the OUT form itself, this
information is crossed out, and the form is stored for reuse
• In some offices, OUT forms are kept for tallying purposes, to see how
many records are being requested to determine the workload of
employees and to see which records are being used frequently and
which are not
FOLLOW-UP PROCEDURES

• Follow-up is a system for assuring the timely and proper return of

materials charged out of file
• The length of time records may be borrowed from storage depends
on:
• The type of business
• The number of requests received for the records
• The use of a copying machine
• The value of the records
FOLLOWING UP CONFIDENTIAL RECORDS

• The rule concerning confidential records is generally that the records

must be returned to storage each night
• A special reminder often is used to assure that these records are
returned
• This reminder may be a note prominently displayed, a special flag, or
some other type of signal
CHARGE-OUT LOG

• A charge-out log is a written or electronic form used for recording the following
information:
1. What record was taken (correspondence 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
MANAGING INACTIVE RECORDS
LEARNING OBJECTIVES

• MANAGING INACTIVE RECORDS

• RECORDS CENTER AND ARCHIVAL REPOSITORY
• TYPES OF RECORDS CENTER
• THE FUNCTIONS OF RECORDS CENTER
• CHARACTERISTICS OF RECORDS CENTER
• MANAGEMENT OF RECORDS IN THE RECORDS CENTER
• DUTIES OF RECORDS CENTER STAFF
LEARNING OBJECTIVES

• MANAGING INACTIVE RECORDS

• RECORDS CENTER CONTROL PROCEDURES
• TRANSFER OF RECORDS TO THE RECORDS CENTER
• RETRIEVING RECORDS
• RECORDS TRANSFER
• TRANSFER METHOD
• RECORDS TRANSFER PROCEDURES
RECORDS CENTER &
ARCHIVAL REPOSITORY

Records center - a building designed or

adapted for the low-cost storage,
maintenance and communication of
inactive records pending their ultimate
disposal.
It is an intermediate storage facility.
Records must be appraised before being
transferred to a records center.
WHAT IS RECORDS CENTRE AND
ARCHIVAL REPOSITORY

• The records centre supports the entire records management process from
records collection through records management to records disposition.
• Typically, a records centre is designed and configured by an organization’s
records management professionals and information technology (IT) staff
to support an organization’s file plan.
• Archival repository is a building in which records with archival value are
permanently preserved.
TYPES OF RECORDS CENTER

National Records Center

Departmental Records Center
Commercial Records Center
THE FUNCTIONS OF RECORD CENTER

Received and administer all records, in whatever format, that are

retired from current records systems.
Provide a reference service based upon the records.
Dispose of all records held in accordance with disposal schedules and
plans.
It is not just a storage facility but an information center for the
creating organizations.
Provide security measures for the records in the center.
CHARACTERISTICS OF
RECORDS CENTER
Security
Security and Access
Efficiency
Economy
SECURITY

To ensure security, a records center must be:

 Externally secure, as a place of custody of valuable materials.
 Environmentally secure, as a place where valuable documents and information
must be maintained in a usable state for long periods.
 Storage conditions and access controls in the records center should conform to
the requirements laid down in general regulations for secret or confidential
records.
 Special area to be set aside for classified records.
 A high level of security must be maintained in and around the records center at
all times.
SECURITY

The office areas must always be staffed during working hours.

The building must be guarded at night.
No person other than authorized members of the records administration may
be admitted to the storage area or to the working areas without the direct and
specific permission of the records administration.
Everyone in the records center should be identifiable.
The records center manager is responsible for controlling the keys to the
building.
All external doors must be kept locked (subject to safety regulations).
Records center must be included in the department’s disaster control program.
SECURITY AND ACCESS

 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.
 Records must be classified wherever possible, because obsolete classification or
restrictions prevent the full use of the information in records.
 Records may only be issued to, or by the direct authority of, the agency that
transferred them to the records center.
 Authorized person comes to the records center to consult records; they must do
under supervised conditions, and they must conform to the rules in force.
EFFICIENCY

 Every record held in the center should be retrievable. Procedures to

ensure this must be followed carefully.
 The administration of the records center should be of quality that
ensures that the records are protected from the hazards of being lost
or misplaced by mismanagement.
 All records in the center should follow a predetermined disposal
schedule.
ECONOMY

 The unit cost in the records center should be less than an active
office building.
 The records center should be less expensive building than an active
office site (as it is designed or adapted for its specific purpose).
 Records can be stored more densely in a records center than in an
office (This density can be quantified in terms of the ratio between
cubic meters of records stored per square meter of floor space).
ECONOMY

 Records centers are organized so as to be able to identify and

retrieve records efficiently (offices are generally organized in support
of active administrative services).
 Records in special format require special conditions for storage and
special techniques for retrieval (These can better provided by the
records center than in the office).
MANAGEMENT OF RECORDS IN THE RECORDS
CENTER

Involves the following:

 Preparing records for storage.
 Executing and maintaining control and retrieval system procedures (this
includes checking transfer files, filing lists in the appropriate places and
completing the accessioning procedure).
 Completing statistical information.
 Receiving and carrying out requests for information or records.
 Implementation of retention and disposal schedule.
DUTIES OF
RECORDS CENTER STAFF

The duties of records center staff include some of the following:

Liaising with creating organizations.
Receiving records from creating organizations.
Retrieving records on demand.
Retrieving records for transfer to the archives or for disposal.
Communication and technology management.
Administrative duties.
RECORDS CENTER
CONTROL PROCEDURES

Inactive Records Index

Charge-Out and Follow-Up File
INACTIVE RECORDS INDEX

A records center will maintain an index to assist filers in locating inactive

records.
An inactive records index -an index of all records in the inactive records storage
center.
Contains details about the inactive records; the dates the records were created,
a description of the records series, the department that own s the records, an
authorization for transfer to inactive storage, their location in the records storage
center, the retention period, and the disposition date.
This information can be manually or electronically maintained and is often a
continuation of the records transmittal form
INACTIVE RECORDS INDEX

The transmittal form contains all information needed for an inactive

records index.
A records center employee completes the location part of the form
by checking the available space in the center and assigning space for
the box(es).
A copy of the records transmittal form is affixed to the box
containing the records; and another copy of the transmittal form is
filed in the destruction date file.
CHARGE-OUT AND FOLLOW-UP FILE

As with active records, charge-out and follow-up procedures must be followed
for inactive and archive records.
When someone from the finance department requests accounts payable records
for July 1, 2017, through December 31, 2017, a requisition form is completed.
The filer scans the inactive records index, noting the location of the requested
box of records.
Then the filer physically goes to that location in the records center, finds the
correct box, and removes the correct record.
CHARGE-OUT AND
FOLLOW-UP FILE
One copy of the requisition form is used as an OUT indicator and is placed inside
the box.
Last, the requisition information is entered into the charge-out and follow-up
file.
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.
If a record is not returned by the date due, written reminders, telephone calls,
faxes, or e-mail messages are used to remind the borrower to return the
record(s) to the center.
TRANSFER OF RECORDS TO THE RECORDS
CENTER
The physical movement and transfer of records involve the following processes:
 Records center will send an appropriate number of empty boxes and supply of
transfer lists to the creating organizations.
 The office staff will complete the transfer lists that should contain the following
information:
Name and address of transferring organization.
Registry code number.
Consignment number.
TRANSFER OF RECORDS TO THE RECORDS
CENTER
A list of the records being transferred, with their reference numbers or codes,
titles or description, and covering dates to allow later retrieval of the record.
Location of the records in the records center, including box numbers, shelf action
and action category.
 The receipt of new consignments of records from organizations.
 The issue of records to organizations on request and the return of records from
them.
 The transfer of selected records to the Archives.
TRANSFER OF RECORDS TO THE RECORDS
CENTER
Records center staff place the boxes that make up the consignment in order, and
deal with them in sequence.
For each box they undertake the following steps:
Check the records.
Prepare the boxes.
Determine the action category.
Distribute the transfer list.
Label the boxes.
Store the records.
Update the location register.
TRANSFER OF RECORDS TO THE RECORDS
CENTER
Checking the Records
Distributing the Transfer Lists
Preparing the Boxes
Labeling the Box
Storing the Records
The Location Register
RETRIEVING RECORDS

Information and files held in the records center can be retrieved

easily and quickly.
Records center staff provide action officers in the creating
organization with advice and help on the use of the facilities and
ensure that there is controlled access to the records held for each
organization.
PROVIDING ACCESS TO RECORDS

Only the organization that created the records, or an organization

that is successor to it, may borrow a record from the records center.
The public can get access to the public records not at the records
center but at the National Archives of Malaysia when the records are
25 years old.
CONSULTING RECORDS IN THE RECORDS CENTER
REFERENCE ROOM
Authorized personnel may choose to consult records in the records center rather
than by asking for them to be issued out on loan.
External researchers may also consult records in the records center in the
records center if they have been specially authorized by the creating
organization to do this.
Records may only be seen in the reference room of the records center, under the
supervision of records center staff, and subject to appropriate regulations.
The regulations will include a statement of the opening hours and visitors must
give prior notice of their intention to come to the records room to consult the
records.
RECORDS TRANSFER

Records Transfer – the act of changing the physical custody

of records with or without change of legal title.
Active record
Inactive record
Archive record
RECORDS ACTIVITIES

• Active record – a record needed to perform current operations.

• It is subject to frequent use and is usually located near the user.
• An active record can be accessed manually or on-line via a computer.
• Active records are accessed three or more times a month. Such
records are stored in very accessible equipment in the active storage
area or on-line.
RECORDS TRANSFER

Inactive record – a record that does not have to be readily available

but which must be kept for legal, fiscal or historical purposes.
Inactive records are referred to less than fifteen times a year.
Inactive records are stored in a less expensive storage area.
RECORDS TRANSFER
Archive record – a record that has continuing or historical value to an
organization and is preserved permanently.
Archives can have many uses: to maintain public relations; to
prepare commemorative histories; to preserve corporate history; to
provide financial, legal, personnel, product or research information;
or to provide policy direction.
Archive records are stored in less expensive storage areas, often at
an off-site location.
TRANSFER METHODS

Perpetual Transfer Method

Periodic Transfer Method
PERPETUAL TRANSFER METHOD

Under the perpetual transfer method - records are continually

transferred from active storage to inactive storage areas whenever
the records are no longer needed for reference.
Examples of records that can be transferred by the perpetual
method include:

Student records after graduation

Legal cases that are settled
Research projects when results are finalized
Medical records of cases no longer needing attention
Prison and law-enforcement case records
Construction or architectural jobs that are completed.
PERIODIC TRANSFER METHOD

The periodic transfer method - a method of transferring active records at the

end of a stated period of time, usually one year, to inactive storage.
Records are removed from current files into inactive storage sites on a scheduled
basis.
Guides remain in the active storage containers.
New folders are made for records that are then allowed to accumulate in active
storage until the next transfer period.
RECORDS TRANSFER PROCEDURES

The records manager must ensure that adequate storage equipment is available
and at the correct location to receive transferred records before the actual
transfer begins.
Preparing records for transfer involves completing the necessary forms and
boxing the records for inactive or archive storage.
At the time records are transferred, the transferring department completes a
multicopy set of the records transfer form.
RECORDS TRANSFER PROCEDURES

The transferring department retains one copy while the box is in transit to
storage.
The original and two copies accompany the box to inactive storage where the
box is logged in and its location on the storage shelves is noted on all copies of
the transmittal form.
One copy of the form is returned to the sending department for reference when
a record from that box is required.
The copy that was first retained in the department is now destroyed.
RECORDS TRANSFER PROCEDURES

A records center 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.
RECORDS DESTRUCTION
LEARNING OBJECTIVES

• RECORDS DESTRUCTION
• TYPES OF RECORDS DESTRUCTION
• THE NEED FOR RECORDS DESTRUCTION
• DESTRUCTION DATE FILE
• METHOD OF RECORDS DESTRUCTION
• DESTRUCTION FILE
• RECORDS DESTRUCTION PROCEDURES
RECORDS DESTRUCTION

Records destruction - the final stage in records management

whereby records which are no longer worthwhile or needed in terms
of administration, research or law are sorted and disposed of in
accordance with the set procedures.
It is the disposal of records of no further value.
National Act 2003, stated that destruction means "the act of
destroying or eliminating any type of records by any means".
RECORDS DISPOSITION

Records disposition - the final destination of records after they have

reached the end of their retention period in active and/or inactive
storage.
The disposition of records will help to clear the redundant or backlog
files that contained in the organization, so the organization can make
an efficient decision making and ensure the retention of the
minimum volume of records consistent with effective and efficient
operations.
TYPES OF
RECORDS DESTRUCTION

The types of records destruction based on the National Archives of Malaysia

are:
Inactive records without any primary value for research, administration or law.
Damaged records which can no longer be used.
Records which have reached the expiry date for storage according to the
Departmental Records Disposal Schedule and General Records Disposal
Schedules as agreed upon between the National Archives and the
department/organization concerned.
Financial records such as accounts, receipts, ledgers, vouchers and journals in
accordance with Treasury Circular No 9/1986 (Amendment to Treasury
Instructions 150).
THE NEED FOR
RECORDS DESTRUCTION

A systematic method in managing records will assist the smooth administration

of an organization and minimize the operational cost.
Records destruction is essential to make the organization in a good shape.
Thus, it is needed to:

Overcome space problem in the office.

Save costs of equipment and space.
Save time and energy in records retrieval.
Create a systematic, effective and efficient records management system.
DESTRUCTION DATE FILE

A destruction date file - a tickler file containing copies of forms completed when
records are received in a records center.
Destruction dates are determined when a records retention schedule is created.
The destruction date is recorded on the records transmittal form (See Figure 6-
9).
Another copy of the transmittal form can be placed into the destruction date
file.
DESTRUCTION DATE FILE

Before the destruction date arrives, the records center will send a notice of the
pending records destruction to the department that owns the records.
A destruction notice is a notification (memo, listing, form, etc.) of the scheduled
destruction of records.
This notice reminds departmental employees that some of their records will
soon be destroyed.
The manager of the department that owns the records signs a records
destruction authorization form when the records are transferred to the records
center.
That authorization form is kept on file in the file records center.
DESTRUCTION DATE FILE

If the department manager determines that the inactive records continue to
have value, the destruction may be suspended.
A destruction suspension - 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.
Records for which destruction has been suspended are often referred to as
frozen records.
METHOD OF
RECORDS DESTRUCTION

Under Section 18 (i) of the Public Records Act 2005 (the Act) a public record or
local authority protected record cannot be destroyed without the authorization
of the Chief Archivist.
When public office and local authority organizations destroy information and
records, they must ensure they meet all of their responsibilities.
The organization shall specify the manner of destruction of such records when
documenting disposition and followed the approved destruction methods.
METHOD OF
RECORDS DESTRUCTION

Physical Record Electronic Record

Landfill (bury in an authorized land). Digital file shredding.

Incineration (burning). Degaussing (the process of demagnetizing

magnetic media to erase recorded data).

Shredding (soaked in a chemical solution to Physical destruction of storage media

soften the paper, then bailed). (pulverization, incineration or shredding).

Recycling (convert into reusable material). Reformatting (if it can be guaranteed that the
process cannot be reversed).
Pulping (shredded and mixed with water,
then bailed) Clear and overwriting.
DESTRUCTION FILE

Whether the records are destroyed by a service provider or by records center

employees, the actual destruction must be witnessed or proof provided by a
certificate of destruction.
A destruction file contains information on the actual destruction of inactive
records.
Usually, the type of destruction is determined at the time the records are
transferred to the records center.
This information is recorded on the forms in the destruction date file, which are
moved to the destruction file after the records are destroyed.
These forms are filed by department names and dates the destruction was
carried out
RECORDS
DESTRUCTION PROCEDURES

The procedures of destruction by National Archives Act 2003,

Malaysia are outlined as follows:

Destruction of Records with a Disposal Schedule

Destruction of Records without a Disposal Schedule
Destruction of Financial Records
DESTRUCTION OF RECORDS WITH A DISPOSAL
SCHEDULE

• Ensure that only records with a Disposal Schedule are destroyed after the
completion of its period for storage.
• Separate records to be destroyed from those that are still required for reference.
• Ensure that records to be destroyed have a number and subject/title as in the
Departmental Record Disposal Schedule, General Record Disposal Schedule or
Record Inventory forms.
• Inform the National Archives of the number and types of records destroyed in
terms of length/volume (pile measurement).
DESTRUCTION OF RECORDS
WITHOUT A DISPOSAL SCHEDULE

 List the inactive records or those no longer in use in the record transfer list as in
General Circular Letter No. 1/1997.
 Submit the transfer list to the National Archives for evaluation.
 Separate the records for destruction from those for storing as suggested by the
National Archives.
 Transfer the records for storage to the National Archives.
 Obtain approval for destruction from the National Archives for records to be
destroyed according to section 25 of the National Archives Act 2003.
 Inform the National Archives of the records destroyed in terms of their
length/volume (pile measurement) each time destruction of records is carried
out.
DESTRUCTION OF FINANCIAL RECORDS

 Apply for permission from the Accountant-General's Department and the

National Audit Department in accordance with Treasury Circular No 9/1986
(Amendment to Treasury Instructions 150).
 A copy of the application must be submitted to the Director-General of the
National Archives of Malaysia.
 Inform the National Archives of the records destroyed in terms of length/volume
(pile measurement) each time destruction of records is carried out.
END OF CHAPTER 6