uitm imr504

1. IMR504- Week 2
Classification

2. Definition:
Is a process of putting things – records of a similar or
category – together. Then, a classification is a group of
records related by common characteristics
Robek, Brown & Stephens
Penyusunan maklumat ke dalam kumpulan-kumpulan
yang seakan-akan sama maksudnya, di mana tiap-tiap
kumpulan dikenali dengan identitinya yang tersendiri
Arkib Negara Malaysia, 2003

3. - often considered when present system is
inefficient in filing or storing information
e.g. – excessive (extreme) misfiles
- variations in subjects – users request
the same file
- the main reason for classifying is the VOLUME of
records
- classification systems are part of records control

4. Objective of Classification
The primary reason for classification is to provide an
overall overview of how an organization’s information
resources fit together.
The system recognize difference in records, allows for
growth & provide day-to-day guidance to users.
Terms familiar to the organization ought to be used.

5. The objectives of organizing a uniform files
classification systems are to provide:
1.a listing or data bank of all created
information
2.a critical path/trail for locating information
for retrieval, maintenance, retention, and
disposition

6. 3. uniformity of efficient files usages by users who
transferred from one department to another
4. a method of flagging one records series for retention
that the same time permits duplicates copies to be
flagged for destruction
5. a listing of information by type, which aids in the
development of records retention schedule, as well as
the identification of vital records
6. continuity because only trained records personnel
modify the file plan

7. This is why organizations used the uniform
classification system in filing & storing information
that make sense to the users
(Uniform Classification System: A classification
system that preserve the set order of records &
establishes common titles)

8. Basic Steps in Building a Uniform Files
Classification System
1. GATHER DATA
2. COMPILE & ANALYZE DATA
3. LIST PRIMARIES & SUBDIVISIONS
4. ADD DEFINITIONS, RESTRICTIONS, & INSTRUCTIONS
5. SELECT & ASSIGN FILES CODES
6. PREPARE ALPHABETICAL INDEX
7. PREPARE FINAL DRAFT

9. PRINCIPLES OF CLASSIFICATION
support business & organizational
requirements
easy to understand, use & maintain
precise
complete & comprehensive
back up by the procedures manual & training
materials
easily automated

10. Classification system must be:-
1.Suit the organization it serves
2.Enable reference number & codes to be assigned
to each item that requires classification
3.Fully documented so that the rules & vocabulary
used to classify records are consistent & precise
4.Up to date & flexible, to reflect changes in function
& activities

11. Determining Classes of Records
•Consideration must be given to determining classes
of records & selecting subject headings &
subdivisions of the system especially in planning a
uniform files classification system
•The subject heading must be concise, accurately
descriptive, technically correct & capable of only one
interpretation

12. Nevertheless we can see of the problems that
are greatly magnified when large subject
systems are used.
e.g. Is a health insurance policy filed under
Insurance or Health? or
Purchase for the repair of the home filed
under Home Maintenance or Purchases
and Warranties

13. It is advise that a subject must consists of a
noun where the noun must have a very broad
meaning, allowing intricate/ elaborate
breakdowns through subheadings.
Headings (file folder captions or titles, or file
manual outlines in a coded system) are
developed & outlining them in a hierarchical
fashion

14. Major Headings
•represent the main functional areas of the
organization the system serves
•describing the records series by the function they
perform is called functional filing
•the number of major grouping (functional areas) will
vary with size & complexity – as few as 5 primary
grouping & as many as 30 subdivision for each
functional area

15. Almost all organizations share the same function.
Some of these functions or subject areas are:
Administration
Finance and Accounting
Human Resources
Marketing
Operations
Purchasing
Other major areas can be added to the list depends
on the need & type of organization:
Legal
Management Information System etc
Functional
Area of
Organization
(Major Grouping)

16. Primary-Level Heading
• After the majors are established, each is
subdivided into the most important categories
within that major. These are called primaries
(primary-level headings)

17. • Secondary classifications are arranged within each
primary classification. The number of secondary
classifications will also depend on the size of the
organization and may vary from 5 – 30
• The tertiary classification can be determined; these
usually are fewer than secondary classifications
• If there are too many subdivisions, the
classification scheme is probably too detailed to be
practical

18. Administration - (Functional-Area Heading)
Administrative Services (Primary-Level Heading)
Consultants
Finance and Accounting (Functional-Area Heading)
Accounting (Primary-Level Heading)
Banking
Credit
Economics
Funding Investment
Human Resource (Functional-Area Heading)
Employees (Primary-Level Heading)
Job Descriptions
Training

19. Marketing (Functional-Area Heading)
Advertising (Primary-Level Heading)
Service Policies

20. Property (Functional-Area Heading)
Buildings (Primary-Level Heading)
Equipment
Land
Patents

21. Secondary Level Heading
• In turn, each primary can then subdivided
into secondary

22. Finance and Accounting } Functional Area
(Major)
Accounting } Primary-Level
Accounts Payable
Accounts Receivable
General Books
Income Accounts
Material Accounts
Personnel Accounting
Functional – Area Heading with Primary-Level and Secondary
Secondary

23. • Each secondary can then be subdivided into
tertiary or third, breaks (The subdivisions are also
referred as breaks)
• Ideally, a total file caption should not consists of
six breaks
• Most often, the name of the major is not placed
on the folder label, but instead is represented by
a color stripe, thus reducing the number of breaks
required

24. Finance and Accounting } Functional Areas/Major Areas
Accounting } Primary-Level Headings
Personnel Accounting } Secondary-Level
Payroll Deduction: EPF: 2007 } Tertiary Level
Finance and Accounting (M): Accounting (P)
Personnel Accounting (S): Payroll Deductions:
EPF: 2007 (T)
If a major Finance & Accounting was represented by a color code
or another code, the caption would appear as:
Accounting (P): Personnel Accounting (S)
Payroll Deductions: Social Security:
2007 (T)

25. Any category that matches major departmental
functions may be included. These categories may
not be familiar terms to some organization so more
appropriate term is chosen.
e.g. Operations can refer to patient care health
organization, to transportation for a railroad, or to
production for a manufacturing firm

26. Useful techniques to determine subject headings
include:
1. Looking at the subject heading at the beginning of
the document
2. Looking for references to past communication in
the document and
3. Consulting with the receiver of the document

27. Important!
•terms in classification must be brief & commonly used terms
•there is no punctuation except for colon that separate the
breaks
•there are no sentences & no unnecessary words
•caption contains enough information to identify the general
contents of the file & to distinguish it from other files in the
system
•(easy trick - first break: surname, second break: first name,
third break: middle name, and so on)
Colon – tanda bacaan ( : )

28. Implementing a Files Classification System
•can change rec. mgmt from reactive (unthinking) to
proactive (upbeat)
•reactive manager solve problems as they occur while
proactive manager anticipate problems & build systems
that lead organization desired goals
•one way to developed a system by reviewing the
records inventory (records series or department) &
retention schedule
•focus on the function of the organization & not the
originator of the records (some dept. may have the
same series)

29. • Regardless of location & duplication, the same record
series will be assigned the same classification
• In most organization, some records series such as
policies, procedures & regulations, and reference
materials may pertain to all primary classification
• In this case, it may be more efficient to set up standard
category that are repeated for each primary because their
location may always be the same so these records are
easy to find, and they are stored with other files they
pertain (associated) to
• In a uniform classification system, an alphanumeric code
is establish for each record series

30. Documenting a Files Classification System
•Headings are recorded in a listing or database which can
become an index as files classification system develops
•location of each file is listed in the index
•extensive cross-referencing may be necessary in order to
cover all the heading by which various users may request
a file
•A cross-reference is a notation (symbol) showing that
record may be filed elsewhere

31. • the notation may be made on the document being
filed, on a cross-reference form, or in the index
• a cross-index to the files classification system lists the
record series in alphabetical order, cross-referenced to
their alphanumeric codes
• when multiple names for the same records series were
eliminated from the classification system, these names
should be cross-referenced to assist users of the files
in recognizing currently-used titles
• The cross-indexed listing showing the coding under
which the records will be found is the first step in
developing the index & user’s manual to the filing
system

32. ANY QUESTIONS?