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Managing Current Record
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3.0 Introduction
Current record mgt include the mail
and file mgt.
The activities of mail mgt & file mgt
are carried out in the registry of an
agency.
Continued on next slide
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3.1 Registry
Unit within an org.
Basically responsible for managing
the record of the particular
organization
Its exact function may keep on
changing with the times
Basically, a registry ensures that
there is a good flow of recorded info
in organization
Continued from previous slide Continued on next slide
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3.1.1 Functions of Registry
To house the entire series of records kept
in a particular dept. and to have intellectual
control over the record
Dispatching and receiving all letters. It
registers all letters received from internal
and external. Incoming letters are stamped
‘received’ on particular date. Date of
receipt and the name of the sender is
entered into a register
Continued from previous slide
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Monitor the movement of records or file. This
ensures all file movement is properly recorded
and returns it to the registry at the right
time.
To ensure the action to be taken on a file is
brought to the attention of the staff concerned
A registry keep track with record life cycle:
Physically segregate (separate/isolate) the file
according to the record life cycle
Prepare an updated list of files to be destroyed
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3.1.2 Centralized vs. Decentralized
Registry
Centralized
The control comes from one location
(e.g. Main registry) to control the
following components:
The records system
The records staff
The allocated space for the registries
The records equipment and supplies
(Will govern the classification, use, care, custody
& disposition of the work)
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The advantages of centralized
registry
There is intellectual control over the
records created because of uniform
policy direction, centralized mail
operations, centralized messenger
services, uniform classification scheme,
uniform procedural practices, uniform
file operations, uniform scheduling and
disposal standards and practice
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Continue
Control over records creation with a file
design (no duplication)
Standard procedures on record mgt. will
be in place
Keeping of records can evolve into a
specialized activity. It is easier to
justify staff training for those in charge of
a central registry
Saving in terms of manpower and
equipment
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Confidentially of info. is more easily
safeguarded
Info. hogging (monopoly) will be
difficult
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Decentralized Registry
There are various units or divisions within
a dept. (normally a large dept.) that have
their own small registry units.
Various registries will have their own
records systems, records staff, allocated
space for the registries & records
equipment & supplies.
The classification scheme, use, care,
custody, and final disposition varies in
practice.
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Advantages of Decentralized
Registry
Easy access to info.
Faster retrieval & speedier decision
making
Saving in cost labor and expensive
equipment
Continued on next slide
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3.2 Component of Registry
Registry
Registry
Mail Room File Room
(Mail management)
(File Management.)
Continued from previous slide Continued on next slide
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3.2.1 Mail Management
The receiving, sorting, opening, routing,
controlling, and distribution of the
incoming mail
The collecting, sorting and distributing of
paperwork coming from within the building or
area serviced by the mailroom
The collecting, preparing, sorting,
controlling and dispatching (sent out) of
outgoing mail
Continued from previous slide
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Mail management objective
To provide rapid handling and accurate
delivery of mail throughout the agency at
a minimum cost.
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Mail Room
A space or room in an agency allocated for
mail mgt.
Provides a vital service to the dept./agency
The flow of mail, documents, files and other
paperwork in 3 channels must be maintained:
from the outside to offices within the
dept./agency
from office to office within the building or area
being serviced
from office within the dept. or agency to outside
individuals or organizations.
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Space and Layout
Refers to the physical arrangement of all
mail rooms and their facilities of furniture
and equipment
Space required for storage and
movement of mail within the mail room
Space for the servicing and
maintenance of the facilities
Flow of incoming mail must be arranged
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Basic considerations for layout of
mail rooms:
Reduction in the distances required for the
movement of mail and the motions of personnel
processing it
The rate at which work flows through the unit
The use of all space as effectively as possible in
both horizontal and vertical directions
Flexibility so that rearrangements can be readily
introduced to meet changing demands
Convenience for servicing and maintenance
Adequate security
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Operating The Mail Room
Planning
Conduct survey to determine volume of mail
Organizing
Allocating of duties & responsibilities
Coordinating
Coordinate activities of more than one registry
with the mail room services and operations
Budgeting
Budget forecast (postage, replacement need,
procurement of equipment)
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Document Processing in the Mail
Room
Types of Document
Correspondence received (inward
correspondence)
Correspondence dispatched (outward
correspondence)
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These will include:
Mail that may be received or dispatched
through the postal service
through the government’s internal mail
system
through private courier service
by hand
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Other forms of communication, such
as:
Telegrams and telex
Facsimile transmission (fax)
E-mail and internet
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Dept. will have to handle internally
generated and circulated material,
such as:
Reports
Directives
Forms
Memoranda & other internal minutes
Committee minutes and papers
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Correspondence, usually in sequential
(chronological) order:
Receiving & opening of inward
correspondence
Sorting correspondence that requires special
handling
Registering inward correspondence
Associating the correspondence for
information or reply
Preparing the reply
Dispatching outward correspondence
Filing inward (original) and outward (copy)
correspondence
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Receipt of Inward Correspondence
Procedures processing inward
correspondence:
Opening or receipt by a designated officer
Stamping with the date of receipt
Assigning a serial number in a running
sequence (eg.102/2/2011)
Identifying and appropriately managing security
classified and other confidential
correspondence
Attaching other enclosures to the covering
correspondence
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Registration of Inward
Correspondence
A register- is a document, usually a
volume, in which regular entry of data
is made
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In-registers
Traditional systems of document
registration involve the entry into an
inward correspondence registry
Such the register take the form of ledgers,
either bound or in loose-leaf format
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Initial info. entered by hand into the
register:
The serial number of correspondence
Date of the correspondence
The date of receipt
Security classification
Name & agency of the sender
Reference quoted by the sender
Subject of the correspondence
Number and nature of any enclosures
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Circulation of Correspondence
New correspondence should be place
directly on the appropriate file
Circulation may be done ‘top-down’ or
‘bottom-up’
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Preparing Outward Correspondence
Gain approval at appropriate level,
draft of outward correspondence:
Standing instructions:
Text sent for typing should be clearly
written
Info. provided should include:
Name & address of the intended recipient
Any security or private marking. (e.g. Private,
Confidential)
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The agency’s and addressee’s file references
The name of the intended signatory
The number of copies required
Computer operator or typist should use
agency letterhead paper for the top
copy of outward correspondence and
should follow standard rules of style,
layout and dating
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After a letter has been checked and
signed, all the copies should be sent
to the registry together with the inward
correspondence, internal minutes,
drafts and the relevant files
A record copy of every internally
generated documents should be sent
for filing
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Register of Outward Correspondence
The registry staff should register details of
outward correspondence other internally
generated documents.
The info recorded about the outward
correspondent will include:
Date of correspondence
Date of dispatch
Any security classification
Name and institution or agency of the addressee
The main file reference
Reference of other files on which copies have been placed
Subject of the correspondence, if required
Number and nature of any enclosures
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Subject Classification
Subject File Classification
Is a collection of papers on a specific subject
or its specific sub-subjects collated and placed
within a single file cover container.
Classification records is the act of determining
the subject/s under which the records are to be
named, numbered, cross-reference and filed.
(this will be the key to the retrieval of info from
the files/records)
Subject classification will identify group, codify
or standardized the files/records into fields,
group, types, categories, locations, org or
things.
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On the other hand, index is a relative reference list
of key words or topics which will coordinate these
fields, groups, types, categories, locations, org or
things.
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Subject Classification Systems
Two categories of subject files:
Administrative files/records of an
internal housekeeping
Operational files/records created by a
department or agency in carrying out its
main functional role
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Characteristic of good classification
systems:
Simple as possible and easy to operate
Permit additions and deletions
Logically arranged by groups of related
subject
Effective
Be installed with a view of economy
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Benefit of A Good Subject File
Classification
An aid to service
An aid to research
An aid to documentation
An aid to preservation
An aid to disposal
An aid to economy
An aid to personnel
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Types of Subject Classification
Systems
There are three main systems used:
Alphabetical systems
Function and activity systems
Administration structure systems
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Coding Systems
File coding systems consist of numbers,
letters or combination of numbers and
letters used in designing and arranging
subject headings for storage and retrieval
of files/records.
Codes must be placed on:
File cover labels
Storage equipment labels
Records
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Coding system facilitated filing, retrieval
and re-filing of records when used together
with subject file classification.
Coding system used with subject filing are:
Alphabetic
Alphanumeric
Block-numeric
Decimal-numeric
Duplex-numeric
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Alphabetic
An alphabetic subject file system is
arranged in straight alphabetic order by
subjects.
Example:
ACC - ACCOUNTING
ACCPYB - ACCOUNT PAYABLE
BDG - BUILDING
HR - HUMAN RESOURCE
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Alphanumeric
An alphanumeric coding system consist of
combination of letters and numbers.
Example:
HR HUMAN RESOURCE DEPARTMENT
HR-01 RECRUITMENT
HR-01-00 POLICY
HR-01-01 GENERAL
HR-01-02 CHIEF EXECUTIVE OFFICER
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Block-Numeric
A block numeric coding system consist of blocks of
primary numbers that are allocated for each group
of major function carried out by the organization.
Example:
Main Group Heading Block Numbers
ADMINISTRATION 100-199
BUILDING 200-299
BUDGET 300-399
HUMAN RESOURCE 400-499
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Decimal-Numeric
The decimal-numeric coding system consists of
the number of the first subdivision followed by
a decimal. Which is followed by one or more
digits.
Example:
300 BUDGET
301 ANNUAL ALLOCATION
301.1 MANAGEMENT ALLOCATION
301.1.0 TREASURY PROCEDURES
301.1.1 PAY AND ALLOWANCES
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Duplex-Numeric
Usually is a combination of numbers and hyphens.
Letters may use also.
Example:
2 PUBLIC RELATION DEPARTMENT
2-1 ADVERTISING
2-1-0 POLICY
2-1-1 GENERAL
2-1-2 NEWSPAPER
2-1-3 TELEVISION
2-1-3-1 RTM
2-1-3-2 TV3
2-1-3-3 ASTRO
2-1-3-4 NTV7
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3.2.2 File Management
File Room Operations
The functions of the file room are:
Filing the records (papers and files)
Verifying the records to be filed and maintaining an
accuracy control
Issuing the records in the form of files
Controlling the location of the issued files
Operating a “Keep In View” (KIV) system
Maintaining the record physically. i.e. the files and the
file containers
FINDING the records on demand
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The File Room Aspect
Should be kept with a clean, neat and orderly
appearance
All flat surfaces should be kept clean and clear
of material except while an operation is being
performed
The file cabinets or the modular shelf filing must
be maintained with orderliness. Avoid
crowded of file cabinet rows, drawers or shelf
bays.
Charge-out and other control guides must be
properly maintained because they act as
location file number guide within the particular unit
of the file containers.
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File Format
A file is a folder that keeps enclosure together in
some order or another. Papers are normally held
together by a treasury tag.
The physical paper file has 3 components:
A cover to protect the contents and to act as a title page
The contents (inward correspondence, internally generated
documents and copies of outward correspondence)
Some method of securing the contents together (security tag).
The file format must reflect the importance of 3 stages of
record management:
File creation
File use and maintenance
File disposition
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Filing the Records
Records to be filed
Inward correspondence in all its forms
Internal minutes relating to the
correspondence
Copies of outward correspondence
Internally generated administrative,
financial, legal and operational
documents or loose papers
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Records not to be filed
Any forms of rough draft
Copies of correspondence and internal
documents
Ephemera, such as supplier’s
catalogue, press cutting, invitations to
social events circulated for information
only
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Opening New Files
A new file should be open when:
A new subject arises within the
administrative process
Relevant documents need to be filed
An existing subject subdivides into new
discrete subject
New subject needs new files or subfile
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Rules for new file
Each file must relate to a single subject
or transaction
Each file should have a title that
describes its content precisely,
concisely and uniquely
Each file should be classified and coded
within the registry’s classification
scheme
Each file should be documented
Each file location must be recorded in
the files control tools or documentation
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Files can be subdivided into:
Parts of files
A part is one of a number of physical units into which a
file has been subdivided chronologically as it has
increased in size.
Subfiles
A separate file dealing with a distinct aspect of the
subject of a more general file.
Continuation files
A new file opened when the old file on the subject has
reached its cut-off date within the file cycle.
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Giving Files Title
File title should be clear and precise
providing adequate details about the
file’s actual and likely contents.
The files titles consist of a number of
terms to describe the specific
subjects of the file in its functional
context
The terms used are known as keyword
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Filing Process
Sorted by file number into 2 group
Process received paper everyday for filing
Ensure the attachment remain with the covering
The paper will now be ready for sorting
Paper be clean, pre-drilled and in classification order
Filed the paper in chronological order
Numbered the paper to guarantee maintenance
List the detail of paper in blue and red on the minute sheet
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Closing Files
Files should not be allowed to become
thick or be kept in use for too long
because:
They are difficult to handle
Their contents can be at risk of damage
Liable to contain papers no longer required
for the daily conduct of business
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The closure of files should be formally
documented to ensure no additional
info is added or changes made.
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A size of 1 inch is reasonable limit for
treasury tag files (regulation by the National
Archives of Malaysia-for gvt depts filing
systems.
The word ‘CLOSED’ should be written or
stamped diagonally in bold letters across the
front cover
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File Operating Pointers
File Operations
Do each day’s filing of the files and papers
Check the filed record against the contents of
the files, and file number to prevent misfiling
Adhere to a strict chronological sequence-do
not staple together and file together incoming and
outgoing correspondence
Do not separate attachments from their covers
letter/documents-file all this together under the
date of the covering papers
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Do each day’s KIV’s on the day prior to the due
date
Do not overload the file cover
Create new volumes for files immediately as
required
The first step in training a new employee to be
teach to sort document and correspondence
Never allow an untrained file clerk to insert
into the files unless supervised closely during the
training period
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File Containers
Do not allow too much space for expansion in
cabinets or shelves
Do not allow cabinet or shelves to become
overcrowded
Provide sufficient file guides
Label the file cabinets and drawers, and the file
shelves and bays
Label each row of cabinets and drawers, and the
file shelves and bays
Label each row of cabinets and shelving
Keep the transfer of inactive files up-to-date
Maintain a follow-up of outstanding charged out files
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