CHAPTER 3

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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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