CHAPTER 2 ASM501

RECORDS MANAGEMENT PRACTICE

TYPES OF DOCUMENTS IN ORGANIZATION

 What is information management and transmission, information, and knowledge?

 Types of correspondence
 Process of correspondence in sequential order
 Types of document to be registered and filed
 Types of circulated mails

Inward correspondence
 What is inward correspondence?
 Procedures in receiving inward correspondence
 What is register
 Types of information registered for inward correspondence
 Circulation of correspondence

Outward correspondence
 What is outward correspondence
 Preparing outward correspondence
 Types of information registered for outward correspondence

Information management and The organizing, maintaining, and accessing

transmission of records and to the communicating of
information both within and outside the
organization
Information Something that can lead to knowledge
regardless of the medium of its conveyance
to one or more persons
Document A medium through which information is
imprinted for conveyance to one or more
than one person

Document in organization
Inward correspondence: correspondence received include mail that may be received

Outward correspondence: correspondence dispatched include mail that may be

dispatched

Mail that are received or dispatched

1. Mail through the postal service
2. Mail through government’s internal mail system
3. Mail through private courier service
4. Mail by hand
Other form of communication received by:
1. Telegrams and telex
2. Facsimile transmission
3. Electronic mail & networked electronic information (via internet)

Correspondence should be subjected in sequential order

1. Receiving and opening of inward correspondence
2. Sorting correspondence that requires special handling
3. Registering inward correspondence
4. Associating inward correspondence with the relevant file
5. Circulating the correspondence for information or reply
6. Preparing the reply
7. Dispatching outward correspondence
8. Filing inward (original) and outward (copy) correspondence and other associated
documents

Internally generated document should be sent to the registry for registration and
filing
1. Reports
2. Directives
3. Forms
4. Memorandums
5. Committee minutes
6. Drafts

Types of circulated material

1. Reports
2. Directives
3. Forms
4. Memorandums
5. Internal minutes
6. Committee minutes and papers

Inward correspondence
After the mail has been opened and all enclosures accounted for, each letter or
memorandum must be registered by a designated officer in the inward correspondence
register

Procedures in processing inward correspondence

1. Opening receipt by a designated officer in the presence of another officer

2. Stamping with the date of receipt
3. Assigning a serial number in a running sequence for the month (100/2/2018) or
(4455/2018) as appropriate
4. Identifying and appropriately managing security classified and other confidential
correspondence
5. Attaching other enclosures to the covering correspondence
REGISTRATION OF INWARD CORRESPONDENCE

Register A document usually a volume in which regular

entry of data is made
In-register Traditional systems of document registration
involve the entry into an inward correspondence
registry

Take the form of ledgers either bound or in

loose-leaf format

INFORMATION ENTERED BY HAND INTO THE REGISTER

1. Serial numbers assigned in the correspondence
2. Date of the correspondence
3. Date of receipt
4. Security classification
5. Name and organization of the sender
6. Reference quoted by the sender
7. Subject of the correspondence
8. Number and nature of any enclosures

CIRCULATION OF CORRESPONDENCE

1. Must use appropriate file

2. If no files exist, create a new file cover
3. Circulation can be top-down or bottom-up

Top-down Manager decides what action should be

appropriate and assign the correspondence,
minutes accordingly, to a junior officer and
draft any reply for approval and signature

Bottom-up The correspondence is sent directly to the

appropriate action officer who minutes his or
her proposals and draft any reply, submit these
for approval at the appropriate senior level and
acts on receipt of that approval

OUTWARD CORRESPONDENCE
Mail sorted within a mail processing facility that is dispatched to another facility for additional
processing or delivery and well known as Originating mail
PROCEDURE TO PREPARE OUTWARD CORRESPONDENCE
1. After approval, drafts or outward correspondence and other internally generated document,
should be sent by the action officer for typing in accordance with standing instruction
2. Standing instructions should include the following points:
Texts sent for typing should be clearly written or carefully dictated, taking special care with
the spelling of paper names, technical terms and other unusual words.
3. Information provided to the computer operator or typists should include:
 Name and address of the intended recipient
 Any security or privacy markings
 Organization and address file references
 Name of the intended signatory
 Number of copies required
4. Computer operator or typist should use the organization letterhead paper for the top copy
of outward correspondence and should follow standard rules of style, layout and dating
5. After a typed 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
file
6. A record copy of every internally generated document should be sent for filing

REGISTER OF OUTWARD CORRESPONDENCE

1. Date of the correspondence
2. Date of dispatch
3. Security classification
4. Subject of the correspondence, if required
5. Number and nature of any enclosures
6. Name and institution or organization of the address
7. Main file reference
8. References of other files on which copies have been placed

PROCEDURES TO OPEN A NEW FILE AND CLOSING FILE

Documents that should be filed include

1. Inward correspondence in all its forms

2. Internal minutes relating to the correspondence
3. Copies of outward correspondence
4. Internally generated documents (administrative, financial, legal and operational or house
papers)

Documents that should not be filed include

1. Any forms of rough drafts that do not differ in contain from the final versions that are to be
filed
2. Copies of correspondence and internal documents
3. Ephemera (suppliers’ catalogues, press cutting, invitation to social events circulated for
information only)
OPEN NEW FILE
A new file should be open when

1. A new subject arises within the administrative process

2. Relevant documents need to be filed
3. An existing subject subdivides into new discrete subjects
4. New subject needs new files or sub-files

Each new file must be subjected to the following rules

1. Each file must relate to a single subject or transaction

2. Each file should have a title that describes its content precisely, concisely and uniquely
3. Each file should be classified and coded within the registry classification scheme
4. Each file must be documented
5. Each file location must be recorded in the files control tools or documentation

Part of files

Part One of a number of physical units into which a

file has been subdivided chronologically as it has
increased in size
Sub-file A separate file dealing with a discrete aspect of
the subject of a more general file
Continuation file A new file opened when the old file on the
subject has reached its cut-off date within the
file cycle

Giving files titles

1. File titles should be clear and precise providing adequate details about the file actual and
likely contents
2. The file titles consist of a number of terms to describe the specific subjects of the file in its
functional context
3. Keyword- are terms or group of terms taken from the title or text of a document or file
characterizing its content and facilitating its retrieval

Filing process

1. The papers should be cleared of all pins, clips, superfluous staples; folded or unfolded where
necessary and torn pages repaired before being filed
2. In preparing loose papers for file, a clerk must ensure that attachment remain with their
covering paper regardless of the date of the attachment. Extra copies and other non-record
material will be discarded at this time
3. The papers will now be ready for sorting into either a subject classification
4. The papers will now be clean, pre-drilled and in their classification order. The next step is the
attaching of the papers to their respective files
 5. The papers should be filed in chronological order of the transactions of which they form
part.
6. Papers within a file may be numbered to guarantee maintenance of integrity and original
order
A running number = folio number
7. The folio number, subject or title of the papers, their dates and dates inserted into the file
should be listed hand written in blue and red on the minute sheet (incoming correspondence
in blue and copies of outward correspondence in red)

NUMBERING PAPERS ON FILES

FOLIO NUMBER

1. Documents and the accompanying enclosures must be placed on files in “date of receipt”
order (the most recent on the top)
2. Number each paper on the file consecutively in the top right-hand corner with the number
being enclosed in a small circle (folio number)
3. If a document runs to more than one page, the whole document (not the individual pages) is
numbered

MINUTE SHEET

1. The split file system – standard method of maintaining registered papers on files
2. In this system, papers are divided as follow:
- Incoming letters, copies of outgoing letters, memoranda, and notes of meetings,
statistical data and similar documents are placed on the right-hand side of the file and
secured with a treasury tag
3. A treasure tag is an item of stationery used to fasten sheets of paper together or to a folder
4. On the left-hand side of the opened file is a series of ‘minutes sheets’ secured with a
treasury tag
5. The purpose of these sheets is to enable action officers and records office staff to bring
attention to particular action points arising from correspondence on the right-hand side of
the file (a request for additional papers, a bring-up date or to point out clarification)
6. The instructions should be short and to the point, addressed, signed and dated

CLOSING FILES
1. Files should be not be allowed to become thick or be kept in use for too long because
-difficult to handle
-their contents can be at risk of damage
-liable to contain papers no longer required for the daily conduct of business
2. There must be regulation to the size of file appropriate to the type of file covers
3. A size of 1 inch – a reasonable limit for treasury tag files (regulation by the National Archives
of Malaysia for government departments filing systems)
4. When that size is reached, that part of the file should be closed and a new part opened.
5. The word “CLOSED” should be written or stamped diagonally in bold letter across the front
cover, thus cancelling it
 6. The closure of files should be formally documented to ensure no additional information is
added or changes made

MANAGING ACTIVE RECORD

TYPES OF RECORD ACTIVITIES

 Records within an office fall into three records activities:
Active records
Inactive records
Archive records
