uitm imr504

1. IMR504- Week 4
Creating & Controlling Files

2. CREATING AND CONTROLLING FILES
Definition File
File : An organized physical assembly (usually within a
folder) of documents grouped together for current use or
in the process of archival arrangement because they relate
to the same function, subject, activity or transaction
A file is a basic unit of a record series
File : A logical assembly of data stored within a computer
system. In word processing system, it is the intellectual
representation of a physical document

3. Types of Files
There are different categories of files but some
common broad categories may be identified:
1. Policy files: relates to the formulation of policy
and procedures by the organization
2. Operational or subject file: records created for
the purpose of carrying out core functions of an
organization. Also known as functional records

4. 3. Administrative or ‘housekeeping’ files:
records relating to those general
administrative activities common to all
organizations such as administration,
buildings and assets, equipment and supplies,
finance and human resource
4. Case files: papers or files relating to specific
action, event, person, place, project or other
subject. Also known as dossiers, dockets,
particular instance papers, project files or
transactional files

5. CREATING AND CONTROLLING FILES
FILE COVERS should contained the following
information :
1. File Title
2. Classification Code
3. Keywords or Index terms
4. Date of opening
5. References to previous, continuation or related files
6. Security classification
7. Retention and disposal information.

6. CREATING AND CONTROLLING FILES
Files must not be allowed to become too thick to
ensure they can be managed easily and safely
FILING PAPERS
Documents must be maintained in the correct order to
ensure the establishment of context within which
decision and actions are taken and confirms the
sequence of those transactions. Documents should
be place in file in the order in which they are created
or received. For example, a letter received together
with enclosures must be treated as one document

7. CREATING AND CONTROLLING FILES
METHODS OF FILING
a) Back to front – each new document is added on top
of the preceding document so that the most recently
created or received document is always on top of the
preceding document. This will ensure the latest
document are brought readily to the attention of the
action officers
b) Front to back – Each new documents is added below
the preceding document. Easy if ring binders are
used. It does not bring the latest document to the
attention of action officers

8. c) Split File System
- common in the past, rarely used
- time consuming & demanding properly
- nevertheless has the advantages of directing officers & staff to
correspondence, instructions & notes require their attention so they do
not have to look through the entire contents of the file
- often used with conjunction with ‘foliating’ – process of numbering
documents one after the other beginning with number 1, in the order
which they are filed
- documents are then listed in folio number order on minute sheets on the
left hand side of the inside front cover of the file, providing contents list

9. CREATING AND CONTROLLING FILES
WHAT IS TO BE FILED.
Documents should be filed; inward correspondence, internal
minutes, outward correspondence, internally generated
administrative, financial, legal and operational documents,
Rough drafts (keep final version), Copies of correspondence
and internal documents, spare or duplicate copies of
documents, ephemera stored separately (example :- catalogs,
press cuttings) and retained only as long as it is current and
then destroyed
Some of them may not be filed together even though have the
same context. This is because of the physical format such as
photographs, maps, plans or drawings

10. CREATING AND CONTROLLING FILES
In some organization, inward correspondence is
opened and registered in the organization’s record
office and placed as the relevant file (existing and
new)
Some system, incoming correspondence will be
reviewed by senior member of staff and then passed
to the dedicated action officer whom will deal and
marked them accordingly.

11. CREATING AND CONTROLLING FILES
Parts of files, sub-files and continuation files
A file is subdivided because it is too thick or because
the subject has a number of discrete (separate)
aspects not foreseen (to know or expect that
something is going to happen before it does) when
the file is created.
1. One of a number of physical unit to which a file
has been divided chronologically as it has increased
in size. Also known as volume or partfile
2. Subfile – a separate file dealing with a discrete
aspect of the subject of a more general file.

12. CREATING AND CONTROLLING FILES
Part and subfile should be distinguished from
continuation file.
3. Continuation files are new files opened when the
old file or subject has reached its cut off date within
a file cycle.
File cycle is a specified period during which
documents are added to files. At the end of which
new files are opened if the subject with which they
deal continue to generate documents

13. TEMPORARY FILE
OR SUB-JACKET
These files are used in the following situations:
Situation where a particular file has been misplaced or
cannot immediately retrieved.
Situation where an incoming letter needs to be acted upon
urgently.
A particular letter requires an isolated action.

14. ASSIGNING FILES TITLE
File title will be composed of a number of
words, terms or phrases used in combination
to describe the specific subject or contents of
the file in its functional context.
Titling the files need to be done carefully and
controlled. Keywords used in file titles
should be controlled by using ‘authority list’
for proper names and controlled vocabulary
or thesaurus for subject terms to achieve
consistency

15. CREATING AND CONTROLLING FILES
Keyword list can also provide a standard vocab to be
used when giving file titles. File titles should be
descriptive so that it is adequate to explain file
content.
Avoid using the words GENERAL and
MISCELLANOUS in order to discourage misfiling
and indexing

16. Controlled Vocabulary and Keyword list
Controlled vocab limits the choice of words to be used when
classifying and indexing files and other records, thereby achieving
precisions.
It also serves as a thesaurus, controlling the subject terms to be used.
Small organization is more practical to implement centralized vocab or
keyword list.
Larger organization is more practical to implement control vocab or
keyword list at departmental level.
A keyword list must also be based on a careful analysis of functions
and activities.
Confusion words such as duties must be clarified as it could mean
taxes or responsibilities

17. CREATING AND CONTROLLING FILES
3 types of relationship between terms in controlled
vocab :-
a. An equivalence relationship (terms that mean the
same thing) e.g. ‘Equipment’ use ‘Machinery’
b. Hierarchical relationship (Broader and narrower
terms) e.g. Allowance
Travel Allowance – narrow terms
Foreign Travel Allowance – broader
terms
a. Associate relationship (terms that associated with
each other but are neither broader or narrower
terms)
e.g. ‘technical schools’ see also ‘secondary school’

18. CREATING AND CONTROLLING FILES
Establishing control over new files
It is important a new file have a comprehensive
records on its existence. Control documents must be
established for every file.
Files are controlled and managed during day to day
use by the file diary, file index and file transit

19. CREATING AND CONTROLLING FILES
File Diary
File diary is kept in a loose leaf form. It is used to
record the code of reference number of the new
file, its date of opening, its full title and any
previous file number. Maintain separate file
diaries for each file series
File diaries enables the records staff to monitor
files opened during any given period. At the end
of each year, staff should place the file diary
sheets on a registered file and begin new sheets

20. CREATING AND CONTROLLING FILES
FILE INDEX
File index is the key to retrieval
Two most important subjects of the file must be
established and the appropriate keyword
identified. Keywords should be from the file title
or the keywords which more accurately and
precisely indicate the file’s content

21. FILE TRANSIT SHEET
File transit sheet is also used to record file existence and file
movements.

22. CREATING AND CONTROLLING FILES
CLOSING FILES
Files should not be allowed to become too thick or be kept in use for too long.
3.5 cm or 1.5 inch is a reasonable limit for files held together with a tag.
There are 3 considerations before opening a new part of files:-
a. Is the subject of the file too broad? A separate file need to be opened if a
subject of a file deal with a variety of aspects
b. Is the chronological scope of the file too long? Separate file for each
calendar or financial year
c. Even when the files does not become too thick, there should be a cut off
point to their life as current records. This can be determined by the file
cycle (usually three to five years from the date of the file’s opening)
No further document can be added to files that are already closed. The word
CLOSED should be written

23. TOOLS TO ENSURE FILE ACTION
KEEP IN VIEW (KIV) SYSTEM
Files are KIV for the following purposes
Awaiting reply or a particular information that is expected to be received
at a particular point in the future.
Awaiting a particular information that has given for an offices to
complete his/her work.
Facilitate the transfer of a file that is presently being used by a particular
officer to another officer who needs it promptly for some other transaction.
To act as a reminder to carry out a particular action in the future.

24. ADVANTAGES
Files need not be allowed to collect on the officer’s desk. The
file may be sent to the registry with an assurance that they will
be at hand at the right time.
It allows for work to be planned and carried out according to
a projected time table.
It ensures that the officers do not forget to take action at a
particular time in the future.
It allows the registry clerk to take actions on file

25. Questions ???