TOPIC 6

FILE
MANAGEMENT
 LEARNING OUTCOME

At the end of the course, students should be able to:

Understand the file management & filing process.

 FILE MANAGEMENT
▪ File management is an important method to channel information in
carrying out the functions and activities of an organization.

▪ Every transaction needs to be done through a proper file management

system and systematic so that service delivery to customers can be
implemented effectively.

▪ Proper file handling methods are fundamental to efficient record

management and contributes to the accountability and integrity of the
services.
 APPOINTMENT OF OFFICERS
TO MANAGE FILES

▪ Reclassification Officer
▪ Classification Officer
▪ Secret Registrar
▪ Registrar of Jadual Keselamatan Berjadual (JKB)
▪ Departmental Records Officer
▪ Department Records Administrative Assistant
 USE OF FAIL COVER
OPEN CLASSIFIED FILE COVER CLASSIFIED FILE COVER
▪ OPEN ▪ RESTRICTED (TERHAD)
White file cover with colored spine (Am 435—Pin. White file cover (Am 435—Pin. 1/80) with
1/80) consists of General Affairs and Functional RESTRICTED / TERHAD stamp
Affairs record groups.
▪ CONFIDENTIAL
▪ SMALL ENVELOPE (SAMPUL KECIL) The file cover is green (Am 436)
Yellow file cover (Am 435A – Pin. 1/82).
▪ SECRET
The file cover is pink with red cross (Am 437)

▪ TOP SECRET
The file cover is light yellow with red cross (Am 438)
White File Cover with Colored Spine for
Housekeeping Records (Open File)
White File Cover with Colored Spine for
Housekeeping Records (Open File)
White File Cover with Colored Spine for
Functional Records (Open File)
White File Cover with Colored Spine for
Functional Records (Open File)
 CLASSIFIED FILE COVER

LIMITED / RESTRICTED CONFIDENTIAL (SULIT) SECRET (RAHSIA) TOP SECRET (RAHSIA BESAR)
(TERHAD)
FILE MANAGEMENT PROCESS
Fail Fail
Disposition Registration

FAIL
Fail Fail
Closing Opening

MANAGEMENT

Fail
Fail
Movement
Capturing

Fail Storing
 1. FILE
REGISTRATION
▪ New file to open needs to be registered
first.

▪ The application must be made by filling

File Register Application Form and then
the form submitted to the Registration
Division / Unit Centralized File
(Registry)

Sample of File Register Application Form

 FILE REGISTRATION

A new file is opened when:

a. The required file does not exist;

b. The original file is closed and attached to the new volume file cover;
c. The original file could not be found;
d. The original file is found to be corrupted/damaged and needs to be
replaced with a new file;
e. Changes in the administration of a PTJ;
f. The file classification scheme is restructured or changed to a new
classification system.

Letters and documents created or received should be contained immediately into the correct file
so that it is easy to control, track and take action.
 FILE REGISTRATION

Sample of New File/ File Volume Application Form

 FILE REGISTRATION

A careful check must be made before a new file is opened to avoid the
following problem:

a. Creation of two (2) files with the same title and file reference number;

b. b. Creation of two (2) files with the same title but different file reference
numbers; and

a. Creation of two (2) files with different titles but the same file reference
number.
2. OPENING A NEW FILE
Once the application is approved, the applying department will open a new file
with the following attention:

1. File Title and File Reference Number

a. The file title and file reference number

should be written on the file cover clearly
using black or blue permanent ink.

a. The title of the file should also be written in

a simple, compact and representative of the
contents of the file.
2. Related document/records

Record the reference number of other files that are related to this file, such as policy files,
meetings, committees, laws, regulations and so on for cross-reference purposes.

3. Date of First Content

Record the date of the first content document in this space. The content date is the date of
the letter or document and not the date of receipt or even the date the content was
registered into the file.
File Title and File
Reference Number

Related
Document/Records

Date of First Content

4. Holes should be punched 1 inch from the 5. The file should be accompanied by a Minute
top left corner and 1 inch from the left Paper on the inside of the file and a strap
corner for file capture purposes. green in color
6. Filed under the subject

Register a new file opened into

the Indeks Fail Jabatan
 FILING OR REGISTERING
A DOCUMENTS / LETTERS
All records or documents received must be registered
in the file and distributed to the Head of Department or
officer for action to be taken.

The work process involved is as follows:

i. Stamp the date of receipt of the letter/document

in the blank space

ii. Register letters/documents in the File Register

Book or Letter Reception System;
FILE OPENING
FLOWCHART
3. FILE CAPTURE
File capture or the process of inserting letters/documents into a file is
also a process that needs to be followed.

Apart from ensuring uniformity, it also aims to ensure that

letters/documents are entered in an orderly manner, easily traced and
protected from the threat of damage.

The contents of the file (letters/documents) should be registered in the

minute paper for control purposes
Equipment Needed
To Open Files
• File
• Kertas Minit Am 6
• Green tag (green tag)
• The round pen / marker (permanent ink) blue,
black and red
• Hole punching (puncher)
4. FILE MOVEMENT
▪ To ensure file management is organized and
reduce the risk of file loss, movement a file
needs to be controlled.

▪ Details of officer’s name, date and time taken

and returned must be recorded on file
movement card.

▪ The duration of file borrowing allowed is for

three (3) days. However, the loan period can be
continued by informing the registry for the
purpose recorded.
THE REFER PERIOD EXTENDED NOTE THE MOVEMENT OF THE
APPLICATION FORM FILE ON THE COVER OF THE FILE
 File Movement Card
The file movement card used to control the
movement of the file should be inserted in the
file between the minute paper and the
attachment using the green string while the file
is stored in the registry.

i. When the file is requested by the officer for

his action, this card must be issued and the
details of the file's movement recorded.

ii. When the file is returned to the registry this

card should be put back into the file.
SAMPUL KECIL (Am 435A – Pin.1/82)
Small Envelope (Am 435A – Pin.1/82) is a file cover used as a temporary file. It is opened when The
file could not be found.

▪ When a letter received requires immediate action, but the file cannot be located, a small envelope
should be opened as a temporary file in place of the original file;

▪ The opened sub-envelope should use the same number and title as the original file;

▪ If the original file has been found, the small envelope should be included in the file as one
content;

▪ If the original file is still not located within 3 months, a new file cover should be opened and
given the next Volume number. A small envelope is inserted into this new file as subsequent
content; and

▪ If the original file is found after the new file has been opened, the original file should be closed
and tied together for an appropriate period of time before being separated for disposal.
SAMPUL KECIL (Am 435A – Pin.1/82)
5. STORAGE & MAINTENANCE OF FILE

Files or records that have been created and used must be maintained and guarded in
terms of security so that it is not lost and easily detected when required for reference.

The need for file storage and records should be noted such as:
▪ Suitable location;
▪ Appropriate furniture and storage equipment;
▪ Have a fire control system;
▪ Temperature and humidity control and stable air circulation; and
▪ Cleaning and pest control services in file storage rooms and record.
STORAGE OF FILE

▪ Files or records must be kept in a safe storage place

using an iron cabinet, either a four-drawer iron cabinet,
a mobile iron cabinet (mobile rack) or a static iron rack
according to the needs or the number of files created.

▪ Based on Arahan Keselamatan, Open Files and Classified

files should be stored in a separate location.

▪ Active files or records should be separated from inactive

files or records to facilitate tracking when needed for
reference.
The classified file storage method is as follows:

CLASSIFIED STORAGE
RECORDS
Secret / Top Lockable vault, safety
Secret box
Confidential / Steel cabinet / steel
Limited cupboard
Storage of Semi Active / Non-Active Records

▪ Closed and inactive files should be segregated from the Registry Room.

▪ The file should be kept in the Department's Record Room.

▪ All files that has been closed should be stored in an archive box and labeled
for facilitate searching when needed for reference.

▪ The file or record should be stored on an open file rack or mobile metal
cabinet (mobile rack).
Storage of Semi Active / Non-Active Records

Arrangements of boxes in file room

6. FILE CLOSURE
File closure is done based on the following two (2) criteria: 2. Based on the completion
of the action on the file
1. Based on file’s content thickness
1. Based on file’s content thickness
When the thickness of the file reaches 4cm or 100 attachments (content) whichever comes
first, the file needs to be closed.

The steps that need to be taken when a file is to be closed are:

▪ Ensure that the thickness of the file or the number of contents reaches the specified limit.
▪ File crossed with 2 diagonal lines with red permanent ink.
▪ In the middle of the column 2 lines are written "CLOSED - VOLUME 2 OPENED" with blue or
black ink.
▪ Open a new file cover which is an extension volume and give the same reference number
and add Volume 2 (Vol.2) at the end of the reference number.
▪ The number of contents in the new file volume should start with the number 1 (one).
▪ The opening of a new volume for the file in question needs to be notified to registry to update
and also facilitate the reference of officers and avoid the existence of two (2) or more files with
the same title.
▪ The closed file should be tied together with the new volume file until it is no longer needed
(no more than 3 months).
2. Based on the completion of the action on the file
File closure takes place based on the following criteria:

1. Case files (for example: investigation files) that have ended, and no
reference needs to be made on the file;
2. Files that have not been consulted within 5 years and are no longer
required for day-to-day administration;
3. Organizational restructuring which requires new files to be opened;
4. Change from old classification to new classification;
5. A Responsibility Center or division is defunct and no longer in operation
(defunct).
File Closure
Flow Chart
7. DISPOSAL OF FILE
▪ File disposal means a way of managing the segregation of files or records
for a purpose destruction, transfer or otherwise (suspension of transfer).

▪ The file is not active and has been closed should be disposed of after
reaching the storage period set in the organization is obeyed.

▪ File disposal must comply with the rules prescribed under Section 26 of
the National Archives Act 2003 [Act 629].
 Records Disposal Guidelines
▪ Warta Kerajaan P.U. (A) 377 Bertarikh 13hb
Oktober 2008 Peraturan-Peraturan Arkib
Negara (Penetapan Borang-Borang Bagi
Pelupusan Rekod Awam) 2008

▪ Panduan Pelupusan Rekod Awam

▪ Jadual Pelupusan Rekod Urusan Am

▪ Jadual Pelupusan Rekod Fungsian

▪ Jadual Pelupusan Rekod Kewangan dan

Perakaunan
 FILE MANAGEMENT SYSTEM
RESOURCE REQUIREMENTS
▪ Trained human resources
▪ Appropriate space
▪ Documents related to regulations and work
guidelines
▪ Equipment and materials for file use
▪ Appropriate furniture and machinery
CHECKLIST OF FILE
MANAGEMENT
SYSTEM RESOURCE
REQUIREMENTS
 CHECKLIST OF FILE MANAGEMENT SYSTEM
RESOURCE REQUIREMENTS

1. HUMAN RESOURCES 2. RECORD STORAGE ROOM

▪ Records Manager / Officer ▪ Active File Registry Room
▪ Archives ▪ Inactive File Record Room
▪ Head of Division/ Chief ▪ Classified Document Vault
▪ Section/ Unit Head ▪ Departmental Records Center -
▪ Departmental Records Officer Stores a large number of semi-
(PRJ) active and inactive files and
▪ Administrative Assistant (PT) requires a large amount of space.
▪ Operation Assistant
 CHECKLIST OF FILE MANAGEMENT SYSTEM
RESOURCE REQUIREMENTS
3. RELATED DOCUMENT 3.1 RELATED DOCUMENT - Act/ Gazette
▪ Departmental instructions on file and / Directive
▪ Akta Arkib Negara 2003 [Akta 629]
record management (Arahan Jabatan) ▪ Akta Rahsia Rasmi Pindaan 1986

▪ File List - List of files created by the ▪ Warta Kerajaan P.U. (A) 377 Bertarikh 13
department/ agency Oktober 2008: Peraturan-Peraturan Arkib
Negara (Penetapan Borang- Borang Bagi
Pelupusan Rekod Awam) 2008

▪ Arahan Keselamatan (Terhad)

 CHECKLIST OF FILE MANAGEMENT SYSTEM
RESOURCE REQUIREMENTS
3. 2 RELATED DOCUMENT - Circular/ 3. 3 RELATED DOCUMENT - Policy/ Guide
Circular Letter Standard/ Regulation / Procedure
▪ Dasar Pengurusan Rekod Kerajaan Arkib Negara
▪ Surat Pekeliling Am Bilangan 1 Tahun 2013: Malaysia
Penyeragaman Format Kepala Surat bagi ▪ 3.5.2. MS 2223-1:2009: Information and Documentation
Kementerian/ Jabatan/ Agensi Persekutuan –Records Management- Part 1: General
▪ MS 2223-2:2009: Information and Documentation –
Records Management- Part Guidelines
▪ Pekeliling Perkhidmatan Bilangan 5 Tahun 2007:
▪ Panduan Pengurusan Fail Rasmi Kerajaan
Panduan Pengurusan Pejabat ▪ Garis Panduan Keperluan Bilik Registri dan Bilik Rekod
Pejabat Awam
▪ Surat Kementerian Kewangan bertarikh 3 ▪ Jadual Pelupusan Rekod Urusan Am
November 1993; Pelupusan Bahan-bahan ▪ Panduan Pelupusan Rekod Awam
bercetak/ kertas terpakai daripada Kementerian/ ▪ Panduan Penyediaan Jadual
Jabatan Kerajaan/ Badan Berkanun ▪ Pelupusan Rekod Fungsian
▪ Jadual Pelupusan Rekod Kewangan dan Perakaunan
▪ Panduan Penyediaan Klasifikasi Fail Pejabat Awam
CHECKLIST OF FILE MANAGEMENT SYSTEM
RESOURCE REQUIREMENTS
3.4 RELATED DOCUMENT - Register Book / Forms / Slips /
Registry Card
▪ Slip Penerimaan (Pers.67-Pin. 3/87)
▪ Slip ‘SEGERA’ (Am 99a)
▪ Slip ‘TINDAKAN SERTA
▪ MERTA’ (Am 99) – Pin. 1/ 85
▪ Kad Pergerakan Fail
▪ Buku Daftar Penerimaan
▪ Surat (Am 10-Pin. 3/ 80)
▪ Buku Daftar Suratan Terperingkat
▪ Buku Daftar Surat Keluar Jabatan dan Agensi
▪ Buku Daftar Hantaran Surat ‘DENGAN TANGAN’ Am 109-Pin. 3/82
▪ Buku Daftar Penggunaan Setem
 CHECKLIST OF FILE MANAGEMENT SYSTEM
RESOURCE REQUIREMENTS
4. EQUIPMENT/ MATERIALS 5. FURNITURE / MACHINERY
▪ Kulit Fail Terbuka (Am 435-Pin.1/80) ▪ Meja dan Kerusi Pegawai
▪ Sampul Kecil (Am 435A – Pin.1/82) ▪ Komputer
▪ Kulit Fail Terperingkat ▪ Scanner
(i) Kulit Fail TERHAD (Am 435-Pin.1/80) ▪ Printer
(ii) Kulit Fail SULIT (Am 436) ▪ Shredder
(iii) Kulit Fail RAHSIA(Am 437) ▪ Mesin Fotostat
(iv) Kulit Fail RAHSIA BESAR (Am 438) ▪ Kabinet Berlaci Empat Untuk menyimpan fail
▪ Kertas Minit (Am 6) ▪ Rak Fail Bergerak (Compactus)
▪ Cap ‘TERIMA’ ▪ Rak Fail Terbuka (Statik)
▪ Puncher ▪ Rak Merpati / Pigeon Hole Untuk kegunaan menyimpan
▪ Marker – Blue, Black, Red pelbagai borang.
▪ Ruler ▪ Telefon
▪ Paper Clips ▪ Mesin Faksimili
▪ Green Tag ▪ Mesin Franking (mailing system)
▪ Pocket File ▪ Alat Pemadam Api (Fire Extinguisher)
▪ Records Boxes
THANK YOU