Administering Organization Filing Centres (Registries)

Organization registries present a great challenge to those who have been mandated to run them. The more the organization grows, the greater the complexity in handling tasks involved get. This presentation brings to light some of the issues that requires consideration whenever setting up one such system within the organization

Transcript

1. ©Kenvision Techniks Ltd, 2015 Administering Organization Filing Centres (Registries) Presented By: Solomon Kaminda, MSc IT (Bristol – UK), BSc IS (Records Management) Senior Consultant- Kenvision Techniks Ltd
2. ©Kenvision Techniks Ltd, 2015 Introduction • A registry is an information system established to care for, organize and quickly provides a good service by: • Promptly processing the days mail • Quickly retrieving requested files • Always knowing where its files are • Politely responding to all registry users • Always striving to do more for users
3. ©Kenvision Techniks Ltd, 2015 Introduction  It is the heartbeat or nerve centre of the organization as it controls the incoming and outgoing mail  To provide a good service registry staff must be: ◦ Alert ◦ Interested ◦ Efficient and especially ◦ Prompt ◦ Polite ◦ Positive
4. ©Kenvision Techniks Ltd, 2015 Forms of registry systems 1. Centralized System • Organizations can either have centralized or decentralized registry systems. • A combination of the two systems is also found in large organizations. • Centralized registry system is whereby all records of a given organization are received, processed, distributed and stored at a single point.
5. ©Kenvision Techniks Ltd, 2015 Advantages of centralized registry i. Requires less storage space for the organization as a whole ii. Requires fewer staff to operate iii. Promotes uniformity in filing procedure iv. Provides effective supervision of records v. Develops specialization in staff in registry operations vi. Reference of related records of different department is convenient
6. ©Kenvision Techniks Ltd, 2015 Disadvantages of centralized registry i. Can be a security risk to an organization a single calamity can destroy its records at an instance. ii. Not suitable when records are required urgently through a telephone or files may not be immediately accessible when required especially in large organizations. iii. Too many records may lead to problems of maintenance and organization. Location of the registry could be distant some departments. iv. Unsuitable for storing confidential records v. Registry staff may possess little departmental knowledge hence may not satisfy each departmental filing requirement.
7. ©Kenvision Techniks Ltd, 2015 Decentralized registry system • A decentralized registry system is whereby records of an organization are received, processed, distributed and stored (maintained) by the various departments. • Each department or a group of related departments manage their records. • A central coordinating unit must be put in place for purposes of establishing control of the incoming records and distributing them to the relevant departments.
8. ©Kenvision Techniks Ltd, 2015 Advantages of decentralized registry i. Speedier access for the user – files are kept in their department ii. Complex material is more manageable (department are free to use the filing arrangement) best suitable to their needs. iii. Volume of records to manage is low iv. Fewer units will access each station
9. ©Kenvision Techniks Ltd, 2015 Disadvantages of Decentralized Registry • Not economical in use of space, equipment and personnel • Becomes difficult to develop specialized personnel • Duplication of files is possible. • Wastage of time moving from one departmental registry to another for reference purposes.
10. ©Kenvision Techniks Ltd, 2015 Types of registries within these systems •Personnel •Secret •General •Accounts •Technical, etc.
11. ©Kenvision Techniks Ltd, 2015 Personnel Registry • This is a registry that stores and controls personnel files. • The information contained in these files is confidential in nature on individuals working in that institution.
12. ©Kenvision Techniks Ltd, 2015 Accounts Registry • A lot of records are generated particularly records of accounting nature in all organizations. • In order to ease accounting services and for quick action the organization may decide to set up an accounts registry. • Records kept and used will be accounts records such as ledgers, payrolls, payment vouchers, bank statements among others.
13. ©Kenvision Techniks Ltd, 2015 Secret Registry • This is a registry maintained for the purposes of keeping classified records that are of confidential nature. • Access is normally restricted as much as the confidentiality can permit.
14. ©Kenvision Techniks Ltd, 2015 General Registry • This registry is maintained for general records. Examples of General records: 1. 2. 3. 4. 5.
15. ©Kenvision Techniks Ltd, 2015 Functions of A Registry • Receiving and registering all incoming mail. • Dispatching and registering outgoing mail. • Controlling file movement i.e knows the whereabout of all files all the time. • Classifies and files records appropriately. • Weeding ephemeral records. • Preservation of valuable records.
16. ©Kenvision Techniks Ltd, 2015 Functions of A Registry a) Preparation of records retention schedules b) Provide adequate security to records c) Gives advisory services on issues pertaining records keeping d) Supply and maintenance of records storage equipment e) Storage of organizations records
17. ©Kenvision Techniks Ltd, 2015 Registry responsibilities & activities • In order to operate successfully, the registry should ensure that incoming and outgoing correspondence receives attention without delay. The registry staff must ensure that: i. All official correspondence is assigned to an appropriate file ii. That files are distributed to the appropriate action officers without delay iii. That required information is produced on an appropriate file as and when required. iv. That all files in use are recorded
18. ©Kenvision Techniks Ltd, 2015 Registry responsibilities & activities • They involve ensuring that: i. All files not in current use are stored and maintained in such a manner as to ensure their legibility and preservation. ii. Internal and external messengerial service is available timeously iii. Any unnecessary record is periodically disposed of in accordance with prescribed procedures.
19. ©Kenvision Techniks Ltd, 2015 Requirements in setting up a registry • Adequate staff: - in terms of quantity and quality • Space:– adequate for current and future accumulations • Location:– central for convenience of all users - secure • Equipment: – suitable for form of records - durable - compact • Funds • Records • Total commitment from top management
20. ©Kenvision Techniks Ltd, 2015 Features of An Ideal Registry a) Qualified and adequate staff b) Good filing system c) No useless records retained d) Have a records retention disposition schedule e) Good location f) Adequate space g) Appropriate storage equipment h) Updated retrieval and control tools
21. ©Kenvision Techniks Ltd, 2015 Indicators of poor registry management  The most obvious and visible indication of a degenerate and inefficient registry are: i. Heaping of files and documents on top of tables, cabinets on the floor and even on the corridors. ii. Deployment in the registry of stall of low ability and academic achievement: iii. Loss and misplacement of files which necessitates wastage of staff time and efforts in unproductive searches for files and documents. iv. Un-procedural and uncontrolled opening of files by the registry staff and action officers leading to proliferation and duplication of files. v. High incidence of temporary files opened due to inability to locate the main files.
22. ©Kenvision Techniks Ltd, 2015 Indicators of poor registry management i. Poor tracking system of files as a result of the failure to record outgoing and incoming files. ii. Decayed, obsolete and rarely revised file classification schemes characterized by dilapidation and existence of files on obsolete functions and activities iii. Existence of parallel ‘private’ registries maintained by action officers as a result of loss of confidence in the efficiency of the registry. iv. Unwillingness of action officers to return files they frequently use to the registry for fear that the files may not be easily located when they need.
23. ©Kenvision Techniks Ltd, 2015 Indicators of poor registry management i. Poorly titled files ii. Slowness in the provision of information and files by the registry iii. Misfiling of letters iv. Absence of security of files and documents, which leads to their loss and leakage of information. v. Ephemeral records mixed with important records vi. Huge bulky files, which are not closed when they mature for closing and vii. Lack of schedule of duties for registry personnel leading to conflict, confusion and negligence in the performance of duties.
24. ©Kenvision Techniks Ltd, 2015 Records Personnel
25. ©Kenvision Techniks Ltd, 2015 Records Personnel • The registry should not be the dumping ground for officers who have fallen out with the administration or those waiting to exit. • Inefficient staff will keep records inefficiently. • The attitude of management in many organizations is indifferent towards records keeping. As a result of this, the least experienced and least trained personnel find themselves assigned to do records work.
26. ©Kenvision Techniks Ltd, 2015 Records Personnel • Records officers, assigned to do records work should be: i. trained in records work, ii. trained in records management and interested in working with records iii. have legible handwriting and iv. better than average memory and clerical skills. v. accurate, fast, alert and neat in their work habits. vi. polite and prompt.
27. ©Kenvision Techniks Ltd, 2015 Records Personnel • The responsibility and authority of records should be in the hands of designated officer known as • Records Manager/Records and Information systems, Analyst, Records • Management Director etc. This is a senior level position.
28. ©Kenvision Techniks Ltd, 2015 Duties of Records Managers i. Plans, develops and administers records management policies. ii. Regular Records Surveys iii. Recommends organizations, filing systems and procedures iv. Recommends storage equipment v. Participates in training of personnel vi. Evaluates staff reports vii. Review the need for new filing equipment viii. Identify vital records ix. Determine administrative retention periods of records.
29. ©Kenvision Techniks Ltd, 2015 Registry Supervisor The Registry Supervisor  is directly responsible to the senior administration officer.  spends time in the daily supervision of the registry.  ensures there is adequate protection and preservation of records.  ensures that records are accessible only to authorized users.  ensures that worthless records are disposed of in accordance with the specified procedures.
30. ©Kenvision Techniks Ltd, 2015 Registry Clerk  Receives, files the mail, looks after the custody of registry files, other records and items such as bulky reports, gazettes, stationery bring-up, diary etc.  Sorts, indexes, files and retrieves all type of records.  The clerks main responsibility though is to ensure proper record keeping and prompt retrieval of information, classifies materials and records.  Transfers records and disposes records in accordance to retention schedule and under supervision.  Avails any file, record or information for which she/he is responsible, immediately it is required.
31. ©Kenvision Techniks Ltd, 2015 How does a registry clerk achieve his/her aim • The clerk needs to: i. Learn everything he/she can about his particular filing and record system ii. Take pride in providing fast and effective service. iii. Develop methods to deal with every aspect of his/her work iv. Be a skilled supervisor v. Be a well thought out filling system that is so arranged as to make the understanding of it as easy as possible. vi. Be a Senior staff who understands Registry aims and who will co-operate to help Registry Staff attain them.
32. ©Kenvision Techniks Ltd, 2015 Internal messengerial service • Internal messengerial service is the direct responsibility of the Registry. • Messengers are responsible for collection, sorting and distributing of all internal correspondence, files, publications etc. • Where a department or ministry has more than one messenger, it is advisable that they should be allocated duties to avoid backlogs. • In some departments messengers are assigned to sections. • Messengerial schedules should be allocated by the Registry Supervisor. • Internal messengerial services ensures that all mail, files and other documents awaiting distribution have been sorted in time.
33. ©Kenvision Techniks Ltd, 2015 Internal messegerial service • Emphasis should be on the following: • Ensure that all files that are due for re-submitting on that day (B.U’s) are ready for delivery in the first run. • Sort mail for pigeon holes or to be personally distributed to individual offices. • Deliver to “IN” trays of A.O’s and collect from “OUT” trays. • Return to registry on completion of rounds and re-sort collected material. • Place all files in the Clerk’s tray for marking before sending to the next requesting officer.
34. ©Kenvision Techniks Ltd, 2015 External messegerial service Collection of mail • Messengers should collect postal mail at predetermined intervals, at the time set by the registry in accordance with post office sorting hours. • In most cases, mail is collected at the post office at stipulated times.
35. ©Kenvision Techniks Ltd, 2015 Registry and Action Officers cooperation • This cooperation is imperative. For the registry to perform at its best, the full cooperation of AO’s is necessary. • All file users must understand that they play a key role in determining the standard of service they will receive from the registry. • Hence all must cooperate in observing basic registry procedures.
36. ©Kenvision Techniks Ltd, 2015 Registry and action officers cooperation • The registry staff on the other hand must also be fully aware of the practice, which they must follow in order to gain the confidence and cooperation of action officers. • The AO’s should have confidence in their Registry staff. • The Registry Clerk should ensure that their methods eliminate mistakes.
37. ©Kenvision Techniks Ltd, 2015 Performance improvement
38. ©Kenvision Techniks Ltd, 2015 Performance improvement • Action Officers must act on files assigned to them within a period of two days. • In circumstances where an officer is unable to take action within the stipulated period, the files should be returned to the registry with a Bring Up date for resubmission. • Registry supervisors must prepare and submit monthly returns to the HODs on the following: • Total number of mail received • Number of files acted upon by Action Officers • Number of files with cases not acted upon during the month • Mail pending filing in the registry.
39. ©Kenvision Techniks Ltd, 2015 Performance improvement  Such returns enable the Accounting Officers/HOD monitor and evaluate the performance of action officers and registry personnel.  HOD to support and enhance the role of the registries as the “nerve centre” of organizations through holding regular/monthly meetings and making frequent visits to registries to assess the working environment, working tools, staff performance.
40. ©Kenvision Techniks Ltd, 2015 THE END Thank you