SOP Library
SOP NO:
GS-CR03
(List of Exhibits/Attachments)
Missi
on
:
Finance and Administration
Area:
General Services (GS)
Activity:
Communication Reproduction Services (GS-CR)
Title:
SOP on NFA Communication and Document Tracking System
Date Approved/Issued:
04/16/1993
Date Effective:
05/01/1993
Digest:
I. TERMS OF REFERENCE
A. Rationale
B. Objective
C. Scope
D. Basis
II. IMPLEMENTING GUIDELINES
A. Forms of Internal Communication
1. The following shall be the forms to be used for internal communication within the NFA:
1.1 MEMORANDUM
This shall be used for issuances by the Administrator addressed to all NFA officials and employees.
1.2 DIRECTIVE
This shall be used for orders/instructions emanating from the Administrator directed to a specific individual, committee or group of employees.
1.3 SPECIAL ORDER
This shall pertain to matters related to NFA personnel movements such as hiring, detail, transfer, promotion to executive position, designation in acting capacity etc... This shall be signed by the Administrator for Central Office and the Regional Director for the field offices. Distinction shall be reflected in the numbering by indicating the code of the issuing region.
1.4 CIRCULAR
This shall refer to an issuance for general circulation or nationwide information signed by the Deputy Administrator, Assistant Administrator or Department Manager. The issuance shall be within the level of authority of the signing official.
1.5 TRAINING DIRECTIVE
This shall refer to attendance of NFA personnel to internal and external trainings signed by the official per NFA specifications of authority for trainings.
1.6 STANDARD OPERATING PROCEDURE
This shall be used for policies and procedures covering NFA operations signed by the Administrator.
1.7 INTER-DEPARTMENT MEMO
This shall refer to a memorandum sent by a department/office to another in the Central Office signed by the head of the department/office. This shall also be used by the Executive Offices for communications addressed to specific Central Office department/office for matters not falling under a memorandum, directive or circular category.
1.8 INTER-REGION MEMO
This shall refer to a memorandum sent by a Regional Office to the Central Office or to another region signed by the Regional Director.
1.9 INTER-PROVINCE MEMO
This shall refer to a memorandum sent by a provincial office to the Central Office or to a provincial office of another region signed by the Provincial Manager.
1.10 OFFICE MEMO
This shall be used for all memoranda signed by the head of office for internal communication within the department/office and intra-regional communications (Regional office and Provincial Offices within the region).
1.11 OFFICE ORDER
This shall pertain to internal matters for implementation within the department/office signed by the head of office.
1.12 WIRE
This shall refer to internal communication using the NFA radio communication system. Transmission of radio messages shall be approved by the head of office.
2. Correct classification of the form of internal communication shall be the responsibility of the signing official.
3. The approval/authorization documents to be signed by the Administrator, Deputy Administrator and Assistant Administrator shall be in the form of a memorandum, directive, special order, circular, training directive, standard operating procedure and wire as applicable. The practice of some departments/offices reflecting an APPROVED portion in the inter-department memo (IDM) where these officials affix their signatures shall be discontinued for proper monitoring and tracing of authorizations. The usual "RECOMMENDING APPROVAL" portion of the IDM shall still be adopted where the NFA officials recommending the approval of the document affix their signatures.
B. Classification of Information
1. Classified/Confidential/Restricted Information
These shall include information which are intended for the knowledge of authorized persons or groups only. Knowledge of the information by unauthorized persons can have detrimental effects on the organization, management, personnel, properties, financial position and other NFA resources including the government and its instrumentalities.
2. Information for General Circularization
These shall include information contained in memoranda, circulars, special orders and other forms of communication which are for general knowledge and are often circulated to be made known to the NFA officials and employees. These shall include those communication matters although addressed to specific persons will not in any manner have negative effects in case other persons get hold of the information.
C. Standardization of Internal Communication Format
1. NFA internal communications, except for SOPs and wires, shall be prepared in block form.
2. Preparation of NFA internal communications shall be guided by the attached guidelines on
Internal Communication Format
(
Annex A
).
3. NFA internal communications must be clear, concise, well-written, informative and easily understood.
4. The number of copies shall depend on the need as determined by the issuing office/department. A file copy shall be maintained by the issuing office/department.
5. Other department/office concerned with the communication shall be furnished a copy. This shall be determined by the sender.
6. Wire messages for a particular addressee shall be prepared in triplicate copies. Those intended as general messages shall be in seven (7) copies.
7. A
sample format of an IDM
is given in
Exhibit 1
and
Exhibit 2
gives the
wire form.
D. Numbering of Internal Communication
1. The numbering system for inter-department/inter-region/inter-province/office memo and officer order shall follow this coding system:
AAA-XX-XX-XXX
! ! ! !
! ! ! !______ Series for the year
! ! !_________ Month (Numeric code)
! !____________ Year
!_________________ Office
Numbering and control of these memoranda shall be the responsibility of the issuing department/office.
2. Control numbers of the Memorandum and Circular shall be the responsibility of the Records Management Section of the Communication Services Division (General Services Department). Numbering shall be as follows:
XX - XXX
! !
! !___________ Series for the year
!________________ Year
3. Assignment and control of the wire numbers shall be the responsibility of the Communication Facility Operation and Maintenance Section (CSD-GSD) Coding scheme for wire shall be as follows:
AAA-A-XXX
! ! !_________ Series for the year
! !____________ Month (Alpha Code)
!_________________ Office
4. The numbering of other internal communications shall be controlled by the following:
Form of Internal Communication Responsible Department/Office
________________________ ________________________
Directive Office of the Administrator
Special Order (S.O.) Human Resource Mgt. Department
(Central Office)
Regional Office (Field Offices)
indicating office code before the
numeric code for distinction
Training Directive HRMD
Standard Operating Procedures Management Services Department
The coding system for the directive, special order issued by Central Office and directive shall be as follows:
XX - XXX
! !
! !___________ Series for the year
!________________ Year
For special orders issued by the regional office, the office code shall also be reflected as follows:
AAA-XX-XXX
! ! !_________ Series for the year
! !____________ Year
!_________________ Regional Office Code
For SOPs, numbering shall be as follows:
AA-AAXX.A
! ! ! !_________ Amendment/Addendum Series Code
! ! !____________ Series Code
! !_______________ Chapter Code
!___________________ Manual Code
5. The office code for Central Office is given in
Exhibit 3
and
Exhibit 4
for the Field Offices.
6. The month code for the numeric and alpha coding shall be as follows:
C O D E
________________
MONTHS NUMERIC ALPHA
------------- -------------- -----------
January 01 A
February 02 B
March 03 C
April 04 D
May 05 E
June 06 F
July 07 G
August 08 H
September 09 I
October 10 J
November 11 K
December 12 L
E. RESPONSIBLE UNITS/PERSONS FOR INCOMING AND OUTGOING COMMUNICATIONS
1. Records Management Section (CSD-GSD) for Central Records/Communication System
1.1 The Records Management Section of the CSD-GSD shall be the central records and communication unit of the NFA except for those involving radio communication, telex and fax systems.
1.2 It shall be responsible for the r receipt of incoming mails/packages and their prompt delivery to concerned departments/offices. Mail matters with no particular addressee shall be sent to the Administrator's Office.
The section shall also be responsible for the handling/transmittal of all outgoing mails and packages containing accountable forms, spare parts, equipment and other materials for distribution/dissemination from Central Office to the field offices/destination in accordance with the prescribed transmittal system.
1.3 All incoming and outgoing communications and packages shall be recorded in separate logbooks which shall contain the date, addressee, particulars, sending office and signature/initial of the receiving/releasing CSD employee and the acknowledgment of the receiving party (Addressee for incoming/messengerial services for outgoing) as proof of turn-over. The logbook shall be strictly maintained for monitoring and records purposes as well as easy tracing of mails and packages and prevention of their losses.
1.4 Reproduction and dissemination of NFA internal communications for NFA officials and employees shall also be a function of the section. Issuances for general circularization shall be noted by the concerned head of office or its representative as proof that they are approved and authorized for dissemination.
1.5 This section shall be the official repository of all routine memoranda, special orders, training directives, circulars, SOPs, and other issuances for general circularization including Executive/Administrative Orders, guidelines and memo-circulars issued by other government agencies. It shall be responsible for the proper safekeeping, filing and maintenance of these records.
2. Communication Facility Operation and Maintenance Section (CSD-GSD)/Field Office CEO for Radio/Telex/Fax Communication System.
2.1 The Communication facility Operation and Maintenance Section of the CSD-GSD shall be responsible for transmitting and receiving radio messages and their distribution to concerned officers/departments.
2.2 The CFOMS shall also be responsible for the recording, monitoring, safekeeping and tracking of the wire messages. Logbooks for radio messages shall be maintained for references and monitoring. Pertinent information shall be recorded in the logbooks as provided under II.E.1.3.
2.3 For field offices, the Communication Equipment Operator IV/III shall be the counterpart of the Communication Facility Operation and Maintenance Section.
2.4 Telex and FAX messages/documents shall be the responsibility of the office/department where the equipment is installed. An employee shall be designated to take charge of the Telex and Fax equipment operation including the recording, monitoring, safekeeping and tracking of the Telex/Fax messages and documents.
3. Records Officer for the Department/Office Record and Communication System
3.1 For an effective and efficient record and communication system within the department/office, a records officer shall be designated who shall be responsible for the recording, monitoring, safekeeping and tracking of all incoming and outgoing document/ packages within the department/office.
3.2 The Executive Assistant I of the department/office shall be designated as the Records Officer. In the absence of such position or employee, the head of office/department through an Office Order shall designate another employee to act as the Records Officer of the department/office.
3.3 For field offices, the Administrative Officer IV (Regional Office)/Administrative Officer III (Provincial Office) shall be designated as the records officer.
3.4 The Records officer shall be responsible for the implementation of the document tracking system provided under II.G.
F. TRANSMITTAL SYSTEM
1. Modes of Transmittal
1.1 The following are the different modes of transmittal of NFA communications/messages:
a. Written communications thru:
Post office mailing system
PAL Pouch Service
Private messengerial services
Courier System
b. Electronic Modes thru:
Radio
TELEX
FAX
Telephone
1.2 The modes for written communications shall be utilized for regular communications/reports and bulky mail matters and packages.
The choice of the mode of transmittal for written communications shall be the responsibility of the sending office considering the urgency, availability of messengerial services, cost and other factors with the NFA interest as the prime consideration.
Use of the PAL Pouch Service or private messengerial services shall be the responsibility of the Department Manager for General Services as recommended by the Chief of the Communication Services Division (Central Office)/head of the field office.
1.3 The electronic modes shall be used for urgent matters as authorized by the head of office/department.
2. Transmittal of Classified/Confidential Communications
Transmittal of classified/confidential/restricted documents shall be handled with utmost care. Whenever possible, its transmission shall be handcarried or sent through trusted couriers. These documents or information shall be placed and sealed with a plastic tape in an envelope. An imprint "CONFIDENTIAL" shall be stamped on the part that was taped so that it can be seen if the envelope was opened. The sender shall also affix his signature on the flap of the envelope. Only the addressee shall open the sealed envelope.
In case the documents shall be assigned to an authorized employee, the addressee shall give instructions on the confidentiality of the matter.
3. Transmittal of Regular Communications for General Information
3.1 A mail transmittal system thru the use of post office mailing system, PAL Pouch service, private messengerial services and courier system shall be implemented for the following communications:
a. Regular communication not urgently required.
b. Those even with deadlines can still be received by the department/office concerned within the deadline set for their receipt.
c. Those intended for general circulation
3.2
Annex B
lists the
measures to be adopted relative to the mail transmittal system.
G. Document Tracking System
1. Document Tracking System Within the Department/Office
1.1 A document tracking system shall be implemented in order to ensure that the action requested for a document is made within the deadline or required period. This shall be the primary responsibility of the concerned head of office/department as assisted by the Records Officer.
The system shall facilitate tracking down of documents as well as pinpoint the responsibilities of each department/office involved in the processing of a document to ensure prompt action.
The system shall cover classified documents and those for general information.
1.2 Handling, transmittal, recording, safekeeping and monitoring of confidential communications shall be the responsibility of the sender and the addressee.
1.3 The document tracking system shall be effected thru the use of a
Document Tracking Slip
(DTS-Exhibit 5) to be attached to all outgoing documents from an originating or sending office.
a.
DTS No.
This shall be the reference number of the document and shall refer to the number of the:
i. Document such as inter-department memorandum of the originating office, memorandum, circular, directive, special order, wire, SOP and other forms of internal communications.
ii. Document such as disbursement voucher, check, purchase/job/letter order, request and issue voucher (RIV), management information system (MIS) report catalogue code), accountable forms, and other NFA documents with numbering system without accompanying IDM.
iii. Document without numbering system and without accompanying IDM such as contracts, certifications, authorizations, etc... shall be assigned a reference number using the following coding system:
AA-AAA-XX-XXX
! ! ! !________ Series (for the year)
! ! !__________ Month (numeric code)
! ! !__________ Office/Department
! ! !__________ Document
b. Date of Document
c. Addressee
d. Thru (if any)
e. Subject
f. Attachments
g. Action Requested
h. Deadline (if any)
i. Other concerned Department/Offices.
(Those evaluating/recommending/endorsing the document
jointly with the originating office)
j. Office/Department/Division
This shall be filled-up by all units involved in the processing of the
from the time of release by the originating office.
k. Receipt (Date/Time/Initial)
The date and time the document was received including the initial
of the employee to take actions on the documents shall be reflected
on this portion of the
DTS
.
l. Actions Desired/Undertaken
The actions taken/made by the employee taking part in the processing
of the document shall be disclosed in this portion.
m. Remarks
Other information relevant to the processing of the document shall be indicated, the number and date of the IDM that may be issued by a concerned department addressed to the sender of originating office reflecting the department's comments, recommendations, requirements, etc...
1.4 The
DTS
data to be accomplished for classified/confidential documents shall be the
DTS
number and address. The word "CONFIDENTIAL" shall be reflected on the subject on portion.
1.5 The designated records officer of the originating office shall ensure that a
DTS
form properly accomplished is attached to all outgoing documents. In case there are two or more departments/offices which are given copies of the documents for action. Individual
DTS
with the same
DTS
reference number and data shall be attached to each copy.
2. Receiving and Releasing of Documents Within the Department/Office.
2.1 Receiving
a. A
Receiving Logbook
(Exhibit 6) shall be maintained. All incoming documents shall be recorded in the logbook.
b. The
Receiving Logbook
shall be sub-divided into department/office to facilitate tracing of documents.
c. The receiving employee shall be responsible for filling-up the required data and the maintenance/safekeeping of the
logbook
under the supervision of the records officer.
d. Data requirements of the
logbook
shall be based on the
DTS
attached to the documents received.
e. The receiving employee shall forward the documents to the head of office/department who shall assign or give instructions relative to the document.
f. The name/initial of the assigned employee shall be indicated in the receiving
logbook
.
g. Subsequent actions undertaken by the assigned employee shall be noted in the
logbook
.
2.2 Releasing
a. A
Releasing Logbook
(Exhibit 7) shall also be maintained where all outgoing documents from the department/office shall be recorded.
b. This shall also be sub-divided into department/office.
c. The releasing employee under the supervision of the records officer shall be responsible for filling-up the required data of the
logbook
as well as its maintenance/safekeeping.
d.
Logbook
data shall be based on the
DTS
. In case of outgoing documents in connection with a document sent by an originating office, the IDM number for the reply memorandum shall also be reflected in the logbook.
e. The status portion of the
releasing logbook
shall be applicable only for outgoing documents where the department is the originating office. Subsequent actions regarding the document shall be indicated in this portion, i.e. tracer sent.
3. Monitoring of Documents by Originating Office
3.1 Monitoring of the status of documents shall be the responsibility of the originating office.
3.2 A
Weekly Status of Documents for Actions
(Exhibit 8) shall be submitted by the records officer to the head of office. This shall cover documents issued by the department as the originating office and those where the department is a concerned department for document sent by another originating office and those where the department is a concerned department for document sent by another originating office. This shall serve as basis for follow-up, tracers, responses to follow-up by other originating office, information as to status of documents within the department, etc.
3.3 Follow-up shall be made by the originating office thru telephone or personal queries. In case of failure to get the required action, a
tracer
(Exhibit 9) shall be sent to the concerned department/office requesting a feedback on the status of the document within a given deadline. Failure to respond to the endorsement of the matter to the official with supervisor authority over the defaulting department/office.
3.4 After the requested action had been effected, the
DTS
shall be turned-over to the originating office for reference.
III. RESPONSIBILITIES
IV. FLOW CHART
A. NFA COMMUNICATION SYSTEM
A.1
INCOMING
A.2
OUTGOING/FOR DISSEMINATION
A.3
INCOMING/OUTGOING RADIO/TELEX/FAX MESSAGES
Top Page
EXHIBITS
Official Radiophone Message Form
DFD-Incoming/Outgoing Radio/Telex/FAX Messages
DFD-Outgoing/Dissemination
Internal Communication Format
Measures to be Adopted re: Mail Transmittal System
Proposed SOP on NFA Communication and Document
Tracking System
Central Office Codes
Document Tracking Slip (DTS)
DTS Tracer
Weekly Status of Documents for Actions (DTS)
Receiving Logbook
Releasing Logbook