Effective Records Management - Files Management

7/28/2019 Effective Records Management - Files Management

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Fe Angela M. Verzosa 1

Files Management


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Files management -ensures control at the file level

Files management ensures that recordsrelating to a specific activity or subject are

securely maintained together in one file.

This enables effective decision making andalso ensures that the sequence of actionscan be reconstructed, that is what happened,when, who did it, why.


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Files management

Filing involves

*Arranging records accordingto a simple, logical system* Placing records in a storagecontainer in correct sequence*Retrieving the records sothat they can be used


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good filing systems

contain complete and comprehensive files therebyenabling effective decision making

provide integrity and continuity regardless ofchanges in personnel

facilitate protection and preservation of records provide low cost and efficient maintenance of

records

reduce the possibility of misfiling and reduceduplication mean less time spent searching for files and

documents


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Files management

Filing systems

Filing Rules

Files Equipment

Computer

Applications


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Filing systemsprovide only the

mechanical structure

for arranging records.

inadequacies of filing stem

from human failing, not

system failure.

most suitable system should

be applied to a particular

type of record, uniformly.


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Simplicity

Flexibility /

Expansibility

Adaptability

CRITERIA of a good filingsystem


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Filing methods

numerical

alphabeticfunctional

geographic

form

chronologic


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Numerical System File units are placed in numerical

sequence Originated from the registry system,

used particularly in accessioningcorrespondences. Unsuited to handling name files. Ideally useful for case files (file units

containing all documents pertaining to aparticular transaction, usually developedin legal or business records.


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Alphabetic System

File units are placed in alphabetical sequence. First used to arrange records relating to persons, then

gradually to records relating to subjects.

The system may be modified to group records related bya common subject by:*standardizing subject headings*subdividing the main subject headings

Other alphabetical filing systems are:*Alpha-numeric - uses letters to designate main subject

headings and numerals for subordinate headings*Mnemonic - uses alphabetical symbols to denote

subordinate headings.


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Functional Filing System

Records are the result of functions and are usedin relation to them

Records should then be grouped and maintained

according to the functions to which they relate. The functional categories will reflect theorganizations purpose, mission, programs, projectsand activities.

Every office or department within an organization

has a function and these functions are generallycarried out through a series of major programs. These major programs are often divided into

subprograms until one gets to the individualproject level.


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Other Filing Systems Geographic Filing: files records by

location or place first, followed by thename or subject.

Forms : groups records according totheir format or type (e.g. minutes, reports,invoices, receipts)

Subject Filing: places records undersubject classification. Chronologic Filing: files records by year,

month, and date


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Codificationnumeric alpha duplex alpha- subject decimal

numeric numeric numeric

personnel 100 A 3 A PER 1.

employment 110 Aa 3-1 A/1 PER-1 1.1

recruitment 111 AaA 3-1-1 A/11 PER-1-1 1.1.1

appointment 112 AaB 3-1-2 A/12 PER-1-2 1.1.2

promotion 113 AaC 3-1-3 A/13 PER-1-3 1.1.3demotion 114 AaD 3-1-4 A/14 PER-1-4 1.1.4

separation 115 AaE 3-1-5 A/15 PER-1-5 1.1.5


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Procedures in Filing

indexing by card or register

coding by writing symbols or captions, orhighlighting indexed name or subject sorting by tray, pigeon-hole, or

multi-sorter

filing


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Common filing problems

too many filing places everybody a file clerk files disorderly; show no particular plan or

arrangement system does not fit the way material is called for some records seem to belong under more than one

category

filing decisions erratic or inconsistent bulging folders accumulation of unnecessary or personal records


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Common filing problems

related records are filed under differentcategories

the retrieval rate is poor (inability to locate the

required document quickly) missing and misplaced documents mean too muchtime spent looking for files

a high level of duplication exists

users are setting up personal records systems incomplete files and backlogs of unfiled recordsexist

filing cabinets are jammed with files bulging with

documents


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Improve your filing

Begin each calendar year with a new set of files

Files should not exceed thickness

Dedicate time each week for filing to prevent

backlog Avoid filing extraneous unnecessary duplicate

copies

Avoid tightly jammed files Safeguard access and confidentiality of records


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When to create new files

a new function, subject, activity or projectis commenced or

an existing subject, activity or project is

further developed and needs to be splitacross several files

an existing file becomes too large and a

new part is required no existing file is appropriate for thedocument(s)


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Training Personnelreceiving and opening mails

placing mail/other papers in

correct files

extracting and replacing files opening/creating new files

indexing & cross-referencing

keeping a record of file

movements retrieving lost/missing files

destroying/disposing files

retiring non-current files


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Contact [email protected]

Questions?

Documents

Effective Records Management - Files Management