RECORDS MANAGEMENT they may be located when they are wanted.

IMPORTANCE MANAGING OF FILES

Records – are the memory of any business organization
1. In filing, the emphasis is more upon “finding” rather than the “storing”
- Maybe any material thing which serves to perpetuate or preserve
aspect.
knowledge of acts, events, facts, or ideas.
2. The safekeeping of records is important, but being able to find them
- Are any written or graphic material related to the business which
promptly, when needed, is more important.
reflects the activities of any office e.g. material in active use and
3. Remember needed paper when lost or misplaced can delay the work
in storage like reports, legal documents and other administrative
of a dozen employees or even the entire office.
documents.
4. Establishing and managing an effective system and arranging the
- Published matter like books, magazines and newspapers are not
records that an office must maintain, and placing them at their proper
considered as records
locations, will help promote operational efficiency in the office.
Why must RECORDS be managed?
Objectives in Filing
1. To regulate the great volume and variety of documents and papers
- Simplicity
currently received and created in transacting business.
- Economy
2. To provide methods to ensure prompt attention, rapid movements,
- Efficiency
guide finding, safe storage and proper disposal of documents and
Purposes of Filing
papers.
1. To make records available when they are needed whether for
3. To control and reduce cost of paperwork.
reference or evidence
WHAT IS FILING?
2. To keep all related materials together so that the history of the
- Is the process of classifying & arranging of the records in
dealings of one office with other offices or individuals will be available
systematic way so they will not only be safely stored but also
in one place.
quickly retrieved or located when needed
3. To provide permanent and safe place for records of business
- Another definition is the placing of papers in acceptable
information and transactions during the time the records are not in
containers according to some pre-determined arrangement so
use.
that any paper, when required, can be located speedily an
conveniently
Different Kinds of Filing System
- A simple definition is – the system arranging and storing safely
1. Alphabetic Name File (by name of individual or organization)
business papers in a neat, orderly, and efficient manner so that
- Records that are referred to by name of an individuals
 organization be arranged by name in strict alphabetic sequence be handled on a chronological plan.
or successive continuity - Advantages of this plan:
- Correspondence from individual representing an organization 1. It is very simple
should be arranged under the name of the organization 2. Filing is easy
2. Alphabetic Subject Title (by subject) 3. It is convenient reminder of unfinished work
- Records which are referred to by the subject matter they contain Types of office records to be filed
should be arranged alphabetically by subject title or caption. 1. Administrative Files – a file material related to overall policy,
- All records on a particular subject should be kept together in as mission of organization, direction of the office, including management
much as each related fits somewhere to complete a story. improvement programs, formal rules and regulations, guides,
3. Alphabetic Location File (by geographic location) maintenance of service, supplies and other administrative matter
- Records which are referred to by geographic location should be which have no direct bearing on the operation of the office.
alphabetically arranged by location name which may by country, 2. Personnel Files – any paper containing the service appointment and
region, province, city, municipality, barrio or barangay. the other records related to the individual employees.
4. Numerical File (by the number assigned to record) 3. Legal Files – consist of administrative case of personnel land cases,
- Record which are identified by numbers assigned to them and civil cases, investigation records and the like.
are referred to by their respective number should be arranged in 4. Supply Files – consist of any record of supplies, equipment,
numerical sequence. purchases, contract, etc.
- A numerical file is often used for records pertaining to bank 5. Fiscal Files – materials on budget preparation, submission of
checks, invoices, insurance policies, presidential decrees, tax allotments and control of funds.
declaration, and the like. Tools in File Operation
5. Chronological File (by the date of records) 1. Folders & fasteners
- Records to which primary reference is made by date of the 2. Charge-out cards
record should be filed chronologically (in order of time) by year, 3. Requisition slip
month, or day as reference indicates. 4. Tickler file or follow-up file
- The chronological filing system simply arranges material 5. Sorting table & rocks
according to it’s time sequence, that is, month or weeks are its 6. Stapler
main division with days for its subdivisions. 7. Filing cabinets and shelves
- Some correspondence, bills, and pending accounts payable can 8. Tapes
 SELECTING THE APPROPRIATE FILING SYSTEM
Characteristics of a good filing system
- A filing system can only be good if it is tailor-made to fit the
condition or situations prevailing in a particular organization
- Filing system is good if it can meet the three point success
formula of efficiency, economy, and simplicity.
STEPS IN FILING
How to prepare the material to be filed
Incoming correspondence one received should be time & date stamped and
given to proper person for action
1. Inspecting –
- inspect the material to make sure it has been released for filing
- Look for a special mark as release signal like the world FILE plus
the initials of the person releasing it.
2. Indexing
- The name by which correspondence or record is most likely to be
requested from files
- Determine the most likely the heading under the paper to be filed
The possibilities are:
1. Name of on the letterhead
2. Name addressed
3. Name in the signature
4. Name or subject included in the paper
5. File or reference number
- There are rules for alphabetic indexing that should be followed.
3. Cross Referencing
- used when it is difficult which of two or more name is important
- is accomplished by filing the original under one name and cross
reference sheet under the other
- For cross referencing, you may use cross-reference sheets, or plain
sheets of paper or a paper with distinctive color.
- You may consider cross-referencing under the following situations:
a. when some word other than the first in a company pr situation
name clearly indentifies the organization. E.g.: University of San Carlos would
be filed as written but should be cross-referenced to San Carlos University.
b. when it is difficult to decide which part of an individual’s name is
the surname. In the case of Manolo Herbert you might index the name as
normally written and use a cross-reference under a transposition of the name.
c. when an organization is better known by initials than by its
complete name, material should be filed under the complete name then cross-
reference to the explanation, like:
National College of Business and Arts
Cross Reference
NCBA
See: National College of Business and Arts
d. when a record is likely to be called for most often by subject ,
should be files under the subject caption but cross-referenced to individual or
company name
e. when a difficult name is indexed, you may use a cross-reference
f. when a married woman is indexed, you may use the maiden name
as the original file but cross-referenced it under the married or legal name.
4. Coding
- Underline or encircle the caption to be used on storing
- This is marking the file to indicate how they have been indexed
- Coding highlights the indexing caption and thus speeds up filing
- For alphabetic coding, the indexing caption may be check
 marked.
- For numeric coding follow these three steps:
a. Selecting the name under which paper is to be filed
b. Referring to the card index to determine the number to be
assigned
c. Marking the number in the upper margin of the paper
- For subject coding follow these steps:
a. Write the subject in the margin of each record
b. Re-sort in each category for more exact sequence
c. Assemble all the materials in proper sequence
5. Filing or Storing
- This is the final step in manual filing which is placing the papers
in appropriate containers usually file folders.
- The papers are place din the proper folders in the filing cabinets
- Follow these procedures:
a. Punch hole s in the paper to be filed
b. To insert material, lift the folder out of the file drawer in order
to make sure you have the correct folder.
c. Insert the paper evenly
d. See to it that the material you are inserting is in correct
sequence in the folder.
e. Avoid overcrowding the folder. Overcrowding extends
records beyond the top edge of the folder, causing torn
edges; it also pulls the back of the folder down and hides the
caption.
Some Useful Reminders when Filing
Removing Attachments
1. Paper clips, rubber band, and other such attachments should be
removed from papers before they are filed.
Arranging Drawer Space
1. Paper clips, rubber band, and other such attachments
should be removed fom papers before they are filed.
2. Guides and folders should not be pulled out the files by their
tabs. The tabs are not handles and will soon be worn out if so
used for pulling out folders.
3. Adjust the “follow block” when the file drawer begin to sag.
Proper positioning of the drawers compressor helps to keep
folder upright in a drawer
Retrieving or Finding Materials from Files
1. If papers have been properly prepared in filings and if they have been
carefully laced in the correct file orders and in the right drawers,
finding them when they are needed would be a simple ad easy
matter.
2. However, al records removed from the files should be recorded,
especially if the files are used by many different people.
3. Chargeout procedure should be carefully followed
How to Search for Missing Files
The following clues help to uncover misfiled papers.
1. On someone’s desk?
Look first through your own desk when tracking a misplaced record.
 Then the executive’s. Still not there? Look in the “FOR FILING”
folder.
2. The folder before the one behind the right folder? Prepared by: Group 2 BS Psychology 3A
Look into the folder immediately behind the folder in which the paper
belongs. This type of filing error usually occurs.
3. Between of under folders?
Look between the folders on either side of the folder in which the
missing paper should be. Not there? Then look under the folders.
Single papers and even folders have been known to slip gradually
under the other folders when the guides are not attached by a rod.
4. Transposition of Names
Some names such as Danilo Manuel, are easily transported. A letter
to Danilo manuel Enterprises may turn up in the Danilo folder.
5. Similar Names?
Look under similarly spelled names. The Joans paper maybe in
Jones, Johns,Joens, or even Janes.
6. Cross-references
Look under the cross-reference. Original may sometimes be filled
with cross references folder.
7. Paper Clips
Paper clips have a way of picking up neighboring papers. This is one
of the reasons you are advised from the start not to use paper clips.
8. Ask your boss
If all the solutions were made and still you can’t find the record, ask
your boss. He might have taken it and brought it home without
informing you.