Effective documents filling system


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Effective documents filling system

  1. 1. Dr. Gambari, A. Isiaka E-mail: gambari@futminna.edu.ng Website: www.gambariisiaka.com Blogsite: www.drgambari.com EFFECTIVE DOCUMENTS FILLING SYSTEMS A Paper Presented at a 3-Day Workshop on Productivity Enhancement For Secretaries, Held at Edgedrive Hotels, Lokoja, Kogi State. 28th October – 1st November, 2013
  2. 2. Objectives  At the end of this presentation, you should be able to:  Explain the Importance of record keeping in the office;  Identify various types of records;  Describe information processing cycles;  Explaining the importance of filling documents  List some essentials of good filling system  List and discuss pros and cons of different methods of filling  Explain the record cycle  Storage and security of records jharun@utm.my 2
  3. 3. What is a Record?  Record is a written account of an event about individual(s), things or place.  a written document about an action that has already taken place or an event that will happen in future.  Records are made up of information pertaining to the series of purchases and sales records, contract deed etc. jharun@utm.my 3
  4. 4. Cont…  A larger percentage of the working time of the office personnel are usually occupied with office records.  The most important aspect of keeping record in the office is for decision making as well as for future reference.  Management, means the act of proper utilization of resources both human and material towards achieving the organizational goals and objectives. jharun@utm.my 4
  5. 5. The Importance of Record Keeping in the Office  (a) It enables the management to ascertain the present status of the institution/organization and to be able to project into the future, e.g. staff strength, expansion of the business, etc.  (b) Financial position of the organization is determined.  (c) Records kept in the office serves as a guide during the transfer of baton.  (d) It provides information about the employee such as qualifications, date or birth, salary grade levels, promotion and demotion and so on. jharun@utm.my 5
  6. 6. Cont…  (e) It enables the organization to know its financial obligations such as those it is indebted to and those that are indebted to the organization or institution.  (f) To make comparison from period to period, e.g., profit margins of different product lines or the performance of different firms operating in the same line of business.  (g) Records kept in the organization help to facilitate the detection of errors, frauds and wastes. jharun@utm.my 6
  7. 7. Various Types of Records  (i) Financial Records: These types of records deal purely with figures such as sales, purchases, provision of services, annual reports and financial statements about the organization etc.  (ii) Record of Deeds: This includes tenders, contract agreements, execution  (iii) Personnel Records: The staff records include employment, emolument promotions, termination, retirement etc.  (iv) Students Records: These include admission, registration, examination, graduation, expulsion etc jharun@utm.my 7
  8. 8. Cont…  (v) Letters of enquiry, invitation, facilitation, excursion etc from customers and companies/organizations and/or to outside institutions.  (vi) Academic records for monitoring students’ progress  (vii) Medical Records for patients which entails the medical history of the concerned individual  (viii) Records Pertaining to vehicle Registrations can be found in the incensing offices across the federation.  (ix) Records about land development and physical structures are found in the land offices jharun@utm.my 8
  10. 10. Information Processing Cycles  This is a chain of activities involves in getting raw data converted to refined information that would be ready for final consumption.  Processing cycle involves the following:  (a) Input: This is an act of getting raw data/facts into the computer system by way of typing with the means of keyboard.  (b) Processing: Is that of refining the raw data or pieces of facts that had earlier been keyed into the computer system through some manipulative functions. jharun@utm.my 10
  11. 11. Cont…  (c) Output: This is the piece of refined information or document gotten as a result of series of processing activities that had been performed on the system.  (d) Distribution: Means passing the already processed information to the needy persons, bodies or organizations etc for decision making and policy implementation  (e) Storage and Retrieval: By ensuring safety of the already processed information for future need or reference whenever the need arises. jharun@utm.my 11
  12. 12. jharun@utm.my 12
  13. 13. What is meant by Filing?  Filing is a process of systematic classification and arrangement of records so that they can be kept safe and be obtainable or retrieved with minimum delay for decision making whenever the need arises. jharun@utm.my 14 1
  14. 14. Importance of Filling Documents (i)security and preservation of documents over a very long period of time. (ii) It enables the information to be made readily available when the need arises. (iii) It ensures that information are only gotten through the right channels. (iv) It tells about how well organized the institution or organization concerned is. (v) It helps in safeguarding the assets of the organization. jharun@utm.my 15
  15. 15. Essentials of Good Filling System  (a) Compactness: Files must not occupy spaces unnecessarily, for office spaces are very costly and invaluable.  (b) Accessibility: The location of files must be made easily reachable; one should not resort to the use of ladder or table before gaining access to a particular files or document.  (c) Simplicity: The system chosen should be made simple for employees to understand without much stress. Even, a new employee should be able to comprehend the system without any stress. jharun@utm.my 16
  16. 16. Cont…  (d) Economy: This is to say that, any system adopted must not be too costly either to install or to operate.  (e) Elasticity: The system to be adopted should be able to accommodate more files as the organization concerned grows and more files are opened.  (f) Location: The files should always be located with minimum delay at all times. i.e by devising the use of index and other guiding means.  (g) Classification: The most suitable method of classification should be considered and employed for example; central or departmental filing as the 17 jharun@utm.my situation may demand.
  17. 17. Methods of Filling  Alphabetical Filling;  Numerical Filing;  Geographical Filing;  Subject Filing;  Chronological Filing; jharun@utm.my 18
  18. 18. Alphabetical Filling  (1) Alphabetical Filling: e.g A, B, C, D, etc  Advantages (i) Convenience in grouping by the names or captions that can be found on the individual files. (ii) very simple and easy to understand (iii) It gives a useful provision for miscellaneous files  Disadvantages (i) Require much time to locate a particular file at times in a big organization (ii) It is usually very difficult to forecast space required to accommodate a particular alphabet (iii) Misplaced file may cause confusion and much time to trace (iv) Similarity in names can result into confusion jharun@utm.my 19
  19. 19. Numerical Filing  Numerical Filing: With numerical method, each folder is given a number and the folders are arranged and stored in strict numerical order.  Advantages (i)There is greater accuracy in filing documents (ii) The index is complete list of the files and can be used for other purposes (iii) The files numbers can be used as reference in letters (iv) This method of filling does not take much time to be understood by the new comer.  jharun@utm.my 20
  20. 20. Cont…  Disadvantages (i)More time is usually required in reference to the index cards (ii) Files for miscellaneous papers are not so easy to arrange. (iii) The cost of index and space take up might be enormous (iv) Transposition of figures would cause a lot of problem e.g 12334 instead of 12324. jharun@utm.my 21
  21. 21. Geographical Filing  Geographical Filing: The geographical method of filling broadly categorizes files according to place, town or location of correspondence.  Advantages (i)Convenience in locating files once the geographical location is known (ii) Direct filing is always possible (iii) One get know easily geographical area house his volume of customers.  Disadvantages (i)Problems exist where the filling clerk has a poor knowledge of geography (ii) There may be need for indexing jharun@utm.my 22
  22. 22. Subject Filing  Subject Filing: This method is the grouping of files together according to the subject matter or by topical name of the correspondence in question.  Advantages (i)There is always room for unlimited expansion of files (ii) Convenience for reference if the subject is known (iii) It provides complete information about a particular subject.  Disadvantages (i)Difficulty in classifying documents (ii) Liberal cross reference may still be required jharun@utm.my 23
  23. 23. Chronological Filing  Chronological Filing: is the placing of individual papers in files according to their dates of receipt.  Advantages (i)The method is quite simple if the dates are known or remembered (ii) This is good for overall classification, for example, correspondence could be separated based on different years.  Disadvantages (i)The method could be unsuitable if dates are not known or remembered (ii) Incoming letters might have to be separated from the outgoing files. jharun@utm.my 24
  24. 24. What is Indexing?  Indexing is a device put in place in order to facilitate the location of record kept in different files.  The index may be kept separately from the record to which it refers to.  Alternatively, the other hand that is to say the records themselves may be so arranged as to be self-indexing. jharun@utm.my 25
  25. 25. File follow-up  FFU means the act of seeing that the file is being attended to by the officer(s) concerned and all the necessary actions are taken on the file.  Justification (a) To avoid a file waiting for too long without being attended to. (b) This will minimize the loss of files. (c) If the file is to be seen by more than one personnel, it will certainly quicken the process and a few more. jharun@utm.my 26
  27. 27. The Record Cycle  As the name implies, this is the 3600 of the records either generated within the office or that are received by the office in order to ensure successful running of the entire organization. This is further divided into five segments known as follows: 1. Creation 2. Survey and Use 3. Storage and Retention 4. Transfer 5. Disposal jharun@utm.my 28
  28. 28. 1. (a) (b) (c) (d) (e) jharun@utm.my Creation Who Creates Office Records? Where Are The Records Created? When are Record Created? How are Record Created? Why are Record Created? 29
  29. 29. 2. Survey and Use  In order to manage a department very well, a manager must be acquainted with the personnel, equipment and information system for which he or she is responsible.  Hence, he must be able to manage the records under his jurisdiction, especially very important ones operating at the inter-departmental channels. jharun@utm.my 30
  30. 30. 3. Storage and Retention  This entails, the type of record that should retained and also for how long. This aspect is further divided into four classes, namely:  (a) Vital Records: Records that cannot be replaced if carelessly misplaced. E.g., certificate of registration of business, legal documents, tax returns and many more, hence, must be kept in very active storage; jharun@utm.my 31
  31. 31. Important Records  (b) Important Records: Are records that are very necessary for the orderly running and continuation of the business. When such document get missing, they could only be replaced after considerable difficulty, time and money, examples of such documents are financial statements, sales data, purchases records etc. these may be transferred to inactive storage. jharun@utm.my 32
  32. 32. (c) Useful Records:  (c) Useful Records: Are records that are useful for the smooth and effective operations of the business or organization. Such record are replaceable, but their loss would bring some delay and inconvenience for the organization. Example of such records are business letters, interoffice memos, banks statements and a few more. jharun@utm.my 33
  33. 33. (d) Non-essential Records  (d) Non-essential Records: Are records that have no predictable value for the future of the organization. Once the purpose for which they were meant have been fulfilled, such records can be destroyed. Examples are simple acknowledgements, public holiday notices, and season’s greeting and so on and so forth. jharun@utm.my 34
  34. 34. 4. Transfer  There are two methods of transferring files from active storage to inactive storage.: (i) The perpetual method, meaning constant transfer of materials from active storage to inactive storage. (ii) the periodic method, which has to do with transfer of records from active storage to inactive storage at specific intervals e.g quarterly, half a year or on annual basis. jharun@utm.my 35
  35. 35. 5. Disposal  This is used to indicate the final action that has been recommended on the retention schedule for a particular record, i.e vital, important, useful or non-essential records.  Retention schedule  (a) Inactive records: If a record is referred to less than fifteen times in a year, it is said to be inactive.  (b) Semi-active record: If a record is used twice in a mouth, it can be considered as semi-active and should be stored in a less accessible drawer.  (c) Active record: If a record is used three or more time a mouth the record is considered to be active. jharun@utm.my 36
  37. 37. Storage  This is an aspect of keeping documents or other equipment in a safer place so as to avoid wastage or spillage.  Today, there are several systems available to offices and organizations such as: Computer system, Flash, Handset, CD-ROM, etc. jharun@utm.my 38
  38. 38. Computer system  Computer system is the electronic machine that is capable of receiving data as raw input and be able to process the data at a very fast rate and then provide result as an output.  Advantages (i)The information or document can easily be assessed once the file name is known. (ii) The system does not occupy too much flow space like is the case with cabinets. (iii) The documents can be preserved over a very long period of time, as far as the system remains functional. (iv) It can only be assessed by the authorized individuals jharun@utm.my 39
  39. 39. Cont…  Disadvantages (i)The system is liable to attack by the virus unless anti-virus is installed. (ii) It is susceptible to fire or water (iii) Unavailability of power or UPS would make the document not accessible (iv) Any information that is not backed up could be lost forever. jharun@utm.my 40
  40. 40. (b). Flash  This is small object that is used to copy and transfer information from one computer system to another system within the same environment or over a distance without much stress.  Advantages (i)It is very portable or convenient (ii) Document can be reproduced over a distance without much stress (iii) Some do possess large memory capacity (iv) It is usually affordable jharun@utm.my 41
  41. 41. Cont…  Disadvantages (i)It is prone to attack by virus (ii) It is liable to theft or loss (iii) It is susceptible to destruction whether by water or excessive heat jharun@utm.my 42
  42. 42. (c). CD-ROMS  This is a small round plastic plate also used in copying information from one computer system to another system. Sometime, this is equally designed by the manufacturer or the computer itself housing certain information about the programs incorporated in the system.  Advantages (i)It has some level of durability (ii) Immune to virus attack (iii) It is very portable (iv) Not too expensive jharun@utm.my 43
  43. 43. Cont…  Disadvantages (i)It is prone to theft or loss (ii) It is very fragile (iii) Can easily be destroyed through excessive heat or five (iv) Any crack on it could render it unusable. jharun@utm.my 44
  44. 44. (d). Office Files  These are folders made up of paper material that are used to house document in the offices and also to convey written documents from office to another.  Advantages (i)It is costless (ii) It had durability (iii) Can easily be comprehended by low level educated personnel (iv) Has one hundred percent virus immunity. jharun@utm.my 45
  45. 45. Cont…  Disadvantages (i)So much floor space is usually up e.g file cabinets. (ii) Can attract so such dust most especially when not constant use (iii) Can be destroyed by water or fire (iv) It is subject to misplacement or theft. jharun@utm.my 46
  46. 46. (f). Handset  This is an object used for communication between individuals over a distance.  At the same time the handset has the facilities to store certain information such as text messages, record voices, videos and a few more.  Some handsets can be backed up with the aid of memory card in order to be able to store very large volume of information such as project, seminar (USB) etc. jharun@utm.my 47
  47. 47. Cont…  Advantages (i)It is very portable (ii) Ensures security of information, because it cannot easily be comprehend by all (iii) Some do possess very large memory capacity (iv) It could be supported by external memory aid.  Disadvantages (i)It can easily be misplaced, lost, damaged or even stolen. (ii) Some could be very expensive (iii) Low battery charge can mars its operation. jharun@utm.my 48
  49. 49. Security  In a layman language, security means freedom or protection from danger, threat, theft or worry.  So security of document means measures adopted by individuals, institutions or organization to safe-guard their documents or equipment from falling into the hands of the unauthorized persons.  However, there are several security measures that are available to organization as per how to keep records very safe from unauthorized individuals. jharun@utm.my 50
  50. 50. Security Measures  Among such measures are: (i)Very sensitive documents must be secured under lock and key. (ii) Separate store could be created to house certain sensitive documents with reasonable security (iii) Trust-worthy persons should be charged with the responsibility of looking after certain category of documents. (iv) Use of passwords should be encouraged while filling records on the computer system. (v) Unauthorized pertaining to some individuals or organization and a many more jharun@utm.my 51
  51. 51. Securing Electronic Documents  Computer virus is a great threat to electronic documents  A computer virus is a computer program (codes) that can replicate itself and spread from one computer to another.  A Virus is not a program itself but is computer code that is written into a legitimate document or program. jharun@utm.my 52
  52. 52. Virus Properties  Your computer can be infected even if files are just copied  Viruses can be polymorphic  Viruses can be memory/Non memory resident  A virus can be a stealth virus (attach themselves to files on the computer, and then attack the computer)  Viruses can carry other viruses and infect a system, and infect with the other viruses as well  Viruses can make the system never show outward signs (hide changes made) jharun@utm.my 53
  53. 53. Cont… Viruses can stay on the computer even if the computer is formatted Avoiding bait files and other undesirable hosts (file created by anti-virus software) jharun@utm.my 54
  54. 54. How Viruses May Infect Files  Viruses can infect any files, however they usually attack .com, .exe, .sys, .bin, .pif or any data files.  Viruses can increase the file’s size  Viruses can delete files as the files are run  Viruses can corrupt files randomly  Viruses can convert .exe files to .com files  Viruses can reboot the computer when a file is run  Polymorphic properties (replicate itself) jharun@utm.my 55
  55. 55. Various Kind of Viruses  (i) Trapdoor: it attack a computer through bypassing normal protection mechanism. Via software update.  (ii) Logic Bomb:  This is an insider attack in a code segment and is written by an employee in which after sometimes if its password is not supplied, the program explodes.  (iii) Trojan horses:  Trojans is one of the ways a hacker can gain access to a target system. jharun@utm.my 56
  56. 56. Cont…  (iv) Worms: A computer worm is a lot like a virus, it spread from computer to computer via networks.  (v) Zombie Is an independent program that secretly takes over a system and uses that system to launch attacks on other systems  (vi) Bacteria A program that repeatedly copy itself which do not seem to cause any harm to the system but rather consume resources by delaying its functions e.g. DOS attack. jharun@utm.my 57
  57. 57. Ways to Avoid Viruses  Install Quality Antivirus  Install Real-Time Anti-Spyware Protection (antispyware programs are required to prevent infections and fully remove those infections already present.)  Don’t be tricked into downloading malware  Keep your anti-malware and computer up to date  Perform daily scans  Disable autorun  Turn on the firewall (to filter unwanted documents).  Surf smart jharun@utm.my 58