This document discusses files management and provides guidance on creating and maintaining effective filing systems. It emphasizes the importance of files management in enabling effective decision-making and reconstructing sequences of actions. Some key points covered include common filing methods, criteria for a good filing system, organizing and classifying records, file structures and codification, filing equipment, training procedures, and addressing common filing problems. Tips are provided such as exploring filing options, keeping systems simple, dedicating time for filing, and communicating the filing process as a team effort.

1. Files Management

2. Files management - ensures control at the file level Files management ensures that records relating to a specific activity or subject are securely maintained together in one file. This enables effective decision making and also ensures that the sequence of actions can be reconstructed, that is what happened, when, who did it, why.

3. Files management Filing involves Arranging records according to a simple, logical system Placing records in a storage container in correct sequence Retrieving the records so that they can be used

4. good filing systems… contain complete and comprehensive files thereby enabling effective decision making provide integrity and continuity regardless of changes in personnel facilitate protection and preservation of records provide low cost and efficient maintenance of records reduce the possibility of misfiling and reduce duplication mean less time spent searching for files and documents

5. Files management Filing systems Filing Rules Files Equipment Computer Applications

6. Filing systems provide 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

7. CRITERIA of a good filing system… Simplicity Flexibility / Expansibility Adaptability

8. Filing methods numerical alphabetic functional geographic form chronologic

9. Numerical System File units are placed in numerical sequence Originated from the registry system, used particularly in accessioning correspondences. Unsuited to handling name files. Ideally useful for case files (file units containing all documents pertaining to a particular transaction, usually developed in legal or business records.

10. 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 by a 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.

11. Functional Filing System Records are the result of functions and are used in relation to them Records should then be grouped and maintained according to the functions to which they relate. The functional categories will reflect the organization’s purpose, mission, programs, projects and activities. Every office or department within an organization has a function and these functions are generally carried out through a series of major programs. These major programs are often divided into subprograms until one gets to the individual project level.

12. Other Filing Systems Geographic Filing : files records by location or place first, followed by the name or subject. Forms : groups records according to their format or type (e.g. minutes, reports, invoices, receipts) Subject Filing : places records under subject classification. Chronologic Filing : files records by year, month, and date

13. Organize…. Knowing where and what your documents are, is just as important as where your file cabinets are and what is in those.

14. Classification Grouping information together Cars, food, clothing Content and function Based on an organization’s business functions and activities

15. We do it all the time For example, we classify CARS: Chevrolet SUV Suburban 2004 White and so on….

16. Another example Permits Building Permits 2008 Building Permits Specific Address/Site Grouping information together makes it easier to file, search and manage!

17. Codification numeric 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 1.1.3 demotion 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

18. Attendance & Leave Records Attendance & Leave Records 2009

19. File structure example GS03030 2009 2009 2009 2009 John Jane Joey Attendance & Leave Records

20. Next level Jane Time Sheets Joey Time Sheets John Annual Leave Jane Annual Leave Joey Annual Leave John Sick Leave Jane Sick Leave Joey Sick Leave John Time Sheets 2009 2009 2009 2009 2009 2009 2009 2009 2009

21. Another example

22. You can also… Purchase Orders Field Order Files Purchase Requisition Invoice Vouchers Printing Requisition Cash Advances Travel Expense Payments Inter-Agency Billing Encumbrance & Liquidation 2009 2009 2009 2009 2009 2009 2009 2009 2009

23. File structure example GS10003 2009 2009 2009 2009 Organization Charts Annual Reports Correspondence Executive Level Subject Files

24. You can also… 2009 Agency Division Reports 2009 Agency Division Correspondence 2009 Agency Division Meeting Minutes 2009 Financial 2009 Incoming 2009 Committee A 2009 Legal 2009 Outgoing 2009 Committee B

25. Files Equipment made of steel compact and space-efficient allowance for easy extraction & replacement of files mobile proximity to authorized personnel

26. Training Personnel receiving 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

27. Procedures in Filing indexing by card or register coding by writing symbols or captions, or highlighting indexed name or subject sorting by tray, pigeon-hole, or multi-sorter filing

28. F I L I N G problems

29. 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

30. Common filing problems related records are filed under different categories the retrieval rate is poor (inability to locate the required document quickly) missing and misplaced documents mean too much time spent looking for files a high level of duplication exists users are setting up personal records systems incomplete files and backlogs of unfiled records exist filing cabinets are jammed with files bulging with documents

31. When to create new files… a new function, subject, activity or project is commenced or an existing subject, activity or project is further developed and needs to be split across several files an existing file becomes too large and a new part is required no existing file is appropriate for the document(s)

32. Improve your filing… Begin each calendar year with a new set of files Files should not exceed ½ 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

33. Reminders… Explore your options, and adapt to best serve your office needs and use Keep it as simple as possible Take time to fully develop file structures using what is already familiar Have patience, and be sure to take time to train and educate file creators and users

34. Take a deep breath You can do it!!

35. Communicate! Records management is a team effort Remember to consider future needs and address ongoing issues like maintenance, continuity, and consistency from the beginning – no excuses, and remember “human error happens” More Taming Tips

36. IF the records are vital… Scan away, and transfer the original docs to a permanent storage

37. You are done! Congratulations!

38. Contact fe.verzosa@dlsu.edu.ph Questions?