Filing Procedures
The following parameters have to be addressed for 5S audit regarding
documents filing procedures:
a) Filing design
1) Master file list to ensure the response time of retrieval for continuously
improve the work efficiency.
2) The following Headers will be adhered for the master list of files.
S.No. File No. File File User Location Start File
name type (FF restriction date / disposal
/ BF / year period
LF)
b) File numbering
BUSINESS | LOCATION-DEPT | PROCESS | SUB-PROCESS | SERIAL NO. |
YEAR
1) BUSINESS (4 letter abbreviation to be followed) : Corporate (CORP), Fertiliser
(FERT), Pesticides (PEST), Retail (RETL).
2) LOCATION-DEPT (state as appropriate)
Example for Corporate Office: CORP|SEC-HR
Example for Kakinada Plant: FERT|KKD-FIN
3) PROCESS & SUB-PROCESS
Meaningful classification and understanding of work areas.
Draw reference from SOP / Operations Manual, HR Process Manual etc.
Evolve a meaningful abbreviation of Process and Sub-Process in not more than
4 letters.
Example for Accounts, Bills Passing: ACCT|BPS
4) SERIAL NUMBER (please follow 3 digit serial number)
Example 001
5) YEAR (Please follow 4 digit year format and state the year of opening the file.)
Example 2009
The details mentioned in _____ to _____ shall be incorporated on the file in the
following manner:
c) File Spine (visual)
The file number will be placed in the center of the file spine along with colour
codification for frequency of usage and department.
Example: FERT|Viz-OPRN|SAP1-MIS|001|2009
d) File Front (visual)
1) To ensure the visual control of Files with restricted access as per policy of the
Company / as decided by the HOD shall be marked ‘Confidential’ in RED on the
top right corner of the file.
2) The following details shall be incorporated at the bottom of the file.
File Number
Date of Opening
Date of Closure
Date of Disposal
3) Standardized file labels (subject, year & file no.).
4) Colour code if any, for identification of user department (To be retrieved within
a minute & avoiding mix-up of files).
e) Filing storage
The filing storage is classified on the following based on its usage and its
frequency:
S.No. Classification Definition Frequency Storage
1 Current operating Day to day Daily / Near the
files. usage. frequent. workstation /
side racks.
2 Current operating Decision Monthly / Near the
files. support. Quarterly. workstation /
side racks.
3 Important – Non-day Personnel As and when Record Room
to day files. Dossiers. required. (Compactor).
4. Reference files For the As and when Record Room
(< 3 years). purpose of required. (Compactor).
reference.
5. Reference files (> 3 For the As and when Record Room /
years or as per purpose of required. Outside
retention period reference. storage /
defined in the Approved
document retention document
policy. Storage
Agency.
Do’s & Don’ts of Filing:
Do’s:
1. ADHERE to the filing, numbering, and coding system.
2. ENSURE safety precautions are followed while filing or removing papers.
3. RETURN the file to its designated place immediately after use.
4. CARRY OUT 5 minutes check every day to ensure all the files are in its
place.
5. MAKE an informed choice on whether a document needs to be filed or
disposed at your end.
6. ENSURE papers are slightly folded in the center and then punch
appropriately.
7. USE paper shredder / incinerator for disposal of all confidential
documents.
8. ENSURE disposal date is adhered to.
Don’ts:
1. Keeping documents / files on the workstation while leaving the office at
the end of the work day.
2. Using the table top of workstations as storage area.
3. Creating additional copies of the same document.
4. Using drawers for storing unwanted / outdated documents.
5. Mentioning the name of the file with markers / pens.
