Filing and Records

Management

MODULE 8
ROWENA C. VILLAMIL, DBA
FILING AND RECORDS MANAGEMENT
• A recordkeeping system is a
shared filing system where
records are captured, organized,
accessed, protected, retained, and
destroyed in accordance with
approved records schedules.
RECORDS MANAGEMENT
• Records management is
“responsible for the efficient and
systematic control of the
creation, receipt, maintenance,
use and disposition of records,
including processes for capturing
and maintaining evidence of and
information about business
activities and transactions in the
form of records”.
TIPS FOR EFFECTIVE MANAGEMENT
1. Avoid saving unnecessary documents
2. Follow a consistent method for
naming your files and folders
3. Store related documents together,
whatever their type
4. Separate ongoing work from
completed work
5. Avoid overfilling folders
6. Organize documents by date
7. Make digital copies of paper
documents
PRINCIPLES OF FILING IN RECORDS
MANAGEMENT
1. Accountability,
2. Transparency,
3. Integrity,
4. Protection,
5. Compliance,
6. Accessibility,
7. Retention and
8. Disposition
IMPORTANCE OF FILING SYSTEM
• It helps to keep all records
together to understand the
history.
• It helps to provide safety place
for storage of necessary
documents in order to use and
locate then when required.
IMPORTANCE OF FILING SYSTEM
• Filing protect the documents
from fire, dust, insects, theft and
mishandling.
• Past records are used as an
immediate reference.
• It helps also in taking feedback.
RECORD KEEPING

Is an activity of organizing and

storing all the documents, files,
invoices, etc. of a company or an
organization
Avoid poor record keeping.
DEFINITION OF RECORD FILING
• Filing records is the process of
classifying records and putting
them into the correct location
• The File Plan is a container for
records, folders, categories and
retention schedules.
• Effectively a virtual filing cabinet
are used for storing records, and
known as the basic structure of
Records Management.
PURPOSE OF RECORDKEEPING AND
REPORTING
• Recordkeeping and reporting
systems gives importance
of building and maintaining
institutional memory through
well-designed reports and
effective recordkeeping activities.
RECORD KEEPING
• 1. documentation,
• 2. recounting,
• 3. registration, and
• 4. reporting
EFFECTIVE FILE MANAGEMENT
1. Avoid saving unnecessary
documents.
• Don't make a habit of saving
everything that finds its way to you.
• Take time to look through the content,
and keep a file relevant to work
activity, or required by in the office
• Avoid too many unnecessary
documents that adds clutter and
makes it harder to find things in the
future.
• 2. Follow a consistent method
for naming your files and
folders.
• divide a main folder into
subfolders for clients.
• shortened names to identify what
or who the folders relate to.
• use color coding to make it easier
to identify different categories of
folders.
• 3. Store related documents
together and according to type.
• store reports, letters, presentation
notes, spreadsheets, and graphics
related to a particular project in a
single folder
• For easier and faster finding
documents for a particular project.
• 4. Separate ongoing work from
completed work.
• Some people prefer to keep current or
ongoing work on their desk or computer
desktop until a job is completed.
• Then, once it's done, they move it to the
appropriate location, where files of the
same category are stored.
• At periodic intervals (for example,
weekly or every two weeks), move files
you're no longer working on to the
folders where your completed work is
stored.
• 5. Avoid overfilling folders.
• If you have a large number of files in one
folder, or a large number of subfolders in a
main folder, break them into smaller groups
(subfolders or sub-subfolders).
• For instance, you could divide a folder
called "Business Plan" into subfolders
called "BP2021," "BP2022," and "BP2023."
• Likewise, you might divide a folder for a
client named Delta Traders into subfolders
named "Delta Traders sales presentations"
and "Delta Traders contracts."
• The idea is to place every file into a logical
folder or subfolder, rather than have one
huge list of files.
• 6. Organize documents by date.
• Make sure that the date of a
document is clear, by highlighting
it or adding it to a paper document,
or including it in the title of an
electronic one.
• That will help you to organize your
documents chronologically,
without having to open each one.
• And you'll then be able to find
them more easily in future.
7. Make digital copies of paper
documents.
• useful if you don't have much space to
store paper documents;
• archive documents without destroying
them completely;
• need to share documents electronically;
• want to make your information storage
more secure.
• (This won't be appropriate for all types
of documents, though – for example,
legal contracts or documents with
original signatures – so use your best
judgment here.)
RECORD RETENTION AND
DISPOSITIONS SCHEDULE
• A retention and disposition
schedule is a plan of action that
indicates the period of time you
should retain your records.
• Records schedules allow you to
dispose of records in a timely,
systematic manner by setting
retention and disposal guidelines
based on administrative, legal,
fiscal, or research needs.
DISPOSITION IN RECORD KEEPING
• “Disposition” means the final
retention action carried out on a
Record.
• This may include destruction,
deletion, secure destruction or
deletion, or transfer for archival
review or to a third party.
RETENTION SYSTEM
• Records retention describes the
methods and practices an
organization will use to safeguard
important records and maintain
them for the required period of
time until they need to be stored,
redirected or otherwise disposed
of.
• Records Retention and Document Retention
System
EXAMPLE OF RETENTION PERIOD
• The retention period begins at a
specific time depending on the
type of record.
• For example, the retention period
for a financial record starts on July
1 of the following year.
• For another example, the
retention period for the records of
an employment search begins on
the date that the hiring decision is
made.
NEED OF FILING/CATEGORY
• A file classification scheme (also
known as a file plan) is a tool that
allows for classifying, titling,
accessing and retrieving records.
It is presented as a hierarchical
structure of classification levels
and is based on the business
activities that generate records in
a specific organizational business
setting.
Conditioning
Involves grouping related papers
together, removing all paper clips
and staples, attaching smaller
papers to regular records, and fixing
damaged records.
Identify the tips to establish an efficient filing system

• The five basic steps for filing.

• 1. Conditioning
• 2. releasing ,
• 3. Index and coding,
• 4. Sorting,
• 5. Storing and filing.
Releasing
• Special mark or releasing symbol are used to show that a
document is ready for filing.
Index and Coding
• Coding is the process of marking
the filing segment (name, subject
or number) used for filing a What is the difference between indexing and coding filing
document. Colors and bar codes procedures?
also can be used as codes. Indexing is the mental process of deciding how to identify a
record for filing, and coding is the actual marking or writing
• File codes must be accompanied the filing segment on the record.
by an index that details the
meaning of each code.
Sorting
• Use chronological or
alphabetical order when
placing folders into cabinets or
drawers.
• For example, you can sort
alphabetically by client name
or chronologically by the most
recent client you acquired
Storing and filing
• File storage, also called file-level
or file-based storage, stores data
in a hierarchical structure.
• The data is saved in files and
folders, and presented to both the
system storing it and the system
retrieving it in the same format.