Filing and Indexing Systems Notes

Filing and Indexing Systems

• Filing is a system used to easily locate documents, including letters, memos, financial records, reports, and other forms of correspondence.
• A logical and efficient filing system requires proper procedures.
• Businesses and homes still need to maintain paper files, even in the electronic age.
• Use a specific tray for all documents to be filed.
• Avoid keeping documents lying around.
• Do not overfill folders or drawers.
• File documents at least once a day.
• Replace worn file covers.
• Maintain confidentiality for confidential files.

7.1 Filing and Indexing Systems Definitions

• Filing: The orderly and systematic storing and arranging of documents for easy location and reference.
• All correspondence and documents should be carefully kept for future reference.
• Indexing: A method for retrieving information with minimal effort, cost, and time.

7.1.1 Steps in the Records Cycle

1. Record Creation:
   • Creating, labeling, and arranging individual files in a specific order.
   • Storing files in a manner that best suits the document type.
2. Instituting Security Measures:
   • Using locked filing cabinets, drawers, or safes based on security risk.
3. Records Utilization (Easy Retrieval):
   • Ensuring documents or files are easy to find and retrieve.
4. Storage and Retention:
   • Keeping documents related to a specific person or situation together in one file.
   • Avoid opening a new file for each letter received.
5. Transfer of Records (Archive):
   • Moving completed files into archives.
   • Archives are used to store files for a specific period, depending on business policy (e.g., up to 5 years).
   • Archiving prevents filing cabinets from becoming too full.
   • Confidential documents should be archived separately.
6. Disposal of Records:
   • Destroying documents based on file content and business policy.
   • Methods include shredding, burning, or recycling.

7.1.2 The Aim of a Filing and Indexing System

• Organizing files so staff can quickly and efficiently locate files and information.
• Ensuring all staff follow a standard filing procedure.
• Classifying documents on a predetermined basis.
• Reducing the cost of managing information through proper management.
• Clearly defining responsibilities and tasks of filing clerks, with training provided.
• Transferring or destroying files no longer in use according to business policy.

7.1.3 Types of Filing and Indexing Systems

• Centralized filing
• Computerization or electronic system
• Decentralized filing
• Filing on microfilms (micrographics)
• Horizontal filing
• Lateral filing
• Mechanized and automated systems
• Tubular filing
• Vertical filing

1. Horizontal Filing

• Common on desks for documents in current use.
• Files can be stacked in drawers, shelves, or containers.

Micrographics (Filing on Microfilms)

Advantages of Micrographics

• Suitable for storing fragile or valuable items.
• Film has a long life expectancy (500 years) if processed and stored correctly.
• Cheaper to distribute than paper.
• Compact storage (98 A4 pages on one fiche).
• Prints from microfilm are accepted in legal proceedings.
• Virtually impossible to damage.
• Easy to view with a magnifying glass.
• No software needed to decode data, eliminating software obsolescence.

Disadvantages of Micrographics

• Photographic illustrations may lose clarity.
• Easy to misfile.
• Reader machines require careful unwinding and rewinding.
• Photocopy machines cannot be used; only reader-printers.
• Reading microfilms for extended periods may cause headaches or eye strain.
• Images are too small to read without magnification.

6. Computerization or Electronic Systems

• Definition: Creating, filing, storing, and retrieving information from an electronic device (computer hard drive, USB flash drive, external hard drive, etc.).

• Emails sent and received are automatically saved.

• When information is linked to a network, it is saved on the network.

• Create folders for important emails for easy access.

• Name documents correctly for easy retrieval.

• Use the search function to locate documents.

Security of Electronic Records

• Install and keep anti-virus software up to date.
• Avoid using potentially infected USBs.
• Encrypt data.
• Lock your computer when leaving your desk.
• Create passwords for computer files.
• Regularly back up computers.
• Store backup information in a different location and password protect it.

7. Mechanized and Automated Systems

• Utilize systems, programs, and formats for saving electronic information.
• Create a database for sending pricing catalogs electronically.
• Automate sending catalogs to save time.

8. Centralized and Decentralized Filing

• Businesses choose their own filing method.
• Filing can be centralized (one location) or decentralized (each department).

Centralized Filing

• The entire business's filing is kept in a central location controlled by a designated filing clerk.

Advantages of Centralized Filing

• Documents are stored in one room or area.
• An efficient system allows for quick and easy file location.
• Reduces loss of documents and files.
• Equipment and space are optimally used.
• Systems can be standardized for easier information retrieval.
• Clear responsibility for filing.
• Only qualified personnel handle the system.
• Supervision and safety measures easily applied.
• Less duplicate files and paperwork.

Disadvantages of Centralized Filing

• Confidential information accessible to anyone (can be solved by decentralizing only confidential files).
• Departments must request files, taking time.
• Files may be in use by someone else when needed.

b) Departmental Filing (Decentralized Filing)

• Each department uses its own filing system and may have its own filing clerk (often individuals do their own filing).

Advantages of Decentralized Filing

• Files cannot be easily lost.
• Confidentiality of departmental files can be maintained.
• Each department uses its own filing system.
• Files can be traced quickly and easily.

Disadvantages of Decentralized Filing

• Difficult to supervise documents.
• More filing clerks are needed.
• More space is required.
• More than one file must be opened per department.

Classification of Files (Including Indexing)

• Definition of classification of files: the process of selecting headings under which documents are grouped based on common characteristics.

7.2.1 Personal

• Each customer has their own file (e.g., doctor or lawyer).
• Surname is listed first, then initials.
• Newest information is placed on top.
• Files are managed according to the business's chosen method (alphabetical, numerical).

7.2.2 Subject

• Files are arranged according to the subject.
• Only the subject is considered, not the customer.
• Example: Within insurance, files for debtors, creditors, tenders, outstanding orders, etc., would be maintained.
• Files are then arranged alphabetically according to these headings.

7.2.3 Geographical

• Files are grouped according to geographical location, then alphabetically or numerically by account name or number.
• The names of places are written on the file and arranged alphabetically or numerically.
• Used in businesses with branches in many towns.

7.3 Arrangement of Files

7.3.1 Alphabetical Classification

1. Method
   • Files and folders are arranged in alphabetical order from A-Z using the surname of the person or business.
   • It is the most popular and common method of filing.
   • If more than one person's surname starts with the same letter, then the second, then the third letter of the surname is taken into consideration.
   • When there are two correspondents with the same surname, the initials or names of each person are then taken into consideration.
   • An index card is opened for each letter of the alphabet in order to separate the files alphabetically.
   • Index cards can be colored and are bigger than the files in order to be visible.
   • General file - chance (once off) correspondence of irregular customers is placed in a general file and is placed directly behind the alphabetical index card.
   • Behind the general file all the other files of people are arranged strictly alphabetically.
   • Outside of the filing cabinet drawer there must be an indication of the letters that are in the drawer, e.g A-F.
2. Rules applying to alphabetical filing
   • Alphabetical sequence must be strictly adhered to: Abbess comes before Abbot and Richards before Richardson.
   • Names or entries are sequenced letter by letter: Dun, Dunn, Dunstable
   • File by initial when surnames are identical (i.e., Garrison, DC; Garrison, EF; Garrison, GH; Garrison, YB).
   • Use the first prefix letter when the surname contains a prefix (.e., de la Hoya, GU; de Mark, DS; van der Roy, FH; van Under, PE).
   • File by the first surname when there are two (i.e., Anderson & Lieberman; Gpress & Florham).
   • Indefinite and definite articles (a, the) are ignored in entry titles.
   • Abbreviations are filed as written: Messrs Smith and Williams.
   • Abbreviated names like SABC, ETV etc. are filed according to their abbreviated letter sequence.
   • Entries which are shorter come first: Elizabeth, Elizabethi, Elizabeth I, Queen of England. G]H)IJRUMN
   • Personal names are normally filed surname first: Richards, Sir Gordon
   • Titles like Mr, Mrs, Dr, Prof, Sir etc. are ignored.
3. Advantages
   • Simple and easy to understand.
   • It is a flexible method.
   • Does not need a separate index.
   • Gives direct reference.
   • Groups, common and/or family names filed together.
   • It is easy to add new names or files.
4. Disadvantages
   • Difficult to arrange files.
   • Difficult to locate in case of common names e.g. Smith.
   • Time consuming as needs to be kept strictly alphabetical.

7.3.2 Numerical Classification

1. Method

   • The filing method under which files are arranged in order of numbers is called numerical classification.
   • All files and folders are given separate numbers ABC from the lowest to the highest number.
   • This filing system requires an alphabetical index (or index card) to correlate each number with a name.
   • When a file needs to be retrieved, the name of the file is located in the index and the number allocated to the file used to find the file.

2. Advantages

   • Accurate method of filing.
   • It is flexible.
   • Fast to file and find by number rather than by name.
   • Provides a degree of confidentiality as the person's name is not used on the file cover.
   • A separate index can easily be developed using numbers.
   • Suitable for offices having a large number of files and folders can expand and deal with a very large number of sub sections.

3. Disadvantages

   • A separate alphabetical index is required, which takes extra time to update
   • /This system is more time-consuming to use than one in which each fle i gven an instanty. identifiable name.

7.3.3 Alphanumerical

• Files are arranged alphabetically but. Arranged according to letters and numbers.
• Files are. not strictly alphabetical rather alphanumerically.
• All files starting with 'A are together and those starting with B' are together.
• Each file gets the letter of the alphabet which the correspondent surname starts with and also a nnumber.
• For example, Mkhize (M100), Mbatha numerical order (M101), Mbatha (M102) will all be filed under M but then in Alphabetcal as well as numerical guide cards are used.
• An index to the files is used where each files details are recorded.
• An index caard, usually postcard size are kept in strict alphabetical order in a separate drawer.
• A general file for each letter of the alphabet is created and put behind the applicable alphabetical guide card.

7.3.4 Colour Coding

• Different sections within the business may have different colour files.
• For example the HR department could be blue, marketing red, purchases green etc.
• Differentiate subsections in the system.
• Same colours should be used throughout, for the guide cards, tabs on the files, labels of the section, files following etc.
• Files are kept for different executive officials,
• Specific colours should be used for each executive and correspondence should be filed accordingly.
• Coloured stickers can be used for special purposes, eg- for each day of the week.
• Cross reference can be indicated by using colour labels or stickers.

7.4 Requirements of a Good Filing System

7.4.1 Reasons Why a Good Filing System Is Important for a Business

• Filing means keeping documents in a safe place and being able to find them quickly and easily, which saves, time and therefore money.
• Documents that are cared for will not easily tear, get lost or dirty.
• A filing system is the central record-keeping system for a business.
• It helps the business to be organised, systematic, efficient and transparent.
• It contributes to the establishment and standardisation of policy and procedures.

Requirements (Characteristics) of a Good Filing System

1. Cost-Effective: A small business doesn't need an expensive system.
2. Accessible: Files should be found quickly and easily.
3. Appropriate for the Type of Business: A small business needs a smaller filing system than a big business.
4. Neat and Tidy: The filing system must be kept neat and tidy so that it is easy to retrieve documents at any time.
5. The Filing System Must Be Secure: There must be some form of access control, even for general office information Some files will contain highlyconfidential data, make sure you control whoma, access what and keep asecure system for sensitive files.
6. Safe and Durable: Records must be kept in an area where water, insects or dirt will not damage documents. Equipment must also be fire-resistant.
7. Simple and Easy to Understand: The filing system must be simple and easy to understand so that records are to retrieve. It must be easyto explain how to use the filing system.
8. Flexible: The system must remain useful over time.The same system must be ableto expand and grow with the business.
9. The System Must Be Current: Old, inactive documents must be removed and only active documents kept in the day-to-day files.

7.5 Filing and Indexing Equipment

7.5.1 Equipment Used for Filing

• Vertical Filing Cabinets: Files stand up straight.
• Horizontal Filing Cabinets: Files are placed on top of one another.
• Lateral Filing: Folders are suspended from a rack.
• Tabs: Used to label files.
• A-Z Guide Cards: Used in alphabetical filing.
• Card Index: All files are entered in a card index which can be locked.
• Labels or Stickers: Some are A-Z, some are numbers These are used to categorize files.

Sorting Aids

• Used to arrange documents in alphabetical order before filing.

Magnetic Media

• Includes USBs, external hard drives, hard drives, etc.

Microfilms and Microfiche

• Discussed earlier.

Stamp

• Used to date stamp documents.

Register

• Used to record files taken out and returned.

7.5.2 Different Types of Files

1. Box File
   • Used to keep big documents that cannot go into a filing cabinet.
   • Kept on shelves.
   • Documents including magazines and books can be kept in box files.
2. Clip Folders
   • They are used for documents that need to be taken out often; they hold documents tightly so that they do not fall out.
3. Concertina Files
   • A concertina file is a closed folder, with the inside divided into a number of compartments each labelled numerically, alphabetically or by month.
4. Suspension files
   • Tabs are used to hang the files in the drawer but the files them selves are kept flat down in the suspension flat
   • Files are suspended from the frame
   • Files are put into the suspension and you can look through the files
5. Lever Arch Files
   • Used to keep loose documents together.

7.6 Basic Filing Procedures

7.6.1 Opening a New File (Folder)

• Open a new file only if the customer corresponds more than once.
• The filing classification determines how to open a file.
• The opening of an alphabetical file will be explained below.
• Best to have a template inside the front inner of the file with all the customers' personal details recorded.
• In an index book (A-Z) record the name of the person, their ID number and contact details.
• (When archiving files, the information needs to be deleted from this book and transferred to an archive index book.)
• On the front cover of the file in clear bold handwriting the surname and initials of the person needs to be written.
• A clip is inserted into the file which is used to file the documents.
• When opening a new file for a customer you need to ensure that they will be corresponding with you more than once as you do not want to open unnecessary files.
• Correspondence in the file needs to be filed as it is received with the new correspondence being placed on the top.

Steps in Filing Procedure

1. Sorting

   • Arranging papers according to the filing system used.
   • It is the last step before actual filing.

2. Filing

   • Actual placing of documents in folders.
   • Keep documents safe and in good condition.
   • All documents should be placed with the tops to the left as you face the folder.
   • Folder tabs should be visible immediately upon opening the file.
   • A well-run file must have folders of uniform size and tab styles.
   • Mixing folder heights and tab positions can reduce efficiency of a filing system.
   • Do not put too much in files or folders, rather open a second file or folder.
   • Put new covers on old files which are used a lot and have become worn or torn.
   • Box files and lever arch files can hold more than simple folders.
   • Never allow filing drawers or shelves to become too full.
   • Good housekeeping and safety is important, you do not want your filing cabinet falling over when you open the drawer.
   • A file drawer or shelf should be filed to no more than 90% of its capacity. Tightly packed files slow down filing and finding
   • Lock up all confidential documents and files.

7.6.3 Taking Files Out

• Keep a record of all files or documents borrowed.
• People must never take the suspension files out, they should only take out the folder inside the suspension file.

7.6.5 Disposal of Files

• Once the archived file has been in the archive for the required period of time with no further work required in it, it can now be disposed of.
• The way that it is disposed of will depend on the business. could be shredded or burnt.
• Whichever way is used the confidential information in the file needs to be safeguarded until the very end.
• All files disposed of should be recorded as such.

7.6.6 Faulty Filing

• Misfiling.

1. Causes of Misfiling

• An Inexperienced Filing Clerk Filing is a job that is not enjoyable and is often given to the junior members of staff.
• An inexperienced filing clerk may misfile a document because it is not clear. marked or the drawers are so full it is placed in another drawer.
• b) Negligence or Carelessness The person who is doing the filing is in a hurry and does not check that the correspondence being filed is relevant to the file.
• It could also happen that there are two similar files and the correspondence is placed in the wrong file.
• c) Negligent and Incorrect Coding Numbers can be swapped around N105 becomes N501. Names may be misspel e.g. Mbata filed under Mbatha.

How to Find a Missing Document or File

• Check the folder in which the missing document is supposed to be and all stapled documents in the file
• Look in Active files, the filing cabinet drawer, the folder just before the correct folder, the folder directly after the correct folder, the space before, after and underneath the correct folder.
• Think of other ways of spelling the name, folders with similar headings, other names that were mentioned when the document was requested, another filing unit of the same correspondent.
• Ask your employer to check their desk or briefcase.
• Try to remember you handling of the document, whether somebody borrowed it, someone pickedit up with other documents when coming to thedesk etc.
• After a thorough search, wait until the next day before searching again. Try to recall where the document may be.
• It may appear,but research has shown that 50 % of missing documents are never found.