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FILES
MANAGEMENT
Remmel G. Talabis
Senior Archivist
Outline – Files Management
• Introduction
• Records Management Chain
• What is a file?
• Purposes of Filing
• Setting up a Filing Climate
• Centralized vs Decentralized File Organization
• Classification Operations - Filing Systems
• Files Operations – Servicing the Files
• Workshop -
Bermuda Triangle
Records Management Chain
Records
Maintenance,
Use, and
Control

Records Records
Creation Disposition
Records Maintenance
Use and Control
is the creative process of records
management that includes the proper
handling and operations of records,
the arrangement of written materials
into usable filing sequences, and the
selection of the most efficient type of
filing.
 7

NAP Circular No. 1 (January 20, 2009)

Rule
• Transparency of Transaction and
12
Access to Information

Each agency must

institute adequate records management
controls over maintenance and use
of records wherever they are located

To ensure that all records are:

organized, classified and described
to promote their accessibility
WHAT IS A FILE?
➢ a folder containing
records
➢ a collection of records
involving a specific
name or topic
➢ a class of records in a
separate group or
series
➢ the operation involved
in arranging records
 Importance of Files
✓Contains information of historical
value – Memory
✓Protect/ confirm the legal &
financial rights –Accountability
✓Aid decision makers in managing
its transactions –Decision making
✓Provides evidence of transactions
-Evidence
WHY ARE FILES IMPORTANT?

M -emory
A -ccountability
D -ecision Making
E -vidence
FILING

- The classifying and arranging

of records in a systematic way
for safe storage and quick
retrieval.

- the placing of records in

acceptable containers
according to some pre-
determined arrangement so
that any paper when required
can be located speedily and
conveniently.
 To provide a
To keep all
To make permanent
related
records and safe
materials
available. place for
together.
records.

Purposes of Filing
Setting up a Filing Climate
The records keeper/custodian:
❖ is well trained and permanently
assigned as such.
❖ is given exclusive responsibility for
placing materials into the files.
❖ is allowed enough time from other
duties to maintain the files properly.
❖ work in partnership with record
users.
Organizing the Files
Centralized Decentralized
Centralized Filing Advantages
Responsibility is
easily placed.
Improved Effective use of
security. equipment, supplies,
and space.

Uniform service
provided to all All related data
users. kept together.
Reduces
duplication.
Centralized Filing Disadvantages

Requires
efficient
Files too Results in Requires
filing
distant personal full-time
equipment
from staff filing staffing
and/or
automation.
Decentralized Filing Advantages
Records are near staff

“extra” space not required

No need for full-time staff

Staff are more comfortable

Decentralized Filing Disadvantages
Confusion

Fragmented documentation

Proper maintenance of files

Inconsistency
Files Management

- deals with keeping and maintaining

records in custody and the
procedures of classifying, filing and
servicing them.
- the management of official records
that are properly and adequately
classified and arranged.
2 Major Operations in
Files Management

 Classification Operation
 Files Operation
 Major Operations in Files
Management
 Classification Operation
The process for identifying
and arranging records. Thus
collection of papers having
similar characteristics
should be logically grouped.
 RECORD SERIES
• Is a group of related records
filed in a single unit which
relates to a particular function,
resulting from the same activity
or have some other relationship
arising out of their creation,
receipt, or use.
 25

NAP Circular No. 1 (January 20, 2009)

Rule • Records Maintenance and Control

6.2

Classification Guide/ Scheme

Each agency shall develop
a File Classification Guide or Scheme
based on its organization and functions
for a uniform filing system
File Classification System

A plan for
,
, and
.
Kinds of Filing System
❖ Alphabetic Filing System
➢ Name
➢ Subject
➢ Location
❖ Numeric Filing System
❖ Chronological Filing System
❖ Functional Subject Alphabetic
Classification System (FSACS)
 SELECTING A GOOD FILING SYSTEM IS LIKE
CHOOSING A HUSBAND

“A little selectivity in the beginning saves a

lot of grief later on.”
Functional Subject-Alphabetic
Classification System (FSACS)

are
by covering all
of the
and the
of the agency.
Establishing the FSACS

5.
4. • Under each
secondary
• Make a list of classification
correlated group
3. subject topics together
• Make a list of under each other related
all subject primary minor
pertaining to classification subjects
each function (Secondary pertaining to
2. (Primary Classification) it.
• Make a list of Classification).
all the
1. functions and
arrange them
• Analyze the alphabetically
functions of the (Major Subject
agency and its Heading).
records.
Establishing the FSACS
1. Analyze the functions of the agency
and its records.
Executive Director

DED for RM DED for AA

FAD RMSD RCD ACAD APD TID

RAN CEBU RAN DAVAO

 Executive Director

DED for RM DED for AA

FAD ITD RMSD RCD ACAD APD TID

RAN CEBU RAN DAVAO

ORGANIZATIONAL CHART
ORGANIZATIONAL CHART
 Establishing the FSACS
2. Make a list of all the functions and
arrange them alphabetically.
Executive Director

DED for RM DED for AA

FAD RMSD RCD ACAD APD TID

MAJOR SUBJECT
HEADING
RAN CEBU RAN DAVAO

Finance and Administrative Division (FAD)

Records Center Division (RCD)
Records Management Services Division (RMSD)
 Establishing the FSACS
3. Make a list of all subject pertaining to
each function.

Financial and Administrative Division (FAD)

Accounting
PRIMARY SUBJECT
Budget CLASSIFICATION
Personnel
 Establishing the FSACS
4. Make a list of correlated subject topics
under each primary classification.

Financial and Administrative Division -

SECONDARY
CLASSIFICATION

TERTIARY
CLASSIFICATION
 Budget

Post Audit

Internal

Functional Subject Alphabetic

Classification System (FSACS)
Audit

Allowances
Accounting

FAD
Finance and Admin. Division
Good Filing System
Filing and
It has maximum
It serves the finding any item
safeguards
need of the is easy and fast
against filing
office with minimum
errors
reference

It has the It is not

simplest It uses indexes dependent on the
identification of and codes memory of the
file contents file clerk
Guides in Selecting Appropriate Filing
System
Know the types of records and files
created and maintained by the office.
Know how the records are requested
from the files.
Know why, how, and where the
material to be filed originates.
Know the procedural steps from
point of origin to files
 GOOD FILLING SYSTEM MUST BE

•LOGICAL •COMPREHENSIVE
•ECONOMICAL •ADAPTABLE
•SIMPLE •REVISABLE
•SYSTEMATIC •EFFECTIVE
2 Major Operations in
Files Management

 Files Operation
o Filing Procedures
o Servicing the files
o Files Audit
Objectives of Files Operations
to SEE
implicity

fficiency

conomy
Files Operations

Location
Tools and Filing Servicing
of the
Equipment Procedures the Files
Files
Location of the Files
Filing Cabinet Dimensions
 1.5 meters
5 ft.

60cm

30cm

Back to Back Arrangement

 window

30cm

.9 meter
(3ft.)

30cm

Facing One-way Arrangement

Hollow Square Arrangement
 Folders

Charged-out
Cards

Requisition
Slip

Tickler file or
follow up file

Sorting Table
Tools and Equipment and racks

Stapler

Filing Cabinets
and Shelves
Folders
Tools and Equipment
 52

NAP Circular No. 1 (January 20, 2009)

Rule • Records Maintenance and Control

6.6

Servicing the File

Each Agency shall adopt
requisition and charge-out procedures
in using files

A follow-up device shall be developed

on charged out records
National Archives of the Philippines
Files Management
 Date Subject or Name of Organizational Date
Sign
Borrowed Description Borrower Unit Returned

Charge out Cards

Tools and Equipment
 Date Taken Due Date

File Requisition Slip

Description of Records

Tracer No. Date of Record

Name of Requesting Official Designation

Organization Tel. No.

Received By (pls. print) Signature

Requisition Slip
Tools and Equipment
Tickler or Follow up File
Tools and Equipment
Filing Procedure

Check Read the Mark the

before filing Material Material

Sort the File the Charge out

Material Material the Material
 Issuing the Files Transferring
Borrowed Records

Returning and Refiling Following up

Records Borrowed Records

Servicing Files
 Confiden-
All
Only file tial
materials Do not
unit Due dates records
must be release
personnel must be shall
requested whole file
shall be strictly always be
through folders, if
permitted implemen on file at
use of not
access to ted the close
official necessary.
the files of office
forms
hours.

Rules on the use of the Files

 Files Audit
Periodic inspection of the
internal condition of a particular
file to determine the accuracy
of classification, coding,
indexing and filing of records

59
 Conduct of File Audit
1. Inspection of the entire files
2. Segregation of extra copies
3. Note orderliness accuracy of filing and
condition of the records
4. Need for space expansion in the files
5. Schedule the transfer of non-current
records to agency storage
6. Relocating the lost/misfiled records
WORKSHOP
Prepare a File Guide
Using FSACS

National Archives of the Philippines

Files Management
 WORKSHOP: Preparing a File GUIDE
Records Series/Title Filing Arrangement
By
ADMIN. AND FINANCE
Directives/ Issuances
Circulars
Commission on Audit :agency
:year
Department of Budget & Management
Orders
Administrative Order
Executive Order
Logbooks By
Incoming/Outgoing :year

Visitors
Ordinary 62

Very Important Person

How to Search for Missing Files
1. On someone’s 5. Similar
desk names

2. The folder 6. Cross

before or the references
one after

3. Between or 7. Paper clips

under the folders

4. Transposition 8. Ask your

of names Boss
Do’s in Filing
1. Do staple papers together.

2. Do print or write in block letter all labels on

the window of file drawers and on the folders.

3. Do file materials every day.

4. Do file in the order of date, keeping the

latest on top or in front within the folder.

5. Do make and use guide posts. Do place

folders behind the guides.
Do’s in Filing
6. Do make an individual folder when there are six
to eight different materials in a folder.

7. Do see that no folder contains more than one

and a half centimeters thick of materials.

8. Do pull out folders from the file drawer by

using your two hands holding the whole folder.

9. Do charge out records before loaning them.

10. Do keep files in accordance with the prepared

and developed Files Classification Guide.
Don’ts in Filing
1. Don’t use pins, paper clips or rubber
bands on file papers.
2. Don’t print or write captions on the
folders in long hand style.
3. Don’t allow the materials to pile up day
after day before filing.
4. Don’t allow papers to be out of
chronological order.
5. Don’t forget to use guide posts when
placing and taking out folders from the file.
Don’ts in Filing
6. Don’t use miscellaneous folders.

7. Don’t allow folders to become cluttered

and overcrowded.
8. Don’t pull out folders by grasping on the
tab or caption.
9. Don’t depend on memory when lending
records.
10. Don’t have too many different filing
systems used in your office.
A SHORT FUN QUIZ
1. On your phone open a browser
and go to Kahoot.it
2. Enter this Game Pin 8500842
3. There will be 10 questions. Participants will be
given 20 seconds to answer the questions.

4. The write answers gets points. The faster you

answer the higher the points.

6. Let’s Begin!
In Files Management
Happy Filing…

71
National Archives of the Philippines
Files Management