MANAGEMENT

OF RECORDS
FILING
PROCEDURES
AND RECORDS
TECHNOLOGY

Lesson 8
COVERAGE
• Identify what is record management;
• Know the value of filing rules and procedures; and
• Understand record technology.

2/7/20XX 2
 DIFFERENCE BETWEEN RECORD AND FILING

RECORD FILING
• It can be an image, text based or • A collection of records which have
in electronic or physical format. common properties. Each file has
• It is any information – text, data, its own file reference which is
image, or voice – kept for future unique. The file reference
reference. indicates the subject or contexts
of the records.

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WHAT IS THE
IMPORTANCE OF
FILING?

Filing is very important to store and

preserve office records and documents. It
is needed for the protection of record, to
provide reference, to settle disputes, to
increase working efficiency, to build
image etc.
 IMPORTANCE OF FILING:
1. It
helps in increasing efficiency of office because filing helps in providing records in
required time to make quick decisions
2. Filing
helps in protection of important documents from fire, dust, insects, theft and
mishandling.
3. Previous records are base of past records, and they are used as an immediate reference.
4. It helps in documentation of proof and legal evidence in the time of disputes
5. It helps in formulation of future planning
6. It helps in providing legal proofs to fulfill legal formalities
7. Ithelps in handling customers and correspondence carefully to maintain the goodwill
of the office
8. It helps in taking feedback.

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WHAT IS RECORD?

•A record is information created or received by a company

that documents the policies, decisions, procedures,
operations, manuals, and other activities of the
organization.

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CLASSES PHYSICAL RECORD

OF • PAPER DOCUMENTS AND PUBLICATIONS

RECORD •
•
PHOTOGRAPHS, AND NEGATIVES
AUDIO AND AUDIOVISUAL RECORDINGS
• DRAWING, SKETCHES
• FLOORPLANS AND BLUEPRINTS
• ARTIFACTS

DIGITAL RECORD

• Multimedia files
• MS Office files

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TYPES OF RECORDS

ACTIVE- it is currently in INACTIVE- It is a record

use by the office, that is no longer in use but
department , or other still must be maintained
division of a company that according to the timelines
originally created or established by the
received it. company.

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TYPES OF RECORD

ARCHIVAL – a record that has

permanent historical value. It is
ELECTRONIC- a record kept in
usually considered as inactive file
an electronic format. It can be
and is not required to be retained
active, inactive, or an archival
in the department of a company
record.
that originally created or received
it.

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 1. Sales Invoice- 30days
Delivery Receipt- 30 days- cash/cheque
Official Receipt
2. Liquidation Report – Financial Dept/Treasury Dept/ Accounting Dept.-Treasury

Sample Footer Text 2/7/20XX 10

NEEDS OR
IMPORTANCE OF
FILING SYSTEM
CAN BE DISCUSSED
AS FOLLOWS:
1. Protection of records - Filing stores documents in files and cabinets. It protects
them from damage by insects, dust, water, fire etc. Records can be preserved for long
periods of time. Therefore, filing is important for protecting useful records in the
organization.

2. Ready reference - Files provide ready reference. Information is systematically

arranged for future reference. Past memory is available in files for making decisions
in the present.

3. Legal evidence - - This is another importance of proper filing system. Filing is

important to settle disputes. The documentary records serve as legal evidence in case
of disputes. Files provide documentary evidence to settle business disputes. They
also fulfill legal requirements for preserving documents.
4. Efficiency - Good filing system increases office efficiency. Records can be located
without delay. Replies can be given promptly. Decisions can be made quickly.
Timely actions can be taken. The performance of office improves.

5. Planning and control - Filing provides information for formulating plans. Filing
provides information for control. It helps to monitor and correct performance.
Therefore, filing is needed for proper planning and control.

6. Follow-up actions - Filing is important for follow-up actions. Past records help to
take follow-up actions with customers, suppliers, debtors, bankers and employees.

7. Image building - Filing is also important to build and maintain the image of the
organization. Efficient filing system builds image of the office. Letters are timely
answered, complaints are promptly handled, services are quickly provided. Quality
employees are attracted to join the organization. The goodwill of the organization
increases.
RECORDS
MANAGEMENT
Records is something that represents proof of existence and that can be used to recreate
or prove state of existence, regardless of medium or characteristics, record can be created
or received by an organization in pursuance of, or compliance with legal obligations or
in the transaction of business. Records can be tangible or intangible
Records management (RM) also known as record and information management or RIM,
is the professional practice of managing the records of an organization throughout their
life cycle, from the time they are created to their eventual disposal.

This includes identifying:

• Identifying
• Classifying
• Storing
• Securing
• Retrieving
• Tracking
• Destroying or permanently preserving records.
 Filling rules and procedures
Steps in Office filling procedure

1. ORDER TO FILE

All documents need not be filed because all papers are not equally important. Hence, a
responsible officer should decide whether the record in question is to be preserved or
not. Therefore, no document should be filed unless the concerned official orders it to be
filed. He should write the order, sign it and put the date. Only such documents should be
filed. All unnecessary documents, therefore, shall not get accumulated in the folders.
2. PREPARATION

In preparing the record filing, the record clerk should read the paper and ascertain its
filing classification. All related papers should also be attached to the main record. Ruth
L.Moore house suggests that they should be stapled in the top left-hand corner.

The papers should be then punched if they are to be fastened in files or folders. The
record should be marked or indexing for classification with a color pencil or by
encircling key words or numbers on the record. If necessary, a cross-reference should
also be made on the record.
3. SORTING AND FILING

After coding, indexing and cross-referencing, the papers should be carefully filed in the
correct classification. If necessary, the folders should be removed and opened flat, and
the latest record should be placed on the top. Chronological order is an accepted practice,
because this would help the staff to locate the document easily in case of future
reference.
4. FOLLOW UP SLIP

Some documents — for instance purchase orders, bills for payments etc. require follow
up action. The concerned executive should note the follow up instructions. The filing
clerk should then prepare a follow up slip and should attach it to the relevant paper on
files. An extra copy of such paper may be kept in the follow up file as a reminder so that
the filing clerk can send the required paper to the concerned officer on the specified date.
6. RETRIEVAL

Whenever any file needed by the executive for any reference, it should be removed from
the cabinet only when a written requisition is sent by him. On receipt of the requisition,
the filing clerk should prepare an “Out guide” or out card.

A notation should be made on the out card as to the date of withdrawal, the name of the
person who has withdrawn the file and the approximate date by which it should be
returned. The out card is put in the place of the file on the document in the folder, which
is removed till the file, or the paper is returned.

The records should be periodically verified say once in two weeks or once in a month
and a list of overdue records or files is prepared. Requests should also be sent to the
concerned officials who are keeping the file to return them.
7. RETENTION

Some documents due to their legal requirements or active use should be retained for a
long period. The management should therefore lay down a definite policy of records
retention and destruction.
7. RETENTION

Some documents due to their legal requirements or active use should be retained for a
long period. The management should therefore lay down a definite policy of records
retention and destruction.
 FILING RULES IN 201 FILES
• Do the Preparation Work
1. Drop the following:
1. Spaces- Example: Dela Peña- Delapeña
2. symbols/Dash- Example: Tan-Pascual- Tanpascual
2. Spell it out
1. Jr. – Junior
2. Dr. – Doctor
3. Engr.- Engineer
• Follow the Structure
• Alphabetize
• Arrange It
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 FILING RULES IN 201 FILES
DROP ALL THE SPACES AND SYMBOLS +
SPELL IT OUT
Ms. A. Sy-Co Miss A SyCo
Alex Sy Co Alex Sy Co
Engr. Alex C. Sy Engineer Alex C Sy
Alexander Sy-Co Alexander SyCo
Alexis Sy Jr. Alexis SY Junior
Dr. Alexis Sy Jr. Doctor Alexis Sy Junior

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 FILING RULES IN 201 FILES

Last Name First Name Middle Name Suffix Title Sequence

Leonardo Pascual C Junior Doctor 2
Leonardo Pascual C - Doctor 1

1. Dr. Pascual C. Leonardo Jr.- Doctor Pascual C Leonardo Junior

2. Dr. Pascual C. Leonardo- Doctor Pascual C Leonardo

NOTE: WHEN FILING and ARRANGING ALWAYS TAKE

NOTE THAT NOTHING COMES BEFORE SOMETHING.

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 FILING RULES IN 201
a)Miss A Syco
b)Alex Sy Co
c)Engineer Alex C Sy
d)Alexander Syco
Last Name First Name Middle Suffix Title Sequence
e)Alexis Sy Junior
Name
f)Doctor Alexis Sy Junior
Syco A - - Miss 5
Co Alex Sy - - 1
Sy Alex C - Engineer 2
Syco Alexander - - - 6
Sy Alexis - Junior - 3
Sy Alexis - Junior Doctor 4

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 FILING RULES IN BUSINESSES AND
OFFICES
• Do the Preparation Work
1. Drop the spaces, symbols and articles
2. Spell it out
• Follow the Structure
1. Last Name first
2. Purpose first
• Alphabetize
• Arrange It

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 FILING RULES IN BUSINESSES AND
OFFICES
• Do the Preparation Work
1. Drop the spaces, symbols, apostrophe, dash, comma, period and articles (the, of, a)
2. Spell it out
• Inc. – Incorporated
• 1st Bank of Valenzuela- First Bank Valenzuela
• Corp.- Corporation
• Co.- Company
• Dept.- Department
• St.- Saint
• St.,- Street

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 FILING RULES IN BUSINESSES AND
OFFICES
• Follow the Structure
-With Names: Last Name First
Example: Jose Viceral Law Office
Arrange It: Viceral Jose Law Office

-Government Offices: Purpose First

Example: Department of Education
Arrange it: Education Department
Department of Agriculture

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 FILING PROCEDURE

EXAMPLE SPELL IT
Adrian Co, Inc. Co Adrian Incorporated
Ed’s Educational Co. Eds Educational Company
C1 Car Care CONE Car Care
The 1st Bank of Valenzuela First Bank Valenzuela

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 FILING PROCEDURE

Arrange it
Co Adrian Incorporated
Eds Educational Company
Cone Car Care
First Bank Valenzuela
Alphabetize it
Co Adrian Incorporated
Cone Car Care
Eds Educational Company
First Bank Valenzuela

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ELECTRONIC
RECORD KEEPING
Most businesses use accounting
software programs to simplify
electronic record keeping and
produce meaningful reports. 
There are many other advantages to using electronic record keeping, as listed
below.

• Helps you record business transactions, including income and expenses, payments to
workers, and stock and asset details.
• Efficient way to keep financial records and requires less storage space.
• Provides the option of recording a sale when you raise an invoice, not when you
receive a cash payment from a client.
• Easy to generate orders, invoices, debtor reports, financial statements, employee pay
records, inventory reports.
• Automatically tallies amounts and provides reporting functions.
• Keeps up with the latest tax rates, tax laws and rulings.
• Many accounting programs have facilities to email invoices to clients, orders to
suppliers, or BAS returns to the Australian Taxation Office.
• Allows you to back up records and keep them in a safe place in case of fire or theft.
Electronic backup

• Set up a secure electronic backup system to ensure records are safely stored and
regularly backed up. Daily backups are recommended, particularly for important
records. Make sure the backup copies are stored in a separate location to your
business in case of fire, theft or a natural disaster.

• For small businesses, the cheapest backup options are CDs and memory sticks. If your
business has large amounts of data, external hard drives are a popular backup option.
THANK YOU