File Management Techniques

Establishing New Files

• To establish a new file, first identify the need for it.
• Assign a name or number, and prepare a hanging file or folder, or create a subdirectory for electronic files.
• Register it in a file register or database, and add to a file index if necessary.
• Gather items and place them in the filing system in the correct order.
• Store the file appropriately.

Updating Reference and Index Systems

• Updating the reference and index systems is essential to maintain the integrity of the filing system.
• Regularly update the index to reflect current status of records on file.
• Changes to file names, numbers, or codes should be regularly maintained and modified.
• Remove dead files from the index.
• Maintain a records disposal register detailing removed records, the date, and authorizing party.
• Computer systems should be checked and purged of inactive files.

Inactive or Dead Files

• Identify, record, and store dead or inactive files to create space for new ones.
• Organizations should have procedures for transferring inactive records from active filing systems to secondary storage at regular intervals.
• Some inactive files may be retained for specified periods, like financial records requiring seven years.
• Some records, usually of historic value, are retained indefinitely as archive files.
• Some inactive files can be destroyed by shredding for confidential files or recycling.
• Dead files should be removed from the file index, and the records disposal register should be updated.

Electronic File Management Procedures

• All staff need to understand electronic file management procedures.
• These procedures include naming files and using folders (directories).
• Companies using electronic records may need to be able to produce hard copies for some agencies when required.

Paper-Based Files

• Most organizations have filing practices in place to monitor the movement of paper-based files.
• Use a File Movement Register to track file name, number, borrower, date borrowed, and date returned.
• File Movement Markers, like an “outcard” or a note in an electronic system, indicate the borrower's details and borrowing date.
• Some organizations use barcode borrowing systems or passing slips to track file movements.
• Cross-referencing files is essential if a file can be located in multiple locations.
• Good filing practices include:
  • Setting aside time for filing.
  • Removing potential damage-causing items like paper clips or pins.
  • Mending damage before filing.
  • Attaching small documents to A4 sheets before filing.
  • Establishing new files instead of overfilling existing ones.
  • Avoiding the use of plastic covers.
  • Returning files to the system promptly.
  • Paying attention to Work Health and Safety issues, such as closing cabinet drawers, using trolleys for heavy items, using a ladder for high files, and storing files safely.

Classifying Files

• Common file classification methods include alphabetic, numeric, alpha-numeric, geographic, subject, keyword, and chronological.
• The alphabetical system is the most common, organizing by customer or business name.

Key Terms and Concepts

• Archive files: Records preserved due to their research or historical value.
• Collate: Assembling document pages in the correct order.
• Computerized filing system: Utilizing computers to store data, such as backup correspondence, database files.
• Confidentiality: Protecting the privacy and security of information.
• Creditor: A person or entity to whom money is owed.
• Dead files: Closed files that must be retained for a specific duration, often due to legal requirements, such as financial records.
• Debtor: A person or entity who owes money.
• Dispatch: Sending off, for example, mailing correspondence.
• Electronic filing system: Electronic storage of data through computers, servers, cloud storage, or removal devices.
• Filing system: A method of storing and readily accessing business information.
• Forecasts: Predictions about future trends or events.
• Inactive files: Files containing information no longer in use but potentially useful in the future.
• Modify Information: Making changes to information, such as updating, reformatting, adding, or deleting.
• Insurance: Protection against risk or harm.
• Invoice: A detailed bill or account for goods or services.
• Manual filing system: A paper-based filing system for documents like letters, forms, contracts, and journals.
• Meeting minutes: An official written record of meeting proceedings.
• Personnel: Staff or employees of an organization.
• Reference and index systems: Methods for locating files within a filing system, such as card indexes, databases of file numbers, or paper indexes of keywords.
• Relocation (of files): Moving files to another location for efficiency.
• Sales records: Records of sales transactions, including sales reports, invoices, budgets, and forecasts.
• Secondary storage: An alternate or backup location for files.
• Security of information: Maintaining strict confidentiality of information through appropriate handling and storage practices.
• Supplier: A provider of goods or services.
• Targets: Goals to be achieved.
• Time frame: A specified duration for completing a task or action.
• Update: To make information current.