chapter03. filing method -...
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E1-E2 CSSS-PA/PS MODULE-II
Filing Methods
WELCOME
• Eligibility: Those who have got the Up gradation to from
E1 to E2.
• This presentation is last updated on 21-05-2011.
• This is a presentation for the E1-E2 CSSS-PA/PS
MODULE -II for the Topic: Filing Methods.
AGENDA
Procedure of maintaining files.
Filing method .
Indexing.
Docketing.
Part files.
FILING SYSTEM
If no records are kept of safe, purchases, credit, employee
work history, equipment, or plans for products and services,
the situation would be chaotic, considering the limits of the
human memory.
One of the best ways to appreciate the contribution of filing
and records storage is to conceive of a situation.
File Classification systems
• Indexing refers to the manner classifying items in filing.
• In filing, the indexing scheme must be built into the
original design of the system, and then it must be applied
in deciding where to file the documents.
File Classification systems
• Method of Indexing
• There are five indexing or classification systems of filing
• These are:-
• 1 Alphabetic
• 2 Numerical
• 3 Geographical
• 4 Subject classification
• 5 Chronological
Alphabetical filing
• Alphabetical filing
• In this system file drawers or containers are divided into
alphabetical sub divisions with guide cards or marks.
• This arrangement may be adopted by the name of
individual organization or by subject.
• It is the most widely used method.
Numerical filing
• This system is most often used for materials that are
numbered serially, such as orders, invoices and
cheques.
• File guides or markers are arranged by numerical
groupings, and individual items are filed in numerical
sequence.
• This method is also widely used in assigning code
numbers to customer accounts, insurance policies, or
other subjects.
Geographical
• This system is a combination of Alphabetical and numerical method.
• Alphabetical arrangement may start with territorial break down of
geographical regions, states and districts, then individual customer
or subject, name etc.
• Example of this is Dewey decimal system used in Library.
Chronological system
Chronological filing system is one of the adapted form of
the numerical filing which has special value for any
purposes. Items are filed first by date or time then either/by
numerical or alphabetic classification. Chronological filing is
useful where material are handled on certain dates such as
after sales and credit due dates.
Terminal digit filing
• This is another adoption of numerical filing.
• Useful in insurance companies. Motor vehicle
registration and driving license files.
• In this method, numbers are read from right to the left
and file groupings are done by pairs of number.
• Filing cabinets are arranged with out side captions in file
drawers.
• This ranges from 00 for the 1st drawer and 99 for the last
drawer.
• Within each drawer, secondary guides are arranged and
if the first drawer is 00 then the secondary guides are
numbered from 00 to 99.
Terminal digit filing
• For example: an item numbered or indexed as
62700 is to be filed, it would go to the drawer 00
behind guide 27 of filing cabinet 6.
• In this system it is possible to balance workload
amongst the assistants and avoid them from
each other's way by assigning each assistant
the responsibility for a section of the files
Terminal digit filing
• For example: If there are five clerks/assistants, the first
may handle all items with terminal digit 00-19, the 2nd
from 20 to 39 and so on.
• If a subscriber's application form new connection is to be
filed or traced then, one may access the appropriate file
by using the code. The code 01-1-10-00 may mean
• Drawer No.OO,
• File No. 01,
• OYT Category 1
• Area No. 01
File Classification systems
• The advantages of this indexing system are:
• - Speed
• - Fewer missing files
• - Simpler sorting
• - Greater flexibility
• - Unlimited expansion
Master index
Master indexing is required due to diversity of
indexing methods, and physical location of files
throughout an organization.
Master index shows where documents are
stored and how they are indexed, it serves as
inventory of al file and provides a control in
reducing duplication of filed material.
It should be frequently expanded to include
retention schedule.
Master index
• The two main parts of the file are notes and
correspondence.
• The former contains notes recorded on a paper under
consideration, while the later contains all the
communication received and office copies of the
outgoing communication.
• If detailed information in the 'Notes' makes the note
unnecessarily lengthy, such information should be
incorporated in separate and self contained summary a
statement which may be placed in separate cover
named as 'Appendix to Notes'.
• Docketing is the process of making entries in the notes
portion of a file about each serial number (receipt or
issue) in the 'correspondence' for its identification.
• A communication will be docketed by writing in red ink
across the page and its serial number, e.g. is no. 4
(Receipt) S.NO 5 (issue).
• The name of the section and the subject of the file will be
given on the top of the first page of the notes before
docketing the first serial.
• Opening and numbering of new file.
Docketing
Docketing
• According to secretariat procedure, the file number
allotting to a file should consist of
• a. The index letters indicating the name of the
section.
• b. Serial number allotted to the standard Head
of the subject.
• c. The serial number of the file opened under
the appropriate Standard head.
• d. The year in which the file is opened.
Docketing
• All files pertaining to a particular section should start with
the index letter assigned to that section.
• Where there is a separate Section for Accounts and
another for pension, these sections should be identified
by the index letters 'AC' and 'PEN' respectively.
• If there are more than one Accounts Section, the index
letters should be ‘ACA’ 'ACB' and so on.
• Similarly, where there are more than one section dealing
with staff, the index letters for these sections should be
'Staff-A' Staff-B and so on.
• Separate file for each distinct subject.
Docketing
• There should be a separate file for each distinct subject.
If the subject of file is too wide or too general, there will,
generally be a tendency to place in it receipts' dealing
with the different aspects of matters, which apart from
making the file unwieldy, will impede business.
• If the issues, raised in receipt or in the notes or in the
orders passed thereof, go beyond the original subject,
relevant extracts should be taken and dealt-with
separately on new file.
Part file• A part file may be opened when the main file is not likely
to be available for some time or when it is desired to
consult, simultaneously, other sections or officers.
• A part file should be incorporated with the main file as
soon as the letter becomes available.
• If more than one part file is opened, each one of them
should be given a distinct number, such as part file I part
file II etc.
• File Register.
• A record of files opened during a calendar year will be
kept in Register; each movement of files should be noted
in the Remarks column of the Assistant's diary.
Part file
• The two prescribed priority markings to be used on files
and papers are 'IMMEDIATE' and 'PRIORITY'.
• The label 'IMMEDIATE' should be used only in cases of
extraordinary urgency requiring instant attention and not
merely to attract the attention of an officer to a paper.
• The slip 'PRIORITY' should be used on papers which
should be given precedence over others of ordinary
nature to which no priority labels have been attached.
• The priority marking of should be used discriminately.
• Sectional Supervisors and officers through files pass
should keep an eye on the priority markings affixed to
them and reveiw or remove them, if necessary.
Notes, Papers and Slips
• Routine notes or papers
• Notes or casual discussion on points of secondary
importance, routine correspondence like reminders,
acknowledgements, and notes (intended to elucidate
minor points of detail which are of a transitory nature
should not be allowed to clutter up the main file.
• They should be treated as routine papers and placed
below the file in a separate cover and destroyed when
they have served the purpose.
• Ruling files should contain only papers containing ruling
or decisions.
Notes, Papers and Slips
• Referencing is the process of putting up and referring to
connected records, precedents, rules, regulations, books
or any other paper having a bearing on any case.
• Such papers should be flagged with alphabetical slips to
facilitate their identification.
• The slip will be pinned treaty inside of the page.
• When a number of files or papers on the same case are
to be flagged.
• The slip to be spread out to the whole which of the file,
so that every slip is easily visible.
Notes, Papers and Slips
• It should be remembered that slips are merely a
temporary convenience for the quick
identification of papers and should be removed
as soon as they have served the purpose.
• For the identification of reference after the
removal of slips, it is very necessary that the file
number referred to should be quoted in the body
of the note and the relevant page together with
the letter of the slip in the margin.
Linking of files
• Linking of files on which action is in progress
should generally be avoided.
• This will be resorted to when files are inter
related and orders have to be passed on them
simultaneously.
• If any paper on a current file is required for
reference, relevant extract should be taken from
the former and placed on the letter.
files transferred to Record room
• When any file is closed and is transferred to record
room, the transactions should be recorded in the
following Performa.
• Section Year
• Dated: 199 Signature of Sectional Supervisor
Problems & Solutions
Trouble Solutions
Is it hard to locate papers in
your miscellaneous folder
Trouble?
Be sure to file papers alphabetically by name first, then by date, with the last date on top.
Problems & Solutions
Are folder tabs readable and in good condition
Use gummed labels, they strengthen, add legibility. Use reinforced tabs where reference is frequent
Are some individual Folders too full?
Make a special name guide for the individual folder. Then put a set of period or chronological folders at Back of guide, one for each anticipated 100 papers for the year
Thank
You