FILE

MANAGEMENT
PROCEDURES
What is a file?
File; is an organized physical assembly of related documents grouped
and kept together in a folder.
OR
an organized physical assembly of documents (within a folder) for
current use because they relate to the same Subject, activity or
transaction
Types of files

• Operational filesthese are files created for the purpose of carrying out the
core functions of an organisation. These functions differ from one
organisation to another organisation.
• Administrative files these are files created for the purpose of carrying out
the general administrative activities common to all organisations.
Sometimes known as Housekeeping files. For example, salary files,
payment files, recruitments files, etc
• Case files these are files created for the purpose of a specific action,
event, person, place etc. in the organisation. For example anniversary and
ceremony file,
Components of a file

1. A cover : Made by a hard piece of manila paper on which is used to protect the
content and act as a title page. The following elements are contained:
• Name of the organization
• File title
• Index heading
• Security classification
• File Reference no.
• File period
• Transit ladder
2. The contents
3. Some methods securing the whole together eg; green tag
Creating files
• Reasons for creating a file
• When a received letter has no suitable file under its subject
• If a new function/activity/project initiated in the organisation
• When a person is employed in an organisation
• When the previous file is full
• When the file reaches a cut-off point
Procedures for creating file
1. Fold and punch a file cover
2. Put a filing tag in a hole of a folder
3. Put a minute sheet at the left side of the file.
4. Give a file title
5. Assign file number
6. Register the file into the major control tools.
Closing of file
Reasons for closing file
1. No new entry in a file for the past five years
2. The file is 3cm thick or 99 folio
3. If the last folio is more than five years old
4. Function or activity /project is ceased or completed
5. When employee is retrenched/terminated/ retired
6. When an employee is dead
Procedures for closing of file
1. Draw two diagonal lines across the front cover of the file intended
to be closed.
2. Between the drawn lines, write the word “CLOSED” diagonally in
bold letters and date, thus canceling the active status
3. Cancel the last (most recent) minute sheet on the left-hand side of
the file in the same fashion.
4. Mark on the file transit sheet to show that the file is closed, the
date it was done and details of its transfer to the records centre.
FILING

• is the process of arranging, keeping and indexing records so that they

can be located easily when needed
Or
• is the process of keeping documents in a safe place and being able to
find them easily and quickly.
Or
• Is the actual placing of papers or documents in folders in a
predetermined plan
Reasons for filing records:

• To keep records tidy and clean

• To preserve them for future reference
• To make them easily available when required/need.
• Keeping together related papers in one file.
• To ensure long term preservation of records
Filing procedures
i. Sort the mails into two groups: mails quoting the office reference
number to simplify retrieval of file and mails which do not quote
office reference number.
ii. Place every letter in its appropriate file.
iii. Punch a hole on the letter at the top left-hand corner.
iv. Secure/put the letter into the file with a tag.
v. Write the next folio number at the top right-hand corner and
encircle it.
vi. Cross-reference the letter (if necessary)
 Cont………..

vii. Ensure the minute sheet is fully recorded

viii. Fill the transit ladder first four columns
ix. Fill the file transit sheet
x. Send the file to the action officer

• NB: Enclosure which is to be returned or forwarded elsewhere should

not be filed. They should be attached with a clip.
Filing system
• is a system used to capture, arrange and classify records of an organization in
a logical order so as to simplify their retrieval and use.
or
• Are methods and equipment used to store documents
or
• Is a rational and predetermined methodology to which records are classified.
It is related to:
• Types of equipment used. For example, shelves etc.
• Types of storage methods employed. For example, file folders, etc.
• The way in which the records are classified
Benefits of good filing system
• Provides protection to records: It protects record against possible loss or damage
• Provides ready reference: It serves as useful methods of obtaining information
without loss of time
• Facilitates planning: Future planning is greatly helped by the records. They save
as the basis for future action
• Provides better control to records: Process of control is greatly facilitated by
filing
• Basis for evidence: Old records are useful evidence in law, suit or in providing
tittles and existence of the firm
• Supports the survival and accessibility of important records: by promoting the
consistent filing information environment
Features of a good filing system

• Familiar to the staffs/workers; a good system should be user friendly

that workers should not face any difficulties when using the system.
• Support business requirements; the introduced system should be able
to support organization activities and not contrary to the organization
functions.
• Flexibility; the system should be able to change depending on
organization needs without affecting organization activities.
• Easy to understand, use and maintain; the system should be easier to
use and well understood to the workers when performing their
duties.
• Support the organization policy; it should support the organization
policies and not to infringe them.
 Cont………..
• Comply with the records management regulatory frameworks: the
system selected by the organization should not conflicting with the
existing frameworks governing records management.
• Precise; the system should be accurate and minimize doubt about
where to file papers.
• Complete and comprehensive; the system should cover all the files
that need to be included and it should be capable of including files
that may be created in future.
• Automation; the system should be capable of being adapted to an
automated system such as for word processing, computerized
indexing and database management or a computerized record-
keeping system.
Types of Filing systems
• There are several types of filing systems. However, there is no the so called
good filing system which can uniquely be used for each organization.
• The good system depends on the friendliness to a particular organisation.
Below are common types of filing systems.
Alphabetical filing system
Alpha-numerical filing system
Numerical filing system
Chronological filing system
Geographical filing system
Keyword filing system
 Cont…………..
i. Alphabetical filing system
• is the filing system where by files are arranged alphabetically by the
name of a person, place or institution.
Subject correspondence are arranged from A-Z, based on the name of
the subject. Alphabetic filing requires a good knowledge of alphabet.
Advantages
• Easy and simple to operate
• An index to records may not be needed
• Less training and orientation is used for new employees
• It simplify retrieval of files
• Helps to save staff time

Disadvantages
• Takes longtime to find papers in large system
• Misfiling is possible due to misspelling of names
• Unauthorized persons can easily find records
• Difficult to forecast space requirements under different letter of alphabet.
ii. Numerical filing system

• Is the type of system where by record are arranged in a number order

normally from the lowest number to the highest one. This method
also often tells the searcher which files are the oldest (the lowest
numbered files) and which are the newest (the higher numbered
files).
Documents or papers are arranged in numerical sequence and an index
is maintained where reference can be made. Eg, 100, 200, 300, 400
Advantages
• Difficulty for unauthorized people to access the files.
• Easy to understand, users understand straight numerical sequences (1, 2, 3, 4, 5, etc.)
quicker than other systems
• Very efficient for use in large file organization
• Records can be filed and retrieved very quickly
• The file number can be used as a reference in future correspondence.
• The system is very flexible; it allows expansion easily without disturbing the former
arrangement of existing folders.

Disadvantages
• More time is required to the index before finding a file
• Misfiling may occur
• Requires training to operate
• Great care is required to avoid errors during retrieval
iii. Alphanumerical filing system

• Alpha-Numeric system uses a combination of alphabets and number

characters to create a flexible filing system. Subjects may be substituted
with alphabetical or numerical codes. For example, ADM-001 could be a
code for Administrative files, Director’s correspondence.

Advantages
• Codes eliminate the need for long titles
• File security is increased because the user must know the meaning of
codes before accessing files
• Facilitate quick references
• Can be expanded to unlimited extent
• The system is flexible
Disadvantages
• It requires review of index frequently
• May consume time to refer to an index
• May cause confusions to users especially when one forget the
meaning of used codes.
• Misfiling are common and are difficult to detect
iv. Geographical filing system

This is the type of records management system where by files are

arranged based on the geographical origin of the papers or documents.
Correspondences originating from one location are grouped together
disregarding their contents. Eg MBEYA, MWANZA, SINGIDA
Advantages
• Assist in speedy location of files
• Simplify retrieval of documents
• Easy to understand and operate

Disadvantages
• If geographical location is not known misfiling is possible
• It cannot work for itself, as for better result it should be combined with
any other method
v. Chronological filing system
This is another type of file classification system whereby files are arranged in
strict date order or specification frame. E.g. 2014, 2013, 2012 etc
Advantages
• It is useful when dates are known
• Simplify retrieval of documents
• It is simple to operate
• It saves time of a staff

Disadvantages
• Useful only for small business organizations
• Not useful when the date is not known
• Misfiling may occur
vi. Keyword filing system

Magaya (2009) define keyword filing system as an indexing system

which used to classify records of an organization based on the functions
and activities of the organization.

Advantages of keyword filing system

• The system allows expansion
• The system makes the formulation of file titles to be more precise and
avoid ambiguity
• The file numbers can be used as letters reference number
• The system is flexible
• It increases file security
• Simplify retrieval of files
Disadvantages
• More time is required to prepare the index.
• The system is complicated as it requires high knowledge to
understand.
• The system might cause retrieval problems especially if a registry
personnel on duty is unaware about it.
• It is expensive system
• Requires training to operate
vii. Subject filing system

Record management method in which documents are classified, coded, and stored by
their subject matter.
• Documents or files are arranged in accordance with the subject matter instead of
filing them by name of the company or correspondent.
Advantages:
• Convenience of reference when the subject is known.
• Unlimited expansion as files can be opened under any subject matter.

Disadvantages:
• Difficulty to classify
• Not very suitable for large systems because it takes longer to find papers under
different subjects.
• Cross reference may be necessary for common subjects e.g. Training and Courses.
• An index may be needed.
Factors to consider when establishing filing systems

• The size and complexity of the organization

• The quantity of files and other records
• The rate of creation of new files and records
• The cost of installing and maintaining the system
• Simplicity of the system
• Users of the system
• Flexibility of the system
• Requirement of the law/regulatory framework
• Organization requirements
• The ease or difficulty with which the files and records can be organized.
• The training required to operate and sustain the system
• The skills level of the records staff.
FILE ARRANGEMENT METHODS
Files should be arranged well in the storage facilities so that they can be
available at a given time when they are required for uses.
• There are three basic methods/ways of arranging files in cabinets,
cupboards and shelves. These methods are;
i. Vertical method
ii. Lateral method
iii. Stacking method
i. Lateral method

• This is usually done in four-drawer or six-drawer filing cabinets, with the files
held upright on their long narrow edge, often within a ‘hanging folder’.
Advantages
• Is the least economical method.
• Provides easy access.
• Support classified document

Disadvantages
• It consume more space compared to vertical
• Files tend to fall each other when some are removed
• May lead to folding of documents
ii. Vertical method
• This is where files are held upright on their short narrow edge with their ‘spines’
facing outwards, is done in cupboards (which may or may not be enclosed) or on
racking or shelves.
Advantages
• Vertical filing in open shelves is economical
• Vertical storage is suitable for records with rigid (unbending) covers or binders.

Disadvantages
• Vertical filing in open shelves is unsuitable for confidential materials.
• Files stored vertically on shelves may slip down unless the shelves have moveable
dividers that can support the files and keep them upright
• Not ideal method to bending file covers
iii. Stacking method

• This is the method whereby stores files flat, one on top of the other,
with the spines of the files facing out.
Advantage
• If stacks are small can fasten retrieval of files
• It provides good arrangement of files
• It is a good method if files are not many
• It doesn’t allow folding of documents if files are arranged well.
Disadvantage
• Stacking method may cause difficulties of retrieval if stacks are large
File movement control system
i. File census form
is a form used to record the files in the custody of the action officer.
Although files ought never to move between officers or out of the registry without their movement
being recorded. It must be accepted that this may sometime happen. In order to confirm the location
of files that are not in the registry’s custody, it will be necessary to carry out regular census of every
file. The registry staff must visit every action officer at regular intervals, at least once a month and list
on a file census form all the files held by that officer and he/she must sign on the form at the bottom
of each form used and the form is initiated by the relevant action officer.
It involves information like;
a) Date
b) File number
c) File title
d) Location/officer
e) Sign
f) Initiated
 Cont………

ii. Bring up diary

Is a form used to records a re-issue request of a file on a day that the action officer needs it.
The bring up system is one of the prime indicators of the efficiency of a registry and users
should be encouraged to take advantage of this facility when action needs to be temporarily
suspended. User will indicate the need for and details of any bring-up (BU) on the file minute
sheet. The bring-up records should be disposed of when they are of no further use, usually after
the compilation of annual statistics.
It involves information like;
a) Month
b) Date
c) Date of bring-up
d) File number
e) File title
f) Required by
 Cont………

iii. Inward and outward mail registers

These are registers f mails received and despatched by a registry.
Entries are in date order and include details of the files on which the
papers were placed and the action officers to whom they were sent.
Example of these registers are;
a) Incoming mail register
b) Despatch book
c) Outgoing correspondence register
 Cont……….

iv. File transit sheet

Is a sheet which shows the location at all times of all files open by registry.
It involves information like;
a) Classification
b) File number
c) File title
d) Index heading
e) Previous file number
f) Subsequent file number
g) Sent to
h) Date
Importance of file movement control
systems
1. Ensure file availability when needed
2. Reduce file loss/ protect files
3. Facilitate systematic or good file management practices
4. Reduce unauthorized file access
5. Increase efficiency
6. Evidence
Common filing problems

i. Lack of filing equipment's

ii. Misfiling
iii.Poor storage facilities
iv.Mixing of files – active and semi active
Solution to the problems
Searching of missing file
If a file is missing, the registry must proceed as follows;
1. The head of registry must contact the officer to whom the file was
last recorded on the file transit sheet and ask him/her to trace it.
2. If this fails or impractible, the head of registry must circulate a note
to all officers in the department asking them to check whether they
have the file
3. If the file still can not be found, a search must be initiated by an
officer with specific authority to ensure the search is effective.
4. As soon as the registry staff learns that a file is missing they must
write the word missing file on the relevant transit sheet so as to
ensure further action is coordinated and that any further movement
of the file is tracked.