FILING
“the storage and retrieval of
information”
Documents must be stored so they can be easily found in the
future. The system chosen must be able to be operated
effectively. A filing system can be manual or electronic.
Features of a good filing system
economical
safe
flexible
secure
appropriate
quick to
use
easy to
use
convenientl
y located
Secure – lockable so confidential information is stored safely
Safe – protected from fire and flood
Flexible – must be able to meet the changing needs of the
organisation eg expandable
Economical – cost effective to set up and provide training
and saves space
Appropriate – system chosen must suit the type of
information eg confidential
Quick to use – speedy to locate information
Easy to use – simple to understand the method being used
Conveniently located – decide whether centralised or
departmental filing is better for access
MANUAL FILING
“paper-based filing”
This is the traditional filing method for paper-based documents.
Files can be kept in:
Ring binder folders
Lever arch folders
Document wallets
Pigeon
holes
Trays
Filing cabinet
(vertical)
When filing it is important to choose the most appropriate
“system of classification” – this is the way the information is
arranged. There are 3 common classifications:
Alphabetical
Numerical
Chronological (dates)
TOP TIP
You must know the
advantages and disadvantages
of each of these systems
Alphabetical filing uses the letters of the alphabet –
normally a surname or company name.
Easy to use and understand
Easy to set up
Advantages
Direct method
– no index required
Good for small-medium sized
organisations
Knowledge needed – know the alphabet!
Can be slow to find files under common
names eg Smith
Training
required
on filing rules
Disadvantages
Uses lots of valuable
office space
Difficult to expand – reorganisation of drawers if
a letter needs more space
To make it easier to locate files, guide
cards or tabs should be used.
Numerical filing uses numbers – new files are given the
next number in sequence eg 156, 157, 158.
Suits large organisations where
many customers may have similar
names
Easy to expand
- next number
Advantages
Easy to understand
Files are less likely to be filed
incorrectly
Requires an alphabetical index to find file
numbers
Transposition
of numbers
may cause
problems
Disadvantages
Can be more time
consuming to find
files
More difficult to cater for miscellaneous files –
have to create a number for everything
Commonly used by banks, insurance companies,
mail order companies etc where each person is
given a unique customer number.
Chronological filing uses dates. It is normally used to
arrange documents within files using another classification
system.
Most recent correspondence
is easily found
Can be used
with another
system
Advantages
Suitable for storing
“old” information eg
school leavers
Easy to see progression over time eg
financial history when deciding to give a loan
The most recent document should be placed at the front of
files/folders.
Can be slow to find files – requires
alphabetical index matched to dates
Disadvantages
Impractical to use as the primary filing method
– which date??
USEFUL ADVICE
Know at least 2advantages
and 2 disadvantages
of each of these systems
ELECTRONIC FILING
“computerised storage”
File Management
This is the method by which information is stored and
organised. An effective file management system would include
the following:
work given appropriate filenames (ie related to the
content)
stored in appropriately named folders
all out-of-date files/folders deleted regularly – these can
be archived (eg using Microfilming)
filing should be carried out regularly
an out card should be placed at the point where a file is
removed
A cross-reference can should be used when a file could be
put in more than one place (think Yellow Pages)
Put a release mark on files that are ready for filing eg “F”
This is the modern filing method for electronically produced
documents. Files can be kept in:
Floppy disks
Zip drive
Hard drive
Software files
Scanned
documents
on PC
CD-Rom/DVD
Removable flash
memory stick
Hard drive – stores software applications and has
Random Access Memory (RAM) so that saved files can
be recalled, altered and resaved.
Floppy disks – used to transfer files between PCs
but are being used less due to more efficient
storage methods.
Zip drive – larger storage device than a floppy disc
so can store larger files.
CD-Rom/DVD – large storage medium commonly
used for encyclopaedias and applications.
Removable flash memory (USB) – a portable disk
drive small enough to be carried on a keyring. Also
known as a pen drive.
Application Packages
Used to create documents eg letters using a saved
template (house style).
Processing numerical information through formulae.
Most commonly used to calculate figures and display
financial information for accounting purposes
including cash flows, budgeting and forecasts.
An organised collection of related information, such
as a telephone directory, address book – key terms
FIELD, RECORD, FILE.
Integrated software packages combine several applications in
one program. Microsoft Office combines WP, database,
spreadsheet, graphics and communication software.
Data is transferable between applications
Mailmerge can
be carried out –
link DB and WP
Advantages
Cheaper than
buying
individual
packages
Dynamic linkage – change in one application
updates another eg SS and graph in WP report
There are also a number of similar functions in each package
– undo, spellcheck, print preview, etc.
COMPARISON OF MANUAL AND ELECTRONIC
Information viewed – manual allows several files to be
viewed at once whereas electronic only allows one file to be
viewed on screen at any one time.
Staff training – most staff can use a manual system but
an electronic system will require extensive training to
prevent mistakes.
Space – electronic filing takes up limited space, on the
other hand manual filing requires a great deal of space.
Speed of access – manual systems takes longer as files
have to be removed from a cabinet, however electronic
files can be accessed quickly.
Type of files – manual system use originals which can
be mislaid or lost yet back-ups can be made of electronic
files.
WHICH FILING METHOD?
A number of factors affect the choice of filing
system:
Cost
Space
Training required
Location of files
Type of information
Security of information
SECURITY OF INFORMATION
“Safe storage and usage”
Information is valuable to an organisation. It is
essential that it is protected from unauthorised
access or damage such as:
 Computer crashing
 Viruses
 Stolen files/laptops etc
 Untrained staff deleting files
 Hackers deliberately tampering with files
 Fraudulent editing of files
Information is valuable to an organisation. It is
essential that it is protected from unauthorised
access.
Locks/swipe card entry on doors
Voice recognition systems
Alarm systems
Fingerprint/iris/retina
scanners
Anti-virus software
Computer/disk
drive locks
HOW?
Different Password levels
Security cameras
Passwords on files
Staff usernames and passwords to
access computer
Good Practice
An operator must restrict access to their computer if
they leave their workstation by:
 saving and closing the file
 Following a shut-down procedure
 Activating a password-protected screen
saver
 Removing data storage device and lock it
away
Monitors should be positioned out of direct view of
visitors and computer printouts should not be left
lying around.
Backing-up Files
Data loss is very common.
Backing-up is the process of making duplicate
copies of information which allows an organisation
to restore its files (to the back-up date) if
something happens to its original data eg fire,
malicious damage, virus.
They should be made on a regular basis and
stored in a safe area eg fire-proof cabinet or
another building.
Passwords
Codes which restrict access to computers, files and
e-mail facilities.
Passwords should:
Contain letters and numbers
Be changed regularly
Be kept confidential
Passwords should NOT:
Be shared with others
Be obvious eg DOB
TOP TIP
Don’t just say “use a
password” – be
specific
(eg password protect
the computer or file)
DATA PROTECTION ACT 1984 AND 1998
Organisations that keep manual and electronic data
relating to individuals are legally required to register
with the government-appointed Information
Commissioner (the Data Protection Registrar).
As data users, organisations are responsible for
meeting certain conditions (the 8 principles). If they
do not they are committing a criminal offence and
could be fined.
The 8 provisions:
 Information is collected and processed lawfully
 Used for specified and lawful purposes
 Adequate, relevant and not excessive
 Accurate and up-to-date
 Not kept longer than necessary
 Processed in line with an individual’s legal rights
 Kept secure
 Not transferred to any other country (outside EU)