Client Filing Systems

Filing can be described as a system whereby documents and records are kept safely in a structured and ordered manner.

This must be done in such a way that information can easily and quickly be found. A filing system is a record-keeping system for a business. It helps you to be organised, systematic and efficient. It also helps all people who should be able to access information to do so easily. It is always a pleasure when someone looks for information and is able to find it without difficulty.

You should receive and send out documents on different subjects. Many of these documents need to be kept for future reference. If they are not cared for and properly stored, you will not be able to access them when you need them.

This will cause the downfall of the filing system. A random assortment of files that has no links or connection to each other, will soon prove to be frustrating, time-consuming and counter-productive. An effective filing system starts with a strategic plan. Order, structure and consistency form the basis of a good filing system.

Documents To Be Filed

The type of documents that needs to be filed depends on the type of business or organisation that you work for. In most cases, you need to file documents that are sent to your business by other people or organisations. You would also file records of all your organisational activities. These can be:

• Letters
• Memos
• Reports
• Financial records
• Policy documents

The time allocated for filing will depend on how busy the office is. In very busy offices filing is done at least every day and usually first thing in the morning or last thing in the afternoon. In a small or less busy office, you could file once or twice a week. Failure to file on a regular basis results in documents being mislaid or damaged.

Managing Correspondence And Email

Although correspondence may comprise only a small percentage of the total volume of records, it creates the most problems for many offices. Correspondence consists of unique documents which are often difficult to classify. Each office may have a different attitude toward how correspondence should be filed and different requirements for retrieving information from the file system.

Correspondence may consist of incoming and/or outgoing letters and memoranda. Classically, correspondence has been filed in chronological order. Retrieval depended on remembering the date of receipt or of transmittal. For many people, this is very difficult. Information is rarely retrieved on the basis of occurrence.

Email is similar to correspondence in many ways. Emails are sent or received based on date and time, not on content. This is one of the characteristics that make email so difficult to manage. Each email is different from the one sent before and will be different from the email sent after. Managing emails by date are rarely effective. Like correspondence, it is much easier to manage emails based on content or creator.

Information is most commonly retrieved on the basis of content or creator. It is, therefore, most logical to file correspondence or email either by:

• Subject (with related information);
• By creator;
• By department from which it is received; or
• By department to which it is directed.

It must be kept in mind that each office function is different, and it is necessary to tailor the management of correspondence files and email to respond to individual requirements.

Correspondence may be filed in paper format or kept electronically. The goal is to standardize the official format. Either all correspondence within a specific record series is printed, or all correspondence within that series is maintained electronically.

At this time, email may be either printed and integrated into the paper filing system or may be kept within the email system (email client). If maintained electronically, email should be moved from the inbox and sent mailbox into appropriately labelled folders. These folder titles should match the titles used in the paper filing system.

Methods Of Filing

The method of filing will be determined by the type of information that must be stored.

The following are the most commonly used methods:

Subject/Category - Creating file categories requires logical and structured problem-solving skills. Initially, broad categories must be established, for example, Finances. The detail of the category will then be subdivided into different aspects such as Budget, Procurement, Asset Register, Travel Expenses, Petty Cash and so forth.

Filing by category or subject requires that a filing index should be created, called a filing key.

• List the categories and sub-categories must be written down in the order that they are filed.
• Keep it simple to ensure that everyone can understand it, use it and make sense of it.
• Place the filing key on the filing cabinet for easy access.
• Every employee that will use the filing systems must have a copy of the filing key.
• Ensure that everyone who does filing is familiar and confident with the filing key.

Colour Coding - Each major category of paperwork should be assigned a different colour. Each subcategory will then be placed in an individual folder. The category “Finance” might therefore be green and each of the subcategories will be filed in a separate green folder. Knowing that the Financial Section is coded green will automatically allow you to reach for green when financial information has to be accessed.

Alphabetical order – Files are sorted according to the alphabet.

Places/Geographical order - Al files for a specific province or region are filed together.

Dates/Chronological order – Files are organised with the most recent documents on top.

Numbers/Numerical order – Each customer/client is assigned a number. Numerical filings systems can also be done by headings. The following is an example thereof.

A NUMERICAL FILING SYSTEM BY HEADING

500- PERSONNEL

510- Confidential individual staff files; 520- Staff records (leave etc); 530- Payroll; 540- Health and safety

600- FINANCE

610- Budget; 620- Procurement; 630- Asset register; 640- Travel expenses; 650- Petty cash records; 660- Financial returns; 670- Bank accounts; 680- Financial audits

700- CORRESPONDENCE

710- Government agencies; 720- Funding agencies; 730- Project partners; 740- Other organisations

800- ORGANISATIONAL DOCUMENTS

810- Governing body; 820- Subcommittees; 830-Strategic planning; 840- Other documents

900- PROJECT DOCUMENTS

910- Project proposals; 920- Completed projects; 930- Current projects; 940- Future projects

1000- OFFICE ADMINISTRATION

1100- Office meeting minutes; 1200- Internal correspondence; 1300- Staff tour reports

Click here to download and complete a questionnaire on your company filling system.