CHAPTER 6: OFFICE DOCUMENTS FILING/ OFFICE DOCUMENTS

6.1 Introduction
Office document filling is a core unit of competency in TVET level 6 qualification for
office administration. The unit entails the skills, knowledge and attitude required to file
office documents which involves indexing office files; receiving, sorting, recording,
filing office documents and also safeguarding office files. The significance of office
documents filling is to equip trainees with skills for proper file management for ease in
retrieval of documents.

The critical aspects of competency to be covered includes; labelling and indexing office
files, safeguarding office files, receiving, verifying and acknowledging receipt of office
documents, sorting and classifying office documents for filing. It also involves
identifying office filing document classification methods and systems, recording office
documents, identifying/ creating office document register, assigning folio to office
documents and identifying filing equipment. The basic resources required are;
computers, filing equipment, Internet connectivity, registers, stationery and external
storage devices among others. This unit of competency covers six learning outcomes.
Each of the learning outcome enhances learning activities that covers performance
criteria statements, thus giving the trainees an opportunity to demonstrate knowledge,
skills and attitude in the occupational standards and content in the curriculum.
Information sheet provides; definition of key terms, content and illustration to guide in
training. The competency may be assesed through written test,demonstration, practical
assignment, interview/ oral questions and case study. Self assessment is provided at the
end of each learning outcome. Holistic assessment with other units relevant to the
industry sector workplace and job role is recommended.

6.2 Performance Standard

File office documents through indexing, sorting, recording office files, labelling office
files as well as safeguarding office files and storing office file as per work place policy
and SOPs.

6.3 Learning Outcomes

6.3.1 List of learning outcomes
a) Index office files
b) Received Office documents
c) Sort Office documents
d) Record Office documents
e) File Office documents
f) Safeguard office file

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6.3.2 Learning Outcome No. 1: Index Office Files
6.3.2.1 Learning Activities
Learning Outcome No. 1: Index Office files

Learning Activities Special Instructions

1.1 Obtain Office file as per the work place policy Provide filing
1.2 Label Office file as per SOPs cabinets, markers and
1.3 Index Office file as per the workplace policy labels
1.4 Store Office file as per SOPs

6.3.2.2 Information Sheet No. 6/ LO1: Index Office Files

Introduction
This learning outcome covers indexing of office files by labelling of office files,
obtaining of office files and storage of office file according to workplace policy and
SOPs. It further discusses types of methods, advantages of labelling file guide labels,
importance of indexing.

Definition of key terms

Office File: This can be described as client sites, tax financial files, employee files that
are imperative in a business filing system. It’s used to keep a record of all business
arrangements, agreements, contracts and clients. It can also handle invoices, receipts
and any other incomes.

File Indexing: This refers to indexing of files to the organization of the data according
to a specific plan or scheme. It determines the name, subject or any caption where the
document has been filed.

SOPs: This refers to set methods to be routinely for the performance of designated
situations.

Office Filing: This refers to a set of the filing cabinets, using different drawers for
different box files, categories of document on shelves.

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Content/Procedures/Methods/Illustrations

1.1. Office file is obtained as per the Workplace Policy

The employers file is employers saved documentation of the status and history of entire
work relationship with the individual.
There are three reasons why employees keep the personnel’s files:
i) To get accurate information organized and handy whenever the employer
needs to access the information as possible like changes in the emergency
contacts, keep track of performance evaluations, employee recognition,
application forms of employment.
ii) Due to personal issues the employer needs to retain documentation about
personnel issues such as work history, compensation, employee selection and
internal promotion applications.
iii) It’s a requirement for the federal government for employers to keep
organizing the staff. Information makes sense for the access and legal
compliance and readiness.

There are different types of sample policy of personnel files,

a) Personnel Files – Its normally maintained for each employee. They are
confidential documents and they are managed and maintained by human resources staff.

b) Payroll Files – These are files that contain a history of the employee’s jobs,
compensation changes.

c) Employee Medical File – These are employee’s file that consists of records
that are retained in the file. Medical files they normally have highest degree of
confidentiality and safe storage.

Procedure for filing documents

The document to be filed include; memos, letters, financial records and reports
a) You need to group your files into categories. The main category should be
primary heading, representing all the other files that will be under (sub-
categories) like payroll register 2018.
b) Continue your sub-categories through up to the end of the year. If your category
fills the entire drawer, make and label and place on the exterior drawer, label
your sub-category folder and you have to place them inside drawer.
c) Hang folders for the categories, when you have already several categories for
one drawer.
d) Place the labelled sub-category file folders inside them.

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Filing Methods
a) Horizontal
The flat or bound or box are placed horizontally on a shelf or on a table or inside drawer,
one upon another. Shallow drawers or desk filing.
Advantages
i) It’s easy and simple method.
ii) It’s not costly filing equipment.
iii) Its suitable to keep big size paper.
iv) The subject matter and the number of the file, its easily readable.
Disadvantages
i) Its costly method.
ii) The personnel needs training; hence pay scales is high.

b) Lateral
The files can be placed like books on a shelf, one by the side of the other.
Advantages
i) It’s simple.
ii) It’s not costly.
iii) Suitable to keep files made with hard paper board.
Disadvantages
i) Without side support, files will sag and fail right or left.
ii) By the constant pulling, the part of the file gets damaged and finally it
gives a way.

c) Vertical
Files are normally one behind the other, with the joining end at the top. The files are
kept suspended in a hanging position and so there must be some hanging device.
Advantages
i) The case of vertical filing following drawbacks are not present.
ii) Files as folders can be kept by this method. Folders are preferable in the
modern offices.
iii) Easy clarification of files and folders, guided by guide cards, etc.
iv) There is economy of space as one filing cabinet can accommodate a
large number of files.
v) The drawers of the cabinet can be locked hence greater security.
vi) It’s economic to operate on long-run.
Disadvantages
i) Its costly method.
ii) The personnel needs training; hence pay scales is high.

1.2. Office file is labelled as per SOPs

For the office files, identification and labelling allows an office to maintain physical
control over the current files as well as managing growth at the new rules.

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The labelling serves as the visual aid by identifying individual to record series and by
identifying the folders within each series.

Advantages of labelling files

i) It enables an office to maintain intellectual control over the files.
ii) Manage the growth of the new files.
iii) Acts like access tool which allows individual documents to be retrieved in an
efficient manner.

There are three levels of labelling which helps to simplify and facilitate filing.
i) Drawer or shelf labels.
ii) File guides labels.
iii) The folder labels.

a) Drawer or shelf labels

Labels should be typed in uppercase and include;
i) Primary classification.
ii) Secondary classification.
iii) Dates.

b) File guides labels/tabs

They serve as signposts to lead the researcher to specific positions of the file. It can
be used within the drawer to highlight a primary classification to identify a record
series.

Type labels in uppercase

 Primary classification
 Secondary classification

c) File folder labels

They including the following;
a) File code or full record series title.
b) Folder title.
c) Dates, usually.

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1.3 Office file is indexed as per the workplace policy
Meaning of indexing
Indexing means the ready-made guide which used to locate the required file.
Henceforth, indexing indicates or points out the exact place of keeping a file or a
document.
It also means an arranged system through which the required documents and papers are
easily located for urgent or ordinary matters.

Importance of indexing
a) It helps filing so that the filed documents are easily located when they are needed.
b) Helps to increase the efficiency of the filing method.
c) Helps to improve the efficiency of the office operation.
d) To set up any key information regarding any subject matter in a simple form.

Content of a file index

The following are essential features of a good system of indexing;
a) Simplicity- It should be simple to understand and be operated
b) Economy-It should be economical in terms of money, space and the effort. The
purchase of office file indexing requires heavy investment during initial period.
c) Flexibility- It should have sufficient space for expansion. A single system may be
used for several purposes like location of the file.
d) Safety- The index system should protect the records against dust, filing, insects and
water. It should be able to be equipped with lock facility to prevent pilferage of the
records.
e) Conformity with filing system- The selection of index method depends upon the
nature and type of filing system adopted in the organization
f) Cross reference- Should have over the head under which the document should be
filed.

Methods of indexing files

1. Book index – Known as page index or ordinary index. The names of documents
or other information are entered in a book in alphabetic order. One is able to track either
page number of a customer by referring first letter of the concerned consumer/customer.

2. Vowel index – This is where the names are subdivided again based on the
vowels, like, Andon, Anand, hence it will help office management to locate easily the
page number of the customers. It is an improved system of the book index hence the
vowels are adapted to differentiate the system.

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 Advantages of vowel index
a) It is a permanent record.
b) No loss of index.
c) Less time is required in searching the index.
Demerits of vowel index
a) Only requires trained personnel to find the name of the customer in a
vowel index.
b) The system is inelastic.
c) Only limited pages are allotted to same letter.
3. Bound book index
It’s normally maintained in the form of the book of register. The bound book is divided
into alphabetical sections where the names of customers or documents are entered.
The entries pertaining to a specific letter of alphabet are being arranged in similar
section of the same letter in the alphabet.

Methods of bound book indexing

a) Maintaining of the book index is cheap.
b) Durability of the book is very period.
c) The pages cannot be lost, discarded or disarranged.
d) The type of index is suitable for small business.

Defects of bound book index

a) The method is an inflexible.
b) Only small number of entries are recorded.
c) There is difficulty when the wrong entry is made.
d) Much time is wasted in locating names entered in one page in order.

4. Loose leaf index

Its ruled sheet like the pages of ordinary index, this another form of book index. These
sheets are inserted in or taken out from metal hinges or screws
Each customer is allocated a leaf in the name of the customer, like the phone number,
call number, email, the title number etc.
Merits of loose leaf
a) It’s elastic.
b) Removal of dead index is easy.
c) Full information can be obtained.
d) Less time is required to locate the number of customers.
e) The cost of operation is very low.

Demerits
a) The cards may be torn easily for vigorous use.
b) It is expensive.
c) Possibility of misplacement of cards.

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1.4 Office file is stored as per SOPs
 One can be able to create file categories - You have to organize your files and
decide what major categories you will use for sorting, if dealing with client you
might sort by litigation, probate and corporate.
 Set up sub-categories- one should be able to develop a list of sub-categories. The
piece of advice should be filed with general category and then sub-category.
 Use a color-coding system- this effective way to organize your files for quick
access
 Label the files- one should write the label on the tab of each folder clearly and
neatly.
 Sort the files alphabetically- when your filing system has been established and
create all the folders.

Tips of office file storage

a) Organize your files around retrieval – your goal is easy retrieval.
b) Assign toss-out dates for your files.
c) Move your paper – Avoid pile up.

Effectiveness of file storage management

a) Avoiding saving unnecessary documents.
b) Have consistent method for naming your files and folders.
c) Store related documents together.
d) Should separate ongoing work from completed work.
e) Avoid overfiling folders.

Conclusion
This learning outcome covered on office documents that enhanced safe custody of
office documents by safeguarding office files, indexing office files, receiving, recording
and filing office documents. It also covered on different types of sample policy files,
filing methods, advantages of labeling files, levels of labeling, method and importance
of indexing.

Further Reading
D. accounting. Learning/types-or-methods of indexing-office-files-merits-
demerits/
Texas State Library and Archives Commission; Filing Systems.

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6.3.2.3 Self-Assessment

Written assessment
1. Which of the following are sample policies of personal files?
a) Employee medical file.
b) Payroll files.
c) Employee files.
d) Client files.
2. Reasons which the employer should keep the files, which one is not?
a) To get accurate information organized of the employee.
b) A requirement for federal government for employees to keep.
c) Due to personal issues, the employees need to keep history and employee
application forms.
d) It can be used to access the absenteeism of the employees.
3. Which of the following are levels of labelling of the files?
a) File guide labels.
b) File folder labels.
c) Shelf labels.
d) Closed labels.
4. Which is not an advantages of indexing files
a) Helps in efficiency of the office operation.
b) In filing method, it increases efficiency.
c) Easy location of the files.
d) It’s cheap to maintain.
5. Which of the following are essential in a good system of indexing?
a) Simplicity.
b) Flexibility.
c) Durability.
d) Safety.
6. Which of the following is a method of identifying office files?
a) Loose leaf index.
b) Vowel index.
c) Cross-reference index.
d) Payroll index.
7. What are office files?
8. What are the procedures of office filing?
9. What is file indexing?
10. What are the merits of loose-leaf bound indexing?

Oral Assessment
1. Discuss the types of office file indexing?
2. Ways of labelling an office file?

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 3. Types of storing office file easily?

Practical Assessment
1. The trainer should practically lead the trainee to office cabinet of the one of offices
to show how the labelling is done of the files. The trainees should write a report on
labelling and indexing of office files.
2. The trainees should come up with some paper and label them effectively. The
students should help the manager on ways to file the office file effectively. The
students should give a well written report on disadvantages of filing, classification
methods and systems used.
Project
1. The students should write a project of good filing system.

6.3.2.4 Tools, Equipment, Supplies and Materials

 Computers
 Filing equipment
 Internet Connectivity
 Registers
 Stationery
 External storage devices

6.3.2.5 References

Fastrez, P., & Jacques, J. (2015, August). Managing references by filing and tagging.
In International Conference on Human Interface and the Management of
Information (pp. 291-300). Springer, Cham.
Krause, Milt. & Gifford, p. (2003). U.S patent application No 1/0/132,092
Pressman, Dr & Tuyschavers, T. (2016). Patent it yourself; your step by step guide to
filing at the US patent office note
Warren, 1. (1921). Office records; their filing and indexing. Journal of entry of
electricity and Western industry

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6.3.3 Learning Outcome No. 2: Receive Office Documents
6.3.3.1 Learning Activities
Learning Outcome No. 2: Receive Office Documents

Learning Activities Special

Instructions

2.1 Receive office documents as per SOPs Provide books for

record of file flow
2.2 Verify office documents as per SOPs
2.3 Acknowledge receipt of office documents as per SOPs

6.3.3.2 Information Sheet No. 6/LO2: Receive office documents

Introduction to Learning Outcome No.2: Receive Office Documents

This learning outcome covers verification of office documents, receiving of office
documents and the acknowledgement of office documents as per SOPs.

Definition of key terms

Office Documents: This refers to any file created in a Microsoft office application such
as word text or an excel spread sheet. It can also refer to the books kept to show records
of sales and purchases a company or organization makes.

Types of office documents

i) Purchases document
ii) Sales document
iii) Contract documents
iv) License documents
v) Passport documents
vi) Warrant documents
vii) Covenant documents

Content/Procedures/Methods/Illustrations

2.1. Office documents are received as per SOPs

In daily activities business operations many documents are received, sent out and
created. They play an important role in the business operation and taking some of the
decisions.

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Collection and classification of documents
The object of receiving of documents is to file. An office receives and sends a large
number of documents from the internal and external. They are grouped as reports,
contracts or bills.

Preservation of the documents

After collection of the data another purpose of filing is to preserve the documents for
the future reference. It provides protection to all the important documents from rats,
water, dust and dishonest employees. The aim of filing these documents is to arrange
them in scientific and systematic order in proper cabinets.
The other reason is to provide a clear understanding of the documents and to solve
disputes between business organizations and different agencies like customers and
government.
Preserving the document helps to provide dates and information for formulating plans,
policies, taking quick and rational decision.

2.2. Office documents are verified as per SOPs

Verifying office documents
This allows the company to take information taken from a person’s identity document
with their content and comparing it against the corresponding record of the document.
It helps or provides a key tool for the business organizations that are seeking to prevent
registration of clients, customers or staff that have been involved in fraudulent
identities.

Documents that are verified

i) Birth and marriage certificates
ii) National IDs
iii) Passports
iv) Education certificates
v) Driving license
vi) Visa

Importance of verifying office documents

i) It is used to check, to verify the documents produced are genuine and highlight
any discrepancies.
ii) It enables the organization to run interactive training sessions to assist the
recruitment teams and staff recruits in reporting fraudulent identifying documents.
iii) It protects the organization from the risk of civil penalties or criminal charges
for employing illegal workers.

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2.3. Office documents receipt is acknowledged as per SOPs
Receipt – this is a document acknowledging that a person has received money or
property in payment following transfer of goods or provision of the service.

Acknowledging office document receipt

This is a document that is used to verify that some specific goods, products and services
that have been received by the recipients.

Importance of acknowledging office document

a) It is used by then individual or business for the other end of the transaction to know
that they have already received the offer, appeal, complaints and request provided
the entity involved in the transaction.
b) This is a way to ensure the entity who have given any of the said items that have
the exact items are been delivered and received by the person or group who have
written the receipt acknowledgement letter.
c) It is a way to close the transaction if there are no any other concerns regarding the
item being received.

Illustration of letter of document receipt

Document acknowledgement of receipt letter
Acknowledgement of receipt
(Date)
Name Company and address
XYZ
Company Inc.
P.O BOX
Code

Dear (Name)

I hereby acknowledge the receipt of the following documents from the farm of (farm
name)
1.
2.
3.

Signature of recipient

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Inclusion of receipt
A basic receipt acknowledgment letter includes the following information;
i) Name and basic information of the business or person who created the receipt
acknowledgment letter.
ii) The personal information of the person who is the expected to be recipient of the
letter.
iii) The date which the acknowledgement letter has been created.
iv) The statement of confirmation of receipts.
v) The information regarding the item being received.
Kinds of receipt acknowledgement letter
There are kinds of receipt acknowledgment letter used in different transactions used as
follows;
i) An offer receipt acknowledgment letter is used to confirm that the person is aware
of the offering being given to him.
ii) An application receipt acknowledgement letter is a given company who has
received applications for job position, lease and organization.
iii) A product receipt acknowledgement may be sent by the caretaker of the facility to
the property owner to let him know that they already have signal for maintenance
and activities related to property.
iv) Document and product receipt acknowledgment letter serves as confirmation that
particular goods have already been handed out.

Conclusion
This learning outcome covered ways of verifying office document receipts and kinds
of acknowledgement letter. Office document filing process enhances verification of
office documents, receiving of office documents and acknowledgement of office
documents receipts as per SOPs.

Further Reading
The learners should read more on file indexing and ways of verifying the
documents
https://www.wipo.int/pct/en/texb/ro/index.htm/

6.3.3.3 Self-Assessment

Written assessment
1. Which one of the following is not the type of office document?
a) Sales document.
b) License document.
c) Employer documents.
d) Warrant documents.

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2. Which one of the following shows is not an importance of receiving documents for
filing?
a) For classification purposes.
b) For collection purposes.
c) For preservation purposes.
d) For payroll purposes.
3. Which one is not necessary documents for verifying documents?
a) Passports.
b) Visas.
c) Driving licenses.
d) Application for letter.
4. Which one of the following is an importance of verifying office documents?
a) To find out if the documents are genuine.
b) In order to show how much the employee can earn according to the job done.
c) To show the interactive point of having decent documents without trash.
d) It leads organization to run interactive training sessions and assist human
resource recruitment team.
5. Name the importance of acknowledging office documents receipts, which one is not?
a) It is the best way to close down the transaction if not any other business is going
on.
b) It is used to show to the other business organizations that they have already
received the offer or complain regarding the transaction.
c) It helps to locate the client easily without much straining.
d) It assumes the entity that has given any of the said items that exact items are
being delivered.
6. Which one of the following should be involved in office receipts
acknowledgements?
a) Name and basic information of a person.
b) The item that is being received.
c) The date of creation of acknowledgement letter.
d) The age of the person.
7. Define office document receipts?
8. Discuss ways of verifying office documents?
9. What are ways of receiving office documents?
10. Explain types of office documents?

Practical Assessment
1. The learners should create an acknowledgement of office documents receipts of the
prestigious company that has supplied the products and services to their company
of their choice.
2. The tutor to direct them ways of verifying the important documents of their lives
like educational certificates using various software in the computer lab.
3. The tutor to bring samples of acknowledgment of the office receipts either through
softcopy to show how they are. The students to give out the observations.

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Project
1. The students to write a project essay of receiving/managing and acknowledging of
office documents.

6.3.3.4 Tools, Equipment, Supplies and Materials

 Computers
 Filing equipment
 Internet Connectivity
 Registers
 Stationery
 External storage devices

6.3.3.5 References

Krause, Milt. & Gifford, p. (2003) U.S patent application No 1/0/132,092

Pressman, Dr & Tuyschavers, T. (2016) Patent it yourself; your step by step guide to
filing at the US patent office note
Warren, 1. (2009), office records; their filing and indexing. Journal of entry of
electricity and Western industry
Warren, 1. (1921). Office records; their filing and indexing. Journal of entry of
electricity and Western industry

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6.3.4 Learning Outcome No. 3: Sort Office Documents
6.3.4.1 Learning Activities
Learning Outcome No. 3: Sort Office Documents

Learning Activities Special Instructions

3.1 Determine office filing documents classification methods Provide filing cabinet/
(vertical, digital, and horizontal, lateral) and systems as per the shelves
workplace policy.
Stimulate the use of
3.2 Classify office filing documents as per classification the different filing
system. methods.

6.3.4.2 Information Sheet No. 6/ LO3: Sort Office Documents

Introduction to Learning Outcome No.3: Sort Office Documents

This learning outcome covers classification methods of office filing documents and
classification of office filing documents as per classification system.

Definition of key terms

Office Filing: It means keeping documents in a safer place and be able to find them
easily when you need them.
File indexing: This refers to indexing of files to the organization of the data according
to a specific plan or scheme. It determines the name, subject or any caption where the
document has been filed.

SOPs: this refers to set methods to be routinely for the performance of designated
situations.

Content/Procedures/Methods/Illustrations
3.1 Office filing documents classification methods (vertical, digital, and horizontal,
lateral) and systems are determined as per the workplace policy
Filing classification methods
a) Horizontal
Under this method, the files are placed horizontally on a shelf or a table or inside a
drawer, one upon another. Desk filing are also known as horizontal methods. It is oldest
and common method that is practiced when the number of files is small and modern
filing equipment.

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 Advantages
i) Simple and easy method
ii) It’s not costly filing equipment
iii) Its easily readable because the subject matter and number of the office file
written at the end

Disadvantages
i) Folders cannot be kept horizontally
ii) It takes more space, if they have been classified manner
iii) Whenever the files are awarded, it takes all files placed above to be
removed.

b) Lateral
These are office files placed standing like books on the shelf one by the other side of
the other. It’s also called lateral filing, its common and old method.

Advantages
i) Simple and easy method.
ii) Doesn’t require costly filing equipment.
iii) Its suitable to keep files made with hard paper board.
iv) Easily readable.

Disadvantages
i) It needs support if not they will fall and sag.
ii) The file can get damaged and finally gives way due to constant pulling by
the joining end.

c) Vertical
The office files are placed vertically one behind the other, with joining end at the top
(the number written on the file and subject matter). The files are kept suspended in a
hanging position and have hanging device.
This modern method of keeping office files.

Advantages
i) There is no sagging as it is prevented by the mechanism of the filing cabinet.
ii) There is much elasticity due to some files or folders can be squeezed in.
iii) There much greater security as the drawers of the cabinet can be locked.
iv) There is economy of space as one filing cabinet can fill large number of
files.

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 Disadvantages
i) Its costly method because of the purchase of the filing equipment
ii) There is much training permanent to fit in the operation hence pay scales
may be high

The vertical method of filing is considered one of the best because it has a lot of
advantages. Even though capital outlay is needed for filing expense, different kind of
filing equipment; But in the long-run, it can be able to accommodate a lot of the files
that can be maintained.

d) Digital method
These are where the files are being entered in the computer programs to be filed. They
are intended to be used as either electronic form or having them printed out. It’s much
easier to distribute electronic forms than the hard copy forms.

Advantages
i) The improvement in the electronic visual display technology has made it
possible to view the documents instead of printing them.
ii) Saving paper and space required unlike the traditional methods.

Disadvantages
i) Complex problems with complex file formats of various words, processors,
spreadsheets.

3.2. Office filing documents are classified as per classification system

(alphabetical, numerical, geographical, subject, and alpha-numerical)
 Alphabetical classification
The letters are filed in the alphabetical order of the names of the parties. It’s important
because the heading of the files can be able to be expressed in one word, name of
products and people. The files contain letters are arranged alphabetically. The first set
of files can have papers of the employees whose names begin with, then those letters
that begin with and so on.

Advantages of alphabetical classification

i) The clerks don’t need training to perform their tasks.
ii) Easy and convenient to the group papers by name of products, persons and
firms.
iii) Files are located easily.
iv) Number of files can be introduced and reduced without disturbance.

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 Disadvantages
i) When names are misspelt, there is difficulty in locating the file.
ii) Several persons having the same name can create mistakes.

 Numerical classification
In this classification the employee is allocated the number and the same number is used
for one of the documents or the papers related to him. The file also is being numbered
and papers are filed by the basis of numbers.
Hence the located number of the correspondent becomes its file number.
Decimal system may be used if one file contains of more persons.
Merits of numerical classification
i) Accuracy of filing system is greater.
ii) Reference is made by numbers.
iii) Simple to understand.
iv) It can be noticed promptly if the file is misplaced.
v) It is easy to operate; the numbered files are easily located.

Demerits of numerical classification

i) A separate index is a must.
ii) Transportation of figures causes misfiling.
iii) More time is wasted to locate the file.

 The Alphabetical-Numerical or Alpha-Numerical Classification

Its popular system nowadays. It’s a combination of alphabetical and numerical system
In this system each letter or sub-letter is given its own number and the index card is
carefully placed behind the guide and for each alphabetical section.
The names and numbers of all files are mentioned in numerical order behind each card.
The colored guide cards best used to sub-divide for the folders into groups to facilitate
their classification like Aa-Ag. The first folder will bear the number A/1 and second
folder will bear the number A/2 and so on.

Merits of Alphabetical-Numerical or Alpha-Numerical Classification

i) Elastic classification
ii) Facilitates quick reference
iii) All the advantages of alphabetical & numerical classification

 Geographical classification
The files are grouped into geographical location of the firm or person. Under this
method name of places are written in file and are arranged in the drawer of the cabinet
either in alphabetical or numerical order. It’s commonly used for multi-national
companies and branches located in different places.

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 Advantages of Geographical classification
i) Easy to understand and use.
ii) Arranged in alphabetical and numerical order.
iii) Used commonly with international business.

Disadvantages of Geographical classification

i) It’s expensive.
ii) Time consuming.
iii) Not suitable for small scale organization.
iv) No use of card or index.

 Subject classification
In this system, papers are grouped in accordance to the subject. The subjects are
normally filed in alphabetical order e.g. Audits, Bills, Bonus, etc.
This method is greater more suitable when the subject is of greater importance than the
name or location of the correspondent.
The merits of the system are
i) The scope of expansion exists without any disturbance of other office files.
ii) Convenience of reference when the subject is known.

Demerits
i) Difficulty in classification.
ii) Not suitable for miscellaneous papers.
iii) Index is needed.
iv) Frequent cross referencing may be necessary.

Sorting procedure of office document filling

Coming up with sorting procedure is responsibility of the managers and qualified
personnel. The routine should include decisions regarding activities in proper sequence.
1. The first step is to give instructions in proper form by a responsible officer to filing
the paper. The signature and date of the officer.
2. The second step is to classify the paper on the basis of pre-determined system of
classification e.g. numerical, alphabetical & geographical.
3. The third step is to mark file head and its purpose on the document on a blank space
provided.
4. The fourth step is identifying the urgency of disposal of different letters.
5. The fifth step is to attach follow-ups slips to different papers received as some
letters like purchase orders.
6. Any letter or document should be sent to concerned officials along with the file with
necessary action.
7. When the complete file is back, it may keep its original state.
8. Lastly, periodical disposal of dead file is necessary. The dead files are destroyed
according to work policy.
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Conclusion
The unit covered on office filing documents classification method together with office
filing documents that are classified according to the classification system. The
classification methods of filing are horizontal, vertical, lateral and digital whereas
classification system included alphabetical, numerical, geographical and chronological
systems.

Further Reading

The learners should learn more on;

 Northern Michigan University: Standard Filing Systems
 Oregon State University: Filing systems

6.3.4.3 Self-Assessment
Written assessment
1. Which of the following is not a method of classification of file?
a) Unilateral
b) Horizontal
c) Vertical
d) Digital
2. Which of the following is not advantage of horizontal method?
a) It’s not costly.
b) Easy to use method.
c) Takes less time.
d) Easily readable.
3. Which of the following are classification systems used in filling of office documents?
a) Up & down method.
b) Alphabetical method.
c) Geographical method.
d) Chronological method.
4. Which of the below is not a merit of numerical method of filing of office document?
a) Simple to understand.
b) Minimizes time.
c) Can be noticed promptly.
d) Easy to operate.
5. Which of the following is not an advantage of geographical system of office
document filing?
a) Time consuming.
b) No usage of card nor index.
c) Suitable for big businesses.

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 d) It’s expensive.
6. Which of the following is advantages of subjective classification?
a) Existence of the scope for future expansion.
b) Easy to understand.
c) It’s clear and simple.
d) Easy in classification.
7. What is vertical filing?
8. What is geographical filing?
9. What is numerical filing?
10. Distinguish between filing and index?

Oral Assessment
1. List the main advantages of vertical filing
2. The numerical filing system takes time in referring to the __________________
3. Under __________________ filing, papers are kept in containers once upon the
other in that position.
Practical Assessment
1. The learners should list all types of document classification.
2. The students should visit a cabinet of the company of their choice and discuss the
challenges of the systems in the office.
3. The student should create alpha-numerical methods of filing of a sample of
documents in office document.
4. The students list down the procedure of filing.

Project
The student should write an effective essay covering the office document methods and
systems.

6.3.4.4 Tools, Equipment, Supplies and Materials

 Computers
 Filing equipment
 Internet Connectivity
 Registers
 Stationery
 External storage devices

6.3.4.5 References

Arora, J. (2016). E-Filing of income tax returns in India-An overview. Research

Journal for Humanity Science and English Language, 3(14), 34-42.
Kharal, Soma Raj, Surendra.Thapa.Aslami and Ritaran.Dhakal. Business Studies.
Kathmandu Taleju Prakashan, 2007

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Pant, Prem R, et al. Business Studies, Kathmandu: Buddha Academic Publishers and
Distributors. Put. Ltd, 2010
Pigin, V. (2015). U.S. Patent No. 9,003,548. Washington, DC: U.S. Patent and
Trademark Office.

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6.3.5 Learning Outcome No. 4: Record Office Documents
6.3.5.1 Learning Activities
Learning Outcome No. 4: Record Office Documents

Learning Activities Special

Instructions

4.1 Identify office documents register as per the SOPs Provide

sample
4.2 Record office documents
document
registers

6.3.5.2 Information Sheet No. 6/ LO4 Record Office Documents

Introduction
This learning outcome covers the identification of office filing as per the SOPs and
recording of office document. The creation of office documents filing register;
procedure of registration of document, filing register and maintenance of record
keeping of office documents registration.

Definition of key terms

Filing equipment: These are equipment that are used in filing of documents,
This can be grouped into
a) Vertical drawer cabinets require more floor space, and mostly more floor space,
and more physical effort and time to access the folder.
b) Lateral cabinet; used in some offices as an alternative to vertical drawer
cabinets.
c) Open shelves; open retrieving provides high density access to file folder while
occupying significantly. Less floor space than vertical or lateral cabinet.

A document register file: is an array of process register in CPU. It can also simply be
a list of every document that organizations use as standards.
#includes fact sheet, banners and website.

Content/procedures/methods/illustrations
4.1. Office documents register is identified as per the SOPs
Creation of office document filing register
This can be referred to as the process of handling documents in a way that the
information can be created, shared, organized and stored efficiently and appropriately.

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The purpose of creation of office document filing register is to organize and storage
documents. The documents are stored in an organized and secure way that allow the
document to be found easily.

Content of office document filing register.

 They are various material needed for registering of office document files its
normally known as file register
 It’s normally maintained in the form of appendix-1 and its used by general
department for printing, stock and issue.
 The number of sheets of each department may not be same hence they are
maintained in a permanent record.
 The register of the office is filled with the number and subject allocated to
upon its opening.
 The register enlists all the details of all files that have been opened through
the year.
 If the page can be allocated year-wise, then entries for the next year will be
made or opened.
 The entries into the file are made in blue ink only.
 The entries should be ensured that they have been entered correctly as
overwriting and possible deletion is avoided.
 In-order to avoid misuse, the file is kept by junior clerk.

Importance registration of office documents

a) The aim of proper titling is necessary to give the correct idea to the reader on the
subject matter.
b) To make early traceable among the others.

The procedure of registration of the office documents

 Its approval is done by the head of the department prior to its opening. The number
of files is kept exactly as the same as shown in the file register.
 A number given to the file is a combination of the start of the year, initial letter used
for identifying the department.

The standard heading

 These are number and serial number of the file present under it.
 If the file that are opening is policy file, hence bears letter” (p)” after the standard
heading.
 A separate file contains routine action taken or the matter taken dealt with because
of a policy decision.
 Dealing and filing of those papers is independent of the year to which the reference
of the file pertains. The number of files, the number of notes and correspondence is
limited to 150.

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If it exceeds that a new file is opened with the same numbers but having a difference
volume number.
The following file renamed as vol-1 at present and the same can be quoted in the space
provided for the previous and later references.

4.2. Office documents are recorded

Recording office documents
There are documents that are recorded in the office files.
Recording is the act of putting an estate document into the official records.
They may include the employee personal information; client information, sales
department and purchase department.
The documents are examined only to determine if they do meet the recording
requirements.

Importance of recording office documents

1. It reduces operating costs.
2. Improve access to information.
3. It minimizes litigation risks.
4. Safeguards vital information.
5. Support better management decision making.

Methods of identifying the records needed to document the activities?

Conduct an inventory of the material in one’s office.
Firstly, document at minimum, where material is located how much there is and the
format (electronic, paper).
The inventory helps to identify which materials are:
 Records
 Personal paper
 Extra copies of documents publications
The inventory will help to identify which document will be needed in case of
emergency.

Record keeping requirements include the following:

a) The type of document that are included in the record files.
b) Who will be responsible for maintaining the record copy?
c) How working papers and draft documents will be handled.
d) If the record will be kept in a centralized area or decentralized area.

Maintaining of office document filing register.

The maintaining of the office document safe – its therefore important to make sure that
all papers are kept in good condition.
a) Do not put too much office files or folders.
b) Never allow filing shelves drawers to become too full.

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c) Acquire new cabinets when necessary.
d) Box file and level such files can hold more than simple folders.
e) Do not leave them lying on desks or shelves keep the documents awaiting to be
filed in drawers.
f) Put new covers on old files which got a lot of use and become torn and worn out.

Good housekeeping and safety should file all the document that you can able to;
1. Leave desk tidy.
2. Place all waste paper in rubbish bins.
3. Those that one can’t file put them on trays.
4. Place all waste files in rubbish means.

Conclusion
The unit covered on identification of office documents register and the recording of
office documents that is used in safeguarding office files. The topic also explained more
on ways of recording of office documents, maintenance of office document filing
register and has importance of office filing register.

Further Reading

Google: Orogon state University: filing systems

Northern, Michigan University. Standard filing systems

6.3.5.3 Self-Assessment
Written assessment
1. Which of the following are not the type of filing equipment on a register?
a) Open-shelves.
b) Lateral cabinets.
c) Closed shelves.
d) Vertical drawer files.
2. Which of the below is not important in registering of office documents.
a) To make it traceable among others.
b) To give a proper idea to the user on the subject matter.
c) To make them durable.
d) To safeguard the office documents.
3. Which of the following is not a procedure of office document registration?
a) The approval is done by the head of department prior to its operating of the
number of files.
b) These should have a standard heading.
c) These should be a separate file on routine action.
d) Dealing each file with independent number to which the files opened.
4. Which of the following is not an important of recording office documents?
a) Reduce operating cost.
b) Minimize litigation cost.

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 c) It safeguards vital information.
d) It reduces time wastage.
5. Which of the following is not record keeping requirement?
a) The type of document that are included in the record files.
b) The one responsible for maintaining the record copy.
c) How working papers and draft document will be handled.
d) Having a cabinet for filing.
6. Which of the following is not a way of maintaining of office document filing
register?
a) Do not put files or drawings files to become too full.
b) Do not leave them lying on table or desks.
c) Put new covers on the old files.
d) Photocopying of new file documents.
7. Explain the content of creation of office documents filing registration.
8. Explain the measure of good housekeeping and safety.
9. What is the content of filing of office documents registration?
10. What is the procedure of registration of office documents?

Oral Assessment
1. What is filing equipment?
2. What is recording of office equipment?

Practical Assessment
1. The learner creates a document filing register to show filing system is conducted.
2. The learner should create an office document using a sample and present all the
procedures of office document registration.
3. The learner should show ways of maintaining of office document filing register.

Project
The student should write a project on office filing registration and its advantages and
disadvantages of registration.

6.3.5.4 Tools, Equipment, Supplies and Materials

 Computers
 Filing equipment
 Internet Connectivity
 Registers
 Stationery
 External storage devices

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6.3.5.5 References

Arora, J. (2016). E-Filing of income tax returns in India-An overview. Research

Journal for Humanity Science and English Language, 3(14), 34-42.
M.H, & Gifford P. (2003). US. Patent application NO.10/132.092

Warren, L. (1921). Office records. Their filing and indexing. Journal of electricity and
western industry.

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6.3.6 Learning Outcome No. 5: File Office Documents
6.3.6.1 Learning Activities
Learning Outcome No. 5: File Office Documents

Learning Activities Special

Instructions

5.1 Identify filing equipment (registry office space, cabinets, Provide filing
shelves, and computers) as per the workplace procedures. equipment
5.2 Identify and match file with the documents.
5.3 File documents.
5.4 Assign documents folio.

6.3.6.2 Information Sheet No. 6/ LO5: File Office Documents

Introduction
This learning outcome entails identification of filing equipment as per the workplace
procedures, identification and matching of file with documents, filing of documents and
assigning of folio documents. The outcome will deeply look upon on the type of
registry, essentials of good system, the types of registers and document assigned folio.

Definition of key terms

Office documents: This is a file created in a mindset office application, such as word
text documents. The documents include cash memo, invoice and bill, receipts, pay in
slip, cheque and debit notes.
Filing Equipment: They can be grouped in the vertical, drawer cabinet, lateral cabinets
and open shelves, mechanical files (rotary equipment and movable shelves)

Content/Procedures/Methods/Illustrations
5.1 Filing equipment (registry office space, cabinets, shelves, and computers) is
identified as per the workplace procedures
Filing refers to as an activity of putting documents, electronic information into files. Its
also refers to an official record of something.

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Filing Equipment
Physical Filing Equipment
1. Filing Cabinets
It’s an office staple. The drawers allow files to be stored laterally standard. According
to Smead, a document management company filing cabinets are beneficial, if you keep
the records secure. This is so because they can be locked, a company can limit access
to sensitive files, while allowing the clients or staff to enter the room. This tends to be
one of the best expensive and got the most of limited capacity. According Smead, notes
that have a four-drawer filing cabinet that takes 6 foot by 24foot filing area can hold
approximately 8448 folders. Open Shelves-Units are so similar to open the book cases,
because they are normally designed for folder width and height. The design allows the
users access the files and can either be stationary or be mobile if folders are attached
towards the bottom.

Advantage of open shelving

a) It saves on space and money.
b) They are less expensive than filing cabinets.
c) A seven-tier open shelving system has 80% more capacity.
d) Mobile shelving can be placed in tighter density and offers 405% more
capacity than the other cabinets.

2. Digital Filing Equipment

The electronic documents are saved directly into the system and the physical documents
are scanned and they are converted into digital format.

Advantages of digital filing equipment

a) It allows users to search information quickly and keep the information
secure.
b) The users have choice of system and the equipment for digital system.
c) The files are much more organized.
d) The data are stored locally on a laptops’ or the computer’s internal hardware.

3. Servers
Most businesses would need to opt to invest in a server in order to access to the same
data. The servers act as central depository for the many users file. The applications like
databases and enterprise resource planning systems on the server.

Advantages of a server
a) The large number of people can be able to access the same data
b) The server data can be backed up to an external device or the cloud for the
extra security.

N/B: Amazon web services, windows Azores and Rock space cloud services are the
option, they normally done require a physical server.

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4. Mechanical files (rotary equipment)
Folders are stored in an open shelve that provides a density storage. The mechanical
carriers rotate in the format that is able to bring the desired record closer to the user.

Advantage of Mechanical file

a) They use the least amount of floor space

Disadvantages of mechanical files

a) They are expensive.
b) It only allows one person to access the record at one time.
c) One can be victim of power or equipment failures.
d) Due to their weight, it requires a high structural floor load capacity.

Essentials of a good filing system

a) Simplicity- Must be simple in its operations such that any staff can easily
understand the filing system.
b) Suitability – the filing system should be completely applicable to the firm and
is able to suite the nature and requires of the business firm.
c) Adaptability- The system must be able to adapt to the changes in the business.
d) Economy- Cheap systems of filing are to be adopted. The cost incurred by the
system must be proportionate to the results that are obtained.
e) Requires less space- The equipment should require a minimum floor space so
that the dead files can be removed.
f) Co-ordination and control - a good system must permit constant co-ordination
among all departments.
g) Flexibility – the filling system can be expanded.

5.2. File is identified and matched with the documents

Centralized and Decentralized filing
1. Centralized filing
This is where the records for several units or individuals are located in one or central
location

Advantages of centralized filing system

a) Responsible is easily placed.
b) Improved security.
c) Reduced duplication.
d) Improved security.
e) Effectiveness use of equipment.

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 Disadvantages of centralized filing system
a) Records may be too distant from the staff.
b) Require full-time staffing.
c) May require investment and more efficient filing equipment.

2. Decentralization
This is where the files are located through the office like work stations. They are usually
controlled by a person who controls and receives them.

Advantage of decentralization
a) Doesn’t require full-time staffing.
b) Doesn’t require extra space needed for centralization.
c) They are located near the staff, where they create and use them.

Disadvantages of decentralization
a) Much confusion where information can be found.
b) Lack of uniformity.
c) Lack of consistency.
d) The staff lack of knowing on keeping the files.
e) There is no clear supervision.

5.3. Documents are filed

Meaning of registry- this means where register is kept or means an official written
record of names or events or transactions.

Functions of a registry
a) The registry plays an important role in epidemiological research.
b) The registries can be of value in identification of current available resources.
c) They are needed to be entered registries are designed to match the people and
resources they are seeking.
d) The registry can be submitted voluntarily, for example by the people willing to assist.

Types of registries
a) MAR (Memory Address Register)- this kind of register is used to access data and
instructions. In case the CPU wants to store some data in the memory of reading the
data from the memory. It’s normally the address of the required memory location
in the MAR.
b) Program counter- also known as instruction pointer (IP) in the Intel x86
microprocessor and also known as instruction address register.
c) Accumulator register—this register is used for storing the results those are
produced by the system. When the CPU will generate some results after the
processing then all the results will be stored into the AC register.
d) Data register – used in micro-computer to temporarily store data being transmitted.

237
e) Memory buffer registration - the register holds the contents of data or instruction
read from or writer in a memory. The memory is used to data/instruction coming
from the memory.
f) Index register - the hardware elements which holds a number that can be added to
the address portion of a computer instruction to form an effective address.

Factor to consider when deciding type of registry

a) Expensive and reputation -the reputation is very important.
b) Political and consular support.
c) Registration process.
d) Mortgages.
e) Registration fees.
f) Manning -how flexible is the registry and its requirements.
g) The type of service.
h) Identify key shareholders.

Duties of registry personnel

a) Classify and label documents and file according.
b) Maintain accurate records of documents in order and movement.
c) Respond to customer queries in person by email, post or phone.
d) Maintain accurate records of the documents or irrelevant /outdated.
e) Ensure up-date database and system,

5.4. Documents are assigned folio

Assigning folio to documents
The practice of allotting numbers on a contained document is called folioing. By
placing a folio number on each item there is ability to;
a) Account for every page included.
b) The order of their receipt within the record.
c) Facilitate the establishment of content within which decisions taken.
d) Identify any gaps or missing items from the record.
e) Reference or quote individual items contained in the record.

Applying folio numbers to documents

a) Folio numbers should be placed in the top right-hand corner
b) Each new folio added to the record should have a consecutive number
commencing at it.
c) Enclosures should be given the same number as the item but followed by a
sequential teller until the folio is completely numbered.
d) Folio number should generally be recorded in ink.

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Conclusion
The learning outcome outlined on office documents filing which help in having an
appropriate filing equipment. It also covered on qualities of a good filing system, the
types filling equipment, the centralization and decentralization filing knowing the
functions of registry, the types of registry and duties of registry personnel and lastly
knowing folio to documents.

Further Reading

The further reading should learn more of electronic registry from:

 Wikihow.com/organize- office-files
 Orogon state University: filing systems

6.3.6.3 Self-Assessment

Written assessment
1) Which of the following is not office file equipment?
a) Filing cabinet.
b) Open shelving.
c) Digital filing equipment.
d) Computer filing.
2) Which of the following are advantages of open shelving?
a) Saves space and money.
b) They are less expensive
c) Has more than 80% of the capacity.
d) Much file organization.
3) Which of the following is not advantage of centralized filing system?
a) It reduces duplication.
b) Improved security.
c) It’s cheap.
d) Leads to effectiveness use of equipment.
4) Which of the following are the disadvantages of decentralization?
a) Lacks uniformity.
b) No clear supervision.
c) Lack of knowledge from the employees.
d) It leads to uncertainty of resources.
5) Which of the following is not a type of registry?
a) Data registry.
b) Accumulator registry.
c) Computer registry.
d) Program registry.

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6) Which of the following are not factors to consider when deciding the type of
registry?
a) To identify the key stakeholders.
b) The registration fees.
c) The type of service.
d) The company sizes.

7) Differentiate centralized and decentralized filing.

8) What are the functions of registry?
9) What are the procedures of assigning folio of documents?
10) What are the essentials of a good filing system?

Oral Assessment
1) State the advantages of digital filing system?
2) What are the advantages and disadvantages of mechanical equipment?
3) What are the duties of registry personnel?

Practical Assessment
1) The learners should list all the documents of registry of the organization of their
choice.
2) Practically, the learner should show how they will apply folio numbers in
numbering of documents
3) The learner should use any kind of register to find its advantages and the
disadvantages

Project
The student to write an essay on filling on folio documents and tackle on the procedure,
advantages and ways to improve on IT

6.3.6.4 Tools, Equipment, Supplies and Materials

 Computers
 Filing equipment
 Internet Connectivity
 Registers
 Stationery
 External storage devices

6.3.6.5 References

Katende, H. (2018). Assessing filing and storage of active records at office of the prime
minister registry (Doctoral dissertation).

240
Pozzi, S., & Celentano, A. (1993). Knowledge-based document filing, IEEE experts.
8(5) 34-35.3

Slonim, J. Mac Rae, L.J., Mennie, W.E Diamond, N.1981. NDX-100., An electronic
filling machine for the office of the future Computer,14(9),24-36.

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6.3.7 Learning Outcome No. 6: Safeguard office File
6.3.7.1 Learning Activities
Learning Outcome No. 6: Safeguard office File

Learning Activities Special Instructions

6.1. Familiarize with office policy manuals on safeguarding Simulate protection

office files as per the SOPs of digital file
6.2. Initiate office policy manuals on safeguarding office files passwords
6.3. Assign responsibilities as per workplace procedures
6.4. Store office files in the filing equipment/ storage devices as
per the workplace procedures.
6.5. Monitor file movement as per SOPs
6.6. Protect digital file passwords as per the SOPs

6.3.7.2 Information Sheet No. 6/ LO6: Safeguard Office File

Introduction to learning outcome No.6: Safeguard office File

The learning outcome involves familiarization of office policy manuals on safeguarding
office files, storage of office files in the filing equipment per the workplace documents.
The outcome will be able to come more of the types of the types of storage facilities,
ways to retrieve the files, and protecting digital password files.

Definition of key terms

File transfer: This refers to the movement of one or more files from one location to
another. The file transfer protocol (FTP) is a common way to transfer a single file or
relatively small numbers of files from one computer to another.

Obsolete files: These are temporary data and redundant information that slows down
your business’s daily operations. The application to this data can load features more
efficiently, but excessive absolute files require attention.

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Content/Procedures/Methods/Illustrations
6.1. Office policy manuals on safeguarding office files are familiarized with as per
the SOPs
The safeguarding files may be including the following;
a) Minutes of the meeting
b) All the welfare concern forums
c) All notes recorded initially in the form of notebooks or diaries.
d) Referral forms
e) Professional consultations
f) Records of discussion, telephones call and meetings
g) Formal plans
h) Chronology

Safeguarding Office Files

Purpose of safeguarding office files
a) A good method of sharing of information.
b) Identify the link between the past and the presents.
c) Identifies the significance of the issues to be understood.

Obsolete files disposal

As the office continue to eliminate paper records in favor of digital filing system, you
may dispose of the dozen or the hundreds of old papers office files;
a) Assess which files need to be kept – the manager has a clear understanding
that you will need adequate time to accomplish this job.
b) Begin distracting the files -spreading out several documents at one especially
if the files must be complete before you scan, then prepare adequate space on
your desk or use any empty desk or work area for physical taking the file apart
and designated space for the documents waiting to be scanned.
c) Scan documents that must be saved -you can batch the records together before
you scan them. Once scanned, you will want to save them into your
computerized filing system using a logical structure that reflects best practice in
your industry.
d) Dispose of unneeded documents - once the scanning is done for a batch of
files, you must shred unneeded but sensitive documents.
e) Keep up with documents disposal needs - take time in a while to dismantle,
scan and dispose of old files.

There are four destruction option of obsolete records

a) Shredding – the documents are shredded and waste product recycled
b) Incineration -the burning of the records
c) Landfill- the burial of records of a confidential nature is unacceptable as a means of
destruction.

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6.2. Office policy manuals on safeguarding office files are initiated
a) Use document recovery
Office 2016 helps you to recover your documents in the events that the software closes
unexpectedly is quick and easier procedure.

b) Reveal Temporary files

Documents that have been corrupted or deleted sometimes leave behind temporary
version that contains most, the content of the original.
The type file explorer options into the search bar and open the corresponding control
panel result. One is able to switch to the view tab and find the hidden files and folding
and toggle in the advanced setting section.

c) Check the recycle bin

The recycle bin consist all the files that have been recently deleted. You use restore
forum to recover the deleted files.

d) Use the third-party utility

i) Easy office recovery
This is a comprehensive method of rescuing your office documents that is simple
and straight forward to use. The software scans your hard drive for the lost or
corrupted files and often a preview windows so that you can skim through and find
easily the documents you were looking for.

ii) Recover
It’s utility that often use the file recovery ability to free but only requires a license
for the preservation measures and some advanced functionality.

6.3 Responsibilities are assigned as per the workplace procedures

Retention policy in organization
The office should be able to know the records that it should retained, deleted or archived
to the records. Retention schedule. It should be applied to all folder in the shared arises.
Some non-records drafts, working file in the informal folder structure will have a short
retention of maximum of two years.

The retention should manage in shared drives in order

a) Accountability dispose of the records in a timely manner.
b) Reduced volumes of the in-formalization.
c) Reduce the record stored.
d) Dispose of outdated, irrelevant or duplicate information of records.
e) Prepare for migration to another shared arise or more suitable system.

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Importance of retention policy
a) It helps to establish a uniform rule across the organization as to how long
something should be retained.
b) The organization establishes these policies to mitigate the risks associated with
state and local laws.
c) It serves as a guide for when certain records can be destroyed due to the physical
or electronic space constraints.

6.4 Office files are stored in the filing equipment/storage devices as per the
workplace procedures
Stored document control- The storage document is a stored document professional
whose purpose is to enforce controlled processes and practices for creation, review,
modification, issuance, distribution and accessibility of documents. The role ensures
that documentation available at the official points of use within an organization is
entrusted by its users and contains up to date, reliable, checked and formally approve
information.

Mostly present in organization or activity sectors

a) Involving construction.
b) Where the document is frequently updated or modified.
c) Seeking or holding ISO 9001 certification.
d) Wherein finding reliable, up to date and official documents and information is
of critical importance.
e) When large number of documents are produced and exchanged between
different entities. Involves technical operations, strong emphasis on
compliance, traceability and auditability.

Strong devices of office devices

Storage devices are one of the core components of any computing device. The storage
device is used in the computer to store data.

Types of storage
a) Primary storage- also known as main memory, and it’s directly or indirectly
connected to the CPU via memory. The CPU continuously read instruction and
execute what is required. Examples include Ram, Rom, and cache. RAM-is also
known as random access memory. The data in RAM can be accessed just as
fast as any other data. RAM memory used as the computer begins to boot up.
b) Secondary storage- not directly accessible by the CPU. Computer usually uses
its input channels to access secondary data using intermediate area in the
primary storage. E.g. hard disk-it’s the main and usually the largest storage
devices in a computer.

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Table 7: Internal and External hard disk

Internal hard disk External hard disk

Portability No Yes
Price Less expensive More expensive
Speed Fast Slow
Size Big Small

c) Tertiary storage - This involves a robotic mechanism will mount (insert) and
dismount removable mass storage media into storage device. It’s primarily useful for
extra ordinary large data stores accessed with human operations. Examples Magnetic
& Optic disk
d) Offline storage - Also known as disconnected or removable storage. It’s a
computer data storage and device that is not under the control of a processing unit. It
must be inserted or connected by human operator before a computer can access again
e.g. memory card, floppy disk, punched card, USB-flash drive, cloud storage

Storage device features

a) Volatile
b) Accessibility
c) Mutability
d) Addressability

6.5 File movement is monitored as per the SOPs

The file movement monitoring
With so many programs working in the background performing their own tasks it can
be quite difficult know what has been written, deleted or modified to and from your
drives.

Tools to monitor file and folders to changes in real time

a) Watch 4 folder
While performing the task of watching for a number of different actions such as the
files or the folder created. The four folders can alert you in interesting functions such
as watching for a file association changes, whether the free space has changed and also
if a CD/DVD is increased or ejected.

b) Directory monitor
It’s a tool that can watch for file and folder changes, modification, selection and the
creation of the new files and do this while being able to handle multiple locations at

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once. The adding of include and exclude wild as a pattern is also possible if you want
to exclude certain files from the monitoring process.
c) The folder spies
The program is able to handle the real time monitoring of multiple folder at once and
to have a very portable executable of just 120k. The folder spy can watch for creation,
deletion, attribute changes, access date and file size change.
d) Track folder changes
It’s a very simple, small, and portable tool to operate and has no options to configure at
all. The type of changes to files and folders it can detect is also slightly less than some
other programs but still able to identify when they are created, modified or deleted.

6.6 Digital file passwords are protected as per the SOPs

The password is essential to business as recent data suggests that 66% of data suggests
that 60% of data breaches stem from lost or stolen password.

The password protection

This is a security process that do protects information that is accessible through
computer that need to be protected from other users
The password allows only the authorized password ones to access to the certain
information. The password is used commonly to gain entry to networks and into various
internet account in order to authenticate the user accessing the website.

Procedure of protecting western digital external hard drive using a password

a) Download and install WD security program on your personal computer
b) Connect your WD external hard drive to you Pc.
c) Enter the password when launching WD security.

Other security solution for protecting your files

a) File the easy way to password protect files is to create on archive of the files
using a compression tool. When archives are created, you can encrypt the
content by specifying a password.
b) Windows WTE and window XP users

Window WTE and windows XP come with their own compression utility, the use of
the third part software program is advised for protection of comprised utility.

The files and folders frequently used as accessed

In order to safeguard the password, protect that you frequently use you need to install
a third-party program that allows you to protect your files and folders.

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Below are some free and commercial solutions
a) 7-z -a free file and folder zipping utility, which includes the ability to password
protect zipped file and folders
b) Protect folder with an excellent software program that enables you to password
protect folder
c) Folder inward - a password protection software program that enables you to
protect files, folder and other window resources.
d) Ax crypt - an excellent free encryption utility that enables users to encrypt all
the files within a folder and not allowed to be viewed unless a pass phrase.

Some of the issues on password protecting files and folders

a) No much protection on the protected file and it can’t be 100%. There are
numerous tools, utilities and instructions on how to break password on the files.
b) It can be deleted even though it is protected always remember to backup all your
files
c) The data will be lost if you forget the password and you are spending time to
speak.

Conclusion
What was covered enhanced on transfer of files, retrieval of files, file movement
monitory and even disposal of obsolete files. It also covered on ways of safeguarding
office files, the purpose of safeguarding office files ways of disposing obsolete files
retrieval of office files.

Further Reading

The learner to read further on various software used to protect digital file
passwords.
Safeguarding Records: The choice of Erg law
Texas. State library and archives commission filing system

6.3.7.3 Self-Assessment
Written assessment
1. Which one of the following is not included in safeguarding of files?
a) Minutes of the meeting.
b) Welfare concern forms.
c) Record of discussion.

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2. Which of the following is not a purpose of safeguarding of office files?
a) Used to identify the significance of the issues.
b) To identify the link of the past and the present.
c) To identify the significance of the issues to be understood.
d) To make the tidy.
3. Which one of the following is not a destruction option of obsolete records?
a) Land drill.
b) Shredding.
c) Throwing away.
d) Incineration.
4. Which of the following are the ways of retrieving office files?
a) Use of document recovery.
b) Use of computer.
c) Checking the recycle bin.
d) Use of the third part utility.
5. Which of the following is not a type of storage?
a) Primary
b) Secondary
c) Middle
d) Tertiary
6. What are obsolete files?
7. What are the responsibilities assigned to workplace policies?
8. Differentiate between RAM and ROM file storage.
9. Differentiate the difference of magnetic tape and optic disk.

Oral Assessment
1. What are the tools to monitor files?
2. What are the steps of protecting digital files?

Practical Assessment
1. The students should list all the software that are used to protect the digital office
files
2. The students to use secondary storage software to presents the advantages of
internal hard disk and external hard disk.
3. Through the use of computer lab, the students should know the ways of monitoring
of digital files.

Project
The student to write a project on the ways of safeguarding of the office documents
covering: storage, transfers and obsolete files and passwords encrypted.

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6.3.7.4 Tools, Equipment, Supplies and Materials
 Computers
 Filing equipment
 Internet Connectivity
 Registers
 Stationery
 External storage devices

6.3.7.5 References

Katende, H. (2018). Assessing filing and storage of active records at office of the prime
minister registry (Doctoral dissertation).
Pozzi, S., & Celentano, A. (1993). Knowledge-based document filing, IEEE experts,
8(5) 34-35.3

Slonim, J. Mac Rae, L.J., Mennie, W.E Diamond, N.1(981). NDX-100., An electronic
filling machine for the office of the future Computer,14(9),24-36

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