FILING AND INDEXING : ACCOUNT SEE EXAMINATION

Things to learn



The following things are set to learn in this unit :

  • Introduction of filing
  • Importance/objectives/needs of filing
  • Methods of filing: Alphabetical, Numerical, Subject and Geographical filing
  • System of filing : Traditional and Modern filing
  • Introduction and uses of indexing in filing


 

Table of content



  1. Meaning and definition of filing?
  2. What is filing? Highlight its importance.
  3. What are the objectives of filing?
  4. Types of Filing methods.
  5. Definition of Alphabetical Filing Method? Mention its any four advantages and four disadvantages?
  6. Definition of Numerical Filing Method? Mention its any four advantages and four disadvantages?
  7. Definition of Subject Filing Method? Mention its any four advantages and four disadvantages?
  8. Definition of Geographical Filing Method? Mention its any four advantages and four disadvantages?
  9. System of Filing
  10. Meaning of Traditional Filing System and Modern Filing System
  11. What is Traditional Filing? Write its types and advantages and disadvantages?
  12. What is Modern Filing? Write its types and advantages and disadvantages?
  13. What is Indexing? Highlight its importance.


Introduction:

An office has to perform different types of activities to achieve organizational objectives. In the process of performing official activities, different documents are created inside the office. An office also receives various documents from outside. These documents should be preserved for future reference in such a way that they are safe and easily retrievable whenever required. Most of the work in an office is related to documents. The arrangement of the documents like letters, cheques, vouchers, invoices, contract documents, etc. in a systematic way so that they can be received easily at the time of need is called filing. In an office, there is a large number of documents, so the main objective of filing is to obtain the required documents easily without delay.

According to J.C Denyer, ” Filing is the process of arrangement and storing records so that they can be located when required.”

According to Mills and Standingford,”Filing means the process of collecting and arranging the original records or their copies in such a way that whenever needed, they could be located immediately.”

 

 

 

Subject Matter

Short Answer Question.

1. Meaning and definition of filing?

An office has to perform different types of activities to achieve organizational objectives. In the process of performing official activities, different documents are created inside the office. An office also receives various documents from outside. These documents should be preserved for future reference in such a way that they are safe and easily retrievable whenever required. Most of the work in an office is related to documents. The arrangement of the documents like letters, cheques, vouchers, invoices, contract documents, etc. in a systematic way so that they can be received easily at the time of need is called filing. In an office, there is a large number of documents, so the main objective of filing is to obtain the required documents easily without delay.

Filing refers to the systematic organization and storage of financial documents and records. This process is essential for maintaining an        organized and efficient accounting system.

2. What is filing? Highlight its importance.

An office has to perform different types of activities to achieve organizational objectives. In the process of performing official activities, different documents are created inside the office. An office also receives various documents from outside. These documents should be preserved for future reference in such a way that they are safe and easily retrievable whenever required. Most of the work in an office is related to documents. The arrangement of the documents like letters, cheques, vouchers, invoices, contract documents, etc. in a systematic way so that they can be received easily at the time of need is called filing. In an office, there is a large number of documents, so the main objective of filing is to obtain the required documents easily without delay.

The importance of filing can be highlighted as under:

·       It helps in formulation of plans and policies by providing necessary information.

·       Filing protects documents from possible damaged caused by dirt, dust, fire, thefts, rats and other harmful insects.

·       It provides the documents as they are needed. It brings rapidly in work and increases the efficiency of office staff.

·       It provides different information to the parties like shareholders, government, creditors, debtors and other concerned parties.

3. What are the objectives of filing?

The filing has a number of objectives which are discussed below :

Organization:

The primary objective of filing is to organize documents systematically. This involves categorizing, labeling, and storing documents in a way that facilitates easy identification and retrieval.

Easy Retrieval:

Filing aims to ensure quick and easy retrieval of specific documents when needed. The organized structure allows individuals to locate information efficiently, minimizing the time and effort required for document retrieval.

Compliance with Regulations:

Filing serves the objective of compliance with legal and regulatory requirements. Businesses and organizations need to maintain documents for specific periods to meet legal standards, and proper filing helps in adhering to these regulations.

Audit Trail:

Another important objective is to create a reliable audit trail. Filing systems track the history of transactions, decisions, and actions, providing a clear record that supports internal and external audits and investigations.

Decision Support:

Filing aims to support decision-making by ensuring that relevant information is readily available. Well-organized files provide decision-makers with the data they need to make informed and timely decisions.

Data Security:

Filing contributes to data security by organizing and storing sensitive information in a controlled manner. This helps prevent unauthorized access and ensures that confidential data is handled appropriately.

4. Types of Filing methods.

Filing means the act of arranging files and folders in systematic order. It is not a big  problem to arrange files but finding them easily could be a problem. The selection of the method/classification of filing depends on the nature and requirements of an office. Following are some of the widely used filing methods:

Alphabetic Filing:

Introduction: Alphabetic filing is a straightforward method of organizing documents based on the alphabetical order of names, titles, or other relevant identifiers. This method is commonly used for personal files, client records, and any situation where alphabetical sorting is practical.

Numeric Filing:

Introduction: Numeric filing involves assigning unique numbers to documents or records and arranging them in numerical order. This method is often employed for employee records, patient files, or any scenario where a systematic numeric identifier is preferable.

Subject Filing:

Introduction: Subject filing, also known as topical or categorical filing, categorizes documents based on their subject matter or content. Each subject or category has its own file, allowing for efficient organization and retrieval of information related to specific topics.

Chronological Filing:

Introduction: Chronological filing organizes documents in order of their dates. This method is commonly used for time-sensitive records, such as invoices, contracts, or correspondence. It provides a historical timeline and facilitates tracking the chronological sequence of events or activities.

Each filing method has its own advantages and is chosen based on the specific needs of the organization or the nature of the information being managed. Often, organizations may use a combination of these methods to create a filing system that best suits their operational requirements.

5. Definition of Alphabetical Filing Method? Mention its any four advantages and four disadvantages?

Alphabetic filing is a document organization method where records are arranged in alphabetical order based on names, titles, or relevant identifiers. This system is intuitive and user-friendly, making it suitable for smaller datasets. However, its simplicity can become a drawback for large datasets, and it may be sensitive to changes or susceptible to misfiling. While advantageous for quick retrieval and flexibility, alphabetic filing may lack efficiency in managing numeric information and demands careful attention to prevent errors during the filing process.

Advantages 

The following are the advantages of alphabetic filing method:

  • It is simple method which is easy to use.
  • This is an economical method since it does not need separate index to locate the files.
  • This is a flexible method, since there is no difficulty in adding new file or removing unnecessary files.
  • This method is suitable for all the organization irrespective of their size.
  • This method is more appropriate to the organization where names are more important than numbers.

Disadvantages

The following are the disadvantages of alphabetic filing method:

  • It is unsuitable for large scale organization having large number of files.
  • It is difficult to arrange the files if the names are similar and common.
  • It is limited flexible so only suitable for small scale organization.
  • It is difficult for arranging documents due to the mis-spelling of the names.
  • Secrecy cannot be maintained as detail information is written  on the face of files.

6. Definition of Numerical Filing Method? Mention its any four advantages and four disadvantages?

Numerical filing is an organizational method where documents are assigned unique numeric identifiers and arranged in numerical order. This systematic approach aids in efficient record management, commonly used for employee records, patient files, and situations requiring a structured numeric system. However, while numeric filing provides logical order and scalability, it can pose challenges with user-friendliness and may require careful management to avoid errors.

Advantages:

  • Provides a systematic and logical order for document organization.
  • Easily accommodates a large volume of records, allowing for expansion.
  • Assigns unique identifiers, reducing the risk of duplication or confusion.
  • Supports chronological tracking of documents, aiding in historical reference.

Disadvantages:

  • Numeric systems may be less intuitive for users compared to alphabetical methods.
  • Scaling the system may pose challenges, especially if not initially designed for expansion.
  • Retrieving documents based on content can be less straightforward compared to subject filing.
  • Success of the system relies heavily on numerical accuracy, and errors can lead to misfiling.

7. Definition of Subject Filing Method? Mention its any four advantages and four disadvantages?

Subject filing is an organizational method where documents are categorized and grouped based on their subject matter or content. Each category represents a distinct subject, enabling efficient organization and retrieval of information. This filing method is commonly employed in diverse settings such as project management, legal offices, and businesses with varied activities. While subject filing enhances content relevance and supports comprehensive categorization, it may face challenges related to consistency, potential for misclassification, and increased complexity.

Advantages:

  • Facilitates organization based on the actual content and subject matter of documents.
  • Enables quick and efficient retrieval of information related to specific subjects or topics.
  • Suitable for organizations with diverse projects or activities, providing flexibility in categorization.
  • Allows for a comprehensive organization of documents across various subjects, aiding in holistic management.

Disadvantages:

  • Maintaining consistent categorization across different users may be challenging, leading to inconsistencies.
  • There is a risk of misclassification, especially if subjects are open to interpretation or if documents cover multiple topics.
  • As the number of subjects and categories grows, the filing system can become more complex, requiring careful management.
  • Managing and sorting large datasets based on subject matter can be time-consuming and may require dedicated resources.

8. Definition of Geographical Filing Method? Mention its any four advantages and four disadvantages?

Geographical filing is an organizational method where documents are arranged based on their geographical or location-based attributes. This method is particularly useful for businesses or organizations with diverse operations in different regions. It allows for the systematic organization of documents related to specific locations, streamlining access to region-specific information. While geographical filing enhances contextual organization and supports location-based retrieval, it may face challenges related to updates, inconsistency, and limited applicability in certain organizational contexts.

Advantages:

  • Enhances contextual organization by grouping documents based on geographical attributes.
  • Streamlines access to information specific to particular regions or locations.
  • Particularly beneficial for multinational organizations with operations in various geographic locations.
  • Aids in conducting region-specific analyses and assessments.

Disadvantages:

  • Requires regular updates to reflect changes in organizational structure or geographical operations.
  • Ensuring consistency in filing practices across different locations can be challenging.
  • May have limited applicability in organizations where geographical attributes are not a primary criterion for document retrieval.
  • Success of the system relies on accurate and up-to-date location data, and errors can impact the effectiveness of the filing method.

9. System of Filing

A system of filing refers to a structured and organized approach for categorizing, storing, and retrieving documents or information within an organization. This method establishes a framework that determines how records are arranged, typically based on specific criteria such as alphabetical order, numerical sequencing, subject matter, or geographical attributes. The goal of a filing system is to streamline document management, ensuring quick and efficient access to relevant information when needed. It involves the use of designated categories, codes, or identifiers to create a systematic arrangement that aligns with the operational needs and priorities of the organization, contributing to enhanced organization and workflow efficiency.

 

10. Meaning of Traditional Filing System and Modern Filing System.

Meaning: Traditional filing systems involve the use of physical, paper-based methods for organizing and storing documents. This often includes filing cabinets, folders, and a manual categorization system, such as alphabetical, numerical, or subject-based organization. Documents are typically stored in hard copy format, and retrieval involves physically locating and accessing the paper records.

Characteristics:

  • Paper-based documents.
  • Manual sorting and categorization.
  • Physical filing cabinets and folders.
  • Limited accessibility and potential for space constraints.

Meaning: Modern filing systems leverage digital technologies to organize, store, and retrieve documents. This involves the use of computers, servers, and software applications for document management. Digital files can be stored in various formats, and retrieval is often facilitated through search functions and indexing. This approach is more aligned with the digital nature of contemporary work environments.

Characteristics:

  • Digital or electronic documents.
  • Use of computers, servers, and document management software.
  • Searchable and indexed for quick retrieval.
  • Allows for remote access and collaboration.

11. What is Traditional Filing? Write its types and advantages and disadvantages?

This filing system is based on a conventional filing equipment. It is a general filing system evolved long long ago in business and government offices. However, some of the traditional filing methods are still in practice in some of the offices even today. Misil box file, wire/spike file, pigeonhole file, etc are some of the traditional filing system. The following are its main types:

  • Misil Filing : This is a system of filing where the document and papers related to a particular subject matter are collected and preserved. All the correspondences related to a particular matter are tiled together in one file. Generally, this system of file is used in courts. The papers related to a particular case in a court are compiled in a pile starting from the bottom to the top date wise. The papers of the latest dates appear on the top of the pile and earlier date at the bottom. All th erelated papers are punched at the top left corner and tied together with lace. The papers from the beginning to the end of a case are put together in one misil file. Such papers include orders, notes chits, memos, applications, statement, interviews, reports etc.

Advantages :

  • It is simple to understand and easy to operate.
  • It provide easy location of the particular misil because a separate number is written for each case.
  • It is economical because it does not require  any guide card, drawer and cabinet.
  • It is flexible because unnecessary documents can be removed and new documents can be added easily.

Disadvantages :

  • It is not systematic and scientific system of filing.
  • It consumes more time to find a particular file of a particular person.
  • It is difficult to add new and remove unnecessary documents because the documents are punched and tied together.
  • It is not safe as there is a high chance of disappearing the word or alphabet.
  • Box Filing :

    The papers and documents are piled one over the other in this filing system. Keeping files, documents and letters in wooden, metal or hard paper boxes is known as a box file. Old papers are placed at the bottom and new are placed above. It is commonly used i all business houses to keep documents and other transactions properly. It is also used in houses to keep and preserve valuable documents related to properties and assets.

Advantages :

  • It is simple to understand and easy to operate.
  • It is economical because one box is sufficient for filing documents.
  • It provides greater safety to the documents because the box always remains closed.
  • It consumes less space as the box can be kept on a corner of the table or the floor.

Disadvantages :

  • It is suitable only for small and traditional organization.
  • It consumes more time for arranging files in a box.
  • It keeps the documents loosely due to which there is a greater chance of misplacement of documents.
  • It is not flexible. Only a limited number of documents can be kept in a file.

12. What is Modern Filing? Write its types and advantages and disadvantages?

Modern filing refers to the contemporary approach of organizing and managing documents using digital technologies. It involves the use of computers, servers, and specialized software for storing, categorizing, and retrieving electronic files. Unlike traditional paper-based methods, modern filing systems allow for efficient and flexible document management, supporting features such as search functions, indexing, and remote accessibility. This digital approach is characterized by enhanced efficiency, collaboration, and adaptability to the dynamic requirements of today’s technologically advanced work environments. Some of the modern systems of modern system of filing are mentioned below:

Horizontal Filing :

Horizontal filing is a document organization method where files or documents are stored parallel to the floor, typically within drawers or cabinets. The papers are arranged side by side in a horizontal position, making them easily accessible and visible when the drawer is opened.

Advantages of Horizontal Filing:

  • Documents are easily visible when the drawer is opened, facilitating quick identification and retrieval.
  • Horizontal filing allows for easy access to files without the need to lift papers vertically, reducing physical strain.
  • The horizontal arrangement provides a neat and organized presentation of documents, making it visually appealing.
  • Horizontal filing optimizes space utilization within drawers, allowing for efficient storage of a larger volume of documents.

Disadvantages of Horizontal Filing:

  • Drawers may have limited capacity due to the horizontal arrangement, potentially requiring more storage space.
  • Papers can be easily misplaced or disorganized within the drawer, leading to difficulties in locating specific documents.
  • When files accumulate and overflow, it may become challenging to maintain an organized system within the horizontal space.
  • Horizontal filing may not be suitable for larger documents or items that extend beyond the typical dimensions of a drawer.

Vertical Filing:

Definition: Vertical filing is a document organization method where files are stored in a vertical position within filing cabinets. Papers are typically arranged facing the front of the drawer, allowing for easy access and retrieval.

Advantages of Vertical Filing:

Space Efficiency:

Vertical filing optimizes space utilization, allowing for the efficient storage of a large volume of documents in a compact area.

Ease of Organization:

Files are generally easier to organize within vertical filing cabinets, and labels can be easily visible when looking at the drawer.

Accessibility:

Vertical filing cabinets provide quick and direct access to files, making it easy to locate and retrieve specific documents.

Ideal for Long Documents:

Vertical filing is well-suited for longer documents, as they can be accommodated without folding or bending.

 

Disadvantages of Vertical Filing:

Limited Visibility:

Files in the middle or towards the back of the drawer may be less visible, requiring more effort to find specific documents.

Potential for Overcrowding:

Over time, drawers can become overcrowded, making it challenging to maintain an organized and easily accessible filing system.

Requires More Floor Space:

Vertical filing cabinets may require more floor space compared to some other filing methods, which could be a constraint in smaller offices.

Risk of Tipping:

Tall vertical filing cabinets have a risk of tipping over, especially if not properly secured or loaded unevenly.

13. What is Indexing? Highlight its importance.

Indexing is the process of creating an organized reference or guide to information within a set of documents or data. It involves creating a list of keywords, terms, or phrases along with corresponding references to the locations where those terms can be found. Indexing is commonly used in various contexts, including books, databases, and digital content, to enhance the accessibility and usability of information.

Importance of Indexing:

 Facilitates Quick Retrieval:

Indexing allows for rapid retrieval of specific information. Users can refer to the index to locate relevant content without having to search through the entire document or dataset.

Enhances Searchability:

In digital environments, indexing plays a crucial role in search engines. It enables users to search for specific keywords or topics, and the index guides the search algorithm to the relevant locations.

Improves Organization:

Indexing contributes to the organization of information by categorizing key terms and providing a structured guide. This organization aids users in navigating and understanding the content more efficiently.

Supports Cross-Referencing:

Indexing facilitates cross-referencing by linking related terms or concepts. This interconnectedness helps users explore related topics and find comprehensive information on a particular subject.

Optimizes Information Retrieval:

For large datasets or databases, indexing optimizes information retrieval by creating a roadmap to specific data points. This is especially valuable in fields such as library science, archives, and database management.

Reduces Cognitive Load:

By providing a concise list of terms and their locations, indexing reduces cognitive load for users. It streamlines the process of finding information and eliminates the need to scan through extensive content.

Supports Comprehensive Coverage:

Indexing ensures that a wide range of topics or terms is covered, allowing users to explore diverse aspects of the content. This comprehensive coverage is particularly beneficial in reference materials and scholarly works.

Enhances User Experience:

In both physical and digital contexts, a well-constructed index enhances the overall user experience. It makes information more accessible, user-friendly, and encourages efficient exploration.

Aids in Information Management:

For information professionals and librarians, indexing is an essential tool for effective information management. It helps organize and classify materials, making them more valuable and usable for patrons.

Facilitates Content Updates:

In digital environments, indexing supports efficient content updates. When new information is added or existing content is modified, the index ensures that users can easily locate the latest and relevant data.

By Ghising

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