Filing Procedure
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Filing Procedures The following parameters have to be addressed for 5S audit regarding documents filing procedures: a) Filing design 1) Master file list to ensure the response time of retrieval for continuously improve the work efficiency. 2) The following Headers will be adhered for the master list of files. S.No. File No.
File
File
name
User
Location
Start
File
type (FF restriction
date /
disposal
/ BF /
year
period
LF)
b) File numbering BUSINESS | LOCATION-DEPT | PROCESS | SUB-PROCESS | SERIAL NO. | YEAR 1) BUSINESS (4 letter abbreviation to be followed) : Corporate (CORP), Fertiliser (FERT), Pesticides (PEST), Retail (RETL). 2) LOCATION-DEPT (state as appropriate) Example for Corporate Office: CORP|SEC-HR Example for Kakinada Plant: FERT|KKD-FIN 3) PROCESS & SUB-PROCESS Meaningful classification and understanding of work areas. Draw reference from SOP / Operations Manual, HR Process Manual etc.
Evolve a meaningful abbreviation of Process and Sub-Process in not more than 4 letters. Example for Accounts, Bills Passing: ACCT|BPS 4) SERIAL NUMBER (please follow 3 digit serial number) Example 001 5) YEAR (Please follow 4 digit year format and state the year of opening the file.) Example 2009 The details mentioned in _____ to _____ shall be incorporated on the file in the following manner: c) File Spine (visual) The file number will be placed in the center of the file spine along with colour codification for frequency of usage and department. Example: FERT|Viz-OPRN|SAP1-MIS|001|2009 d) File Front (visual) 1) To ensure the visual control of Files with restricted access as per policy of the Company / as decided by the HOD shall be marked ‘Confidential’ in RED on the top right corner of the file. 2) The following details shall be incorporated at the bottom of the file. File Number Date of Opening Date of Closure Date of Disposal
3) Standardized file labels (subject, year & file no.). 4) Colour code if any, for identification of user department (To be retrieved within a minute & avoiding mix-up of files). e) Filing storage The filing storage is classified on the following based on its usage and its frequency: S.No. 1
Classification Current operating files.
Definition Frequency Day to day Daily / usage. frequent.
2
Current operating files.
Decision support.
Monthly / Quarterly.
3
Important – Non-day to day files. Reference files (< 3 years).
Personnel Dossiers. For the purpose of reference. For the purpose of reference.
As and when required. As and when required.
4. 5.
Reference files (> 3 years or as per retention period defined in the document retention policy.
As and when required.
Storage Near the workstation / side racks. Near the workstation / side racks. Record Room (Compactor). Record Room (Compactor). Record Room / Outside storage / Approved document Storage Agency.
Do’s & Don’ts of Filing: Do’s: ADHERE to the filing, numbering, and coding system. ENSURE safety precautions are followed while filing or removing papers. RETURN the file to its designated place immediately after use. CARRY OUT 5 minutes check every day to ensure all the files are in its place. 5. MAKE an informed choice on whether a document needs to be filed or disposed at your end. 6. ENSURE papers are slightly folded in the center and then punch appropriately. 1. 2. 3. 4.
7. USE paper shredder / incinerator for disposal of all confidential documents. 8. ENSURE disposal date is adhered to. Don’ts: 1. Keeping documents / files on the workstation while leaving the office at the end of the work day. 2. Using the table top of workstations as storage area. 3. Creating additional copies of the same document. 4. Using drawers for storing unwanted / outdated documents. 5. Mentioning the name of the file with markers / pens.
File
File
name
User
Location
Start
File
type (FF restriction
date /
disposal
/ BF /
year
period
LF)
b) File numbering BUSINESS | LOCATION-DEPT | PROCESS | SUB-PROCESS | SERIAL NO. | YEAR 1) BUSINESS (4 letter abbreviation to be followed) : Corporate (CORP), Fertiliser (FERT), Pesticides (PEST), Retail (RETL). 2) LOCATION-DEPT (state as appropriate) Example for Corporate Office: CORP|SEC-HR Example for Kakinada Plant: FERT|KKD-FIN 3) PROCESS & SUB-PROCESS Meaningful classification and understanding of work areas. Draw reference from SOP / Operations Manual, HR Process Manual etc.
Evolve a meaningful abbreviation of Process and Sub-Process in not more than 4 letters. Example for Accounts, Bills Passing: ACCT|BPS 4) SERIAL NUMBER (please follow 3 digit serial number) Example 001 5) YEAR (Please follow 4 digit year format and state the year of opening the file.) Example 2009 The details mentioned in _____ to _____ shall be incorporated on the file in the following manner: c) File Spine (visual) The file number will be placed in the center of the file spine along with colour codification for frequency of usage and department. Example: FERT|Viz-OPRN|SAP1-MIS|001|2009 d) File Front (visual) 1) To ensure the visual control of Files with restricted access as per policy of the Company / as decided by the HOD shall be marked ‘Confidential’ in RED on the top right corner of the file. 2) The following details shall be incorporated at the bottom of the file. File Number Date of Opening Date of Closure Date of Disposal
3) Standardized file labels (subject, year & file no.). 4) Colour code if any, for identification of user department (To be retrieved within a minute & avoiding mix-up of files). e) Filing storage The filing storage is classified on the following based on its usage and its frequency: S.No. 1
Classification Current operating files.
Definition Frequency Day to day Daily / usage. frequent.
2
Current operating files.
Decision support.
Monthly / Quarterly.
3
Important – Non-day to day files. Reference files (< 3 years).
Personnel Dossiers. For the purpose of reference. For the purpose of reference.
As and when required. As and when required.
4. 5.
Reference files (> 3 years or as per retention period defined in the document retention policy.
As and when required.
Storage Near the workstation / side racks. Near the workstation / side racks. Record Room (Compactor). Record Room (Compactor). Record Room / Outside storage / Approved document Storage Agency.
Do’s & Don’ts of Filing: Do’s: ADHERE to the filing, numbering, and coding system. ENSURE safety precautions are followed while filing or removing papers. RETURN the file to its designated place immediately after use. CARRY OUT 5 minutes check every day to ensure all the files are in its place. 5. MAKE an informed choice on whether a document needs to be filed or disposed at your end. 6. ENSURE papers are slightly folded in the center and then punch appropriately. 1. 2. 3. 4.
7. USE paper shredder / incinerator for disposal of all confidential documents. 8. ENSURE disposal date is adhered to. Don’ts: 1. Keeping documents / files on the workstation while leaving the office at the end of the work day. 2. Using the table top of workstations as storage area. 3. Creating additional copies of the same document. 4. Using drawers for storing unwanted / outdated documents. 5. Mentioning the name of the file with markers / pens.
