the presentation is about Health Record Identification and Filing Systems. Poor filing systems used in the health institutions always bring about chaos and wrong medication being administered to patients. it is the role of the records managers to ensure that proper records management.

1. Health Record Identification and
Filing Systems

2. Objectives
•Describe the equipment and supplies needed for
filing medical records.
•List and describe the various types of filing
systems.
•Discuss the benefits of each type of system.
•Discuss the advantages of color coding the files.
•Explain how to set up and use a tickler file.
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3. Objectives (cont.)
• Describe each of the five steps in the filing
process.
• Explain the steps to take in trying to locate a
misplaced file.
• List and describe the basic file storage options
and the advantages of each.
• Identify criteria for determining whether files
should be retained, stored, or discarded
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4. Importance of Records Management
• The medical records are the most valuable
information in the medical office.
• A records management system refers to the
way patient records are:
– Created.
– Filed.
– Maintained.
• A well-organized, easy-to-use system saves
time and protects vital medical data
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5. Filing Equipment 
• Filing Shelves
– Files are stacked upright on shelves in boxes or
heavy-duty envelopes
• Filing Cabinets
– Sturdy pieces of office furniture
– Usually made of metal or wood
– Both vertical and horizontal (lateral) file cabinets
are available
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6. Filing Equipment con’t
• Compactable Files
– Kept on rolling shelves that slide along permanent
tracks on the floor
– Seen often in offices with limited space for files
• Rotary Circular Files
– Files are stored in a circular fashion resembling a
revolving door
– Also common when space is limited
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7. Filing Equipment 
• Plastic or Cardboard Tubs or Boxes
–Organized like filing cabinet drawers
–Files can easily be misplaced with this
system.
• Labeling Filing Equipment
– The outside of the file drawer should be labeled
to represent its contents.
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(cont.)
A-D

8. Filing Equipment 
• Security Measures
– Many filing cabinets have locks, and the keys
should be available to limited staff personnel.
• Equipment Safety
– Post safety equipment for each type of filing
system.
• Purchasing Filing Equipment
– First determine the amount of space availability
– Then determine number of files to be included
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(cont.)

9. 9
Filing Supplies
File Folders
• Referred to as manila folders
• Available in 8 ½ by 11 inches and 8 ½ by 14 inches
• Tabs are tapered rectangular or rounded extensions
at the top of the folder
• Tabs have a variety of cuts
Tab
• Tabs on the file folder identify the contents
Labeling File Folders 
Smith,A. Adams, G.

10. Filing Supplies (cont.)
• File Jackets
– Resemble file folders but have plastic or
metal hooks on both sides to anchor it
– Files are placed inside these jackets
• File Guides
– Heavy cardboard or plastic inserts that
identify groups of files
• Out Guides
– A marker made of stiff material that is
used as a placeholder for removed files
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11. Filing Supplies (cont.)
• File Sorters
– Large envelope-style folders with tabs
that temporarily store files
• Binders
– Some offices use three ring binders to
keep patient records
– Tabs are used to separate individual
charts
• Purchasing Filing Supplies
– A common responsibility for medical
assistants
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12. Apply Your Knowledge - AnswerAnswer
A busy medical office is considering changing
their current filing equipment. Which
equipment would you recommend to this
non-computerized office that will afford
more persons to retrieve files at the same
time?
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13. 13
Filing Systems
•Files are arranged in alphabetical order
•Files are labeled with the patient’s last name first, then first
name and middle initial
•Organizes files by numbers instead of names
•Patients are assigned sequential numbers
•This system is often used with highly confidential information
•A master list of patient names and numbers must be kept

14. Filing Systems (cont.)
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Using Classifications
• First identify how files are
to be classified
• Select a separate color for
each classification
Color coding can be used with both
alphabetic and numeric filing systems.
Color
Coding
Used to distinguish files
within a filing system

15. Filing Systems (cont.)
• Tickler Files
– A reminder file
– Should be placed separately and reviewed often
– Computers now offer tickler files
• Supplemental Files
– Separate files containing additional information
– Prevents cluttering of primary files
– Contents should be distinguished from the primary
file contents
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16. 16
The Filing Process
Generally the medical assistant files
three types of items:
New
Patient
Record
Folders
Individual
Documents
For
Existing
Folders
Previously
Filed
Patient
Record
Folders

17. 17
The Filing Process (cont.)
Get the accumulated files in order. This
will save time when storing the folders.
Place the files in the appropriate location, so they
can easily be retrieved when needed.
Place an identifying mark to ensure that
the file is put in the correct place.
Coding
Sorting
Storing
Name the file using the
office classification system.
Indexing
Make sure
document is
ready to
be filed.
Inspecting

18. Limiting Access to Files
• Under no circumstances should original
patient records leave the medical office.
• Identifying information is often recorded
when files are retrieved.
• Limited persons in the medical office
have access to patient records.
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19. Filing Guidelines
• Take a close look at the contents of patient
records each time you pull them.
• Keep files neat.
• Do not overstuff file folders.
• Take time to properly place documents into
the folders to prevent damage.
• Do not crowd the file drawer.
• If possible use both upper and lower case
letters to label the folders.
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20. Filing Guidelines (cont.)
• Use file guides with a different tab position to aid
with finding files.
• It is better to provide too many cross-references
than too few.
• File regularly.
• Do not store anything other than files in the file
storage area.
• Train all staff that will be able to retrieve files on the
system in place.
• Periodically evaluate your office system to see if it
still works.
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21. 21
Locating Misplaced Files
Do a complete search of the office to try and locate the
file. If the file is not recovered within 24 to 48 hours, it
may be considered lost.
Lost files can have potentially devastating consequences.

22. Active vs. Inactive Files
• Active Files
– Files that you use frequently
• Inactive Files
– Files that you use infrequently
• Closed Files
– Files of patients that no longer consult the office
– The physician determines when a file is deemed
inactive or closed
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23. 23
Apply Your Knowledge- AnswerAnswer
The primary reason records should first be inspected
is to ensure that all documents are present that
belong in the chart.
Step 1
Step 2
Step 3
Step 4
Step 5
Indexing
Sorting
Coding
Inspecting
Storing

24. 24
Storing Files
Basic
Storage
Options
Computer StorageMicrofilmPaper Storage
• Files remain in their original format
• Good to place in boxes with lids to afford even stacking
• If the paper becomes brittle, transfer documents to another
storage medium.
Patient records can be scanned and saved on a disk, tape or
computer hard drive.
Microfilm, microfiche and cartridges offer a paperless way
of storing records.

25. Storage Facilities
• Some offices have extra closet or storage
space on site.
• Smaller offices require the use of off-site
storage.
• Use a facility that takes precautions against
fires and floods.
• Maintain a list of all files at each storage
location.
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26. Storage Safety
• Even inactive and closed files must remain
safe and secure.
• Place files in fireproof and waterproof devices.
Cardboard is not an option.
• The storage site should be safe from:
– Fire & Floods
– Vandalism & Theft
– Extremes of temperature
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27. Retaining Files in the Office
• A retention schedule decides how long different types of
patient records are to be kept in the office once they become
inactive or closed.
• Certain records have legal criteria for the length they must be
maintained in the office such as:
– Immunizations.
– Employee health records.
– Medical Office Financial Records.
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28. Health Record Identification and Filing
Systems
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