Sai Tech Ltd. had implemented a digital document management system for maintaining statutory registers, contracts, and financial statements. During scrutiny under Section 128 and Section 206, it was observed that, file c
CS Professional · Compliance Management, Audit and Due Diligence · PYQS · June 2026
Sai Tech Ltd. had implemented a digital document management system for maintaining statutory registers, contracts, and financial statements. During scrutiny under Section 128 and Section 206, it was observed that, file coding and nomenclature included multiple special characters such as ampersands brackets, slashes, commas and percentage symbols in file names. Due to incompatible naming conventions across servers, as a result, several files could not be sorted chronologically, certain backups failed validation, and search results generated incomplete outputs. The authority concluded that careless use of punctuation and special characters in coding created ambiguity and operational risk, thereby amounting to defective maintenance of books and records, reinforcing the principle that standardized and symbol free nomenclature is a compliance requirement and not merely an administrative preference. Do you agree with this, suggest them the best practices for file-naming?
Answer & Explanation:
Punctuation, symbols, or special characters (periods, commas, parentheses, ampersands, asterisks, etc.) should be avoided in file naming. Some applications and computer scripts could not recognize spaces or process files differently when using spaces. A best practice is to replace spaces in file names with an underline (_) or hyphen (-). Best practices for file naming - it should: Be unique and consistently structured; Be persistent and not tied to anything that changes over time or location; Limit the character length to no more than 25-35 characters; Use leading 0s (Zeros) to facilitate sorting in numerical order if following a numeric scheme "001, 002, 010, 011 ... 100, 101, etc." instead of "1, 2, ...10, 11 ... 100, 101, etc."; Contain a file format extension; Use a period followed by a file extension (for example, .tif, .jpg, .gif, .pdf, .wav, .mpg); Use lowercase letters. However, when a name has more than one word, start each word with an uppercase letter for example, "File_Name_Convention_001.doc"; Use numbers and/or letters but not characters such as symbols or spaces that could cause complications across operating platforms; Use hyphens or underscores instead of spaces; Use standard date notation (YYYY-MM-DD or YYYYMMDD); Avoid blank spaces anywhere within the character string; and Not use an overly complex or lengthy naming scheme that is susceptible to human error when manual input, such as "filenameconventionjoesfinalversioneditedfinal.doc".
Topics: Compliance Management
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