Chapter 8 Records Management. Office Procedures for the 21 st Century, 8e Burton and Shelton © 2011...

Chapter 8Records Management

Office Procedures for the 21st Century, 8eBurton and Shelton

© 2011 Pearson Higher Education,Upper Saddle River, NJ 07458. • All Rights

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Records Management

Records Management Managing Paper Records Indexing and Alphabetizing Rules Understanding Electronic File

Organization



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Records Management (continued)

Retention and Transfer Electronic Records Retention Ethical Issues in Records Management International Standards for Records

Management



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Records Management—Overview

Information system details how organization plans, develops, and organizes its information

Organized and secured information essential so information -- useful and immediately available at right time



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Records Management—Its Importance

Records, also called information assets, are maintained to maximize profit, control costs, and ensure vitality



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Records Management—Responsibility

Everyone plays important role in Protecting organization’s records and

information by following established policies and executing its procedures



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Records Management--What Are Records? (continued)

Evidence of what organization does Represents its business activities and

decisions or transactions Appears in many formats—paper,

electronic mail, and databases



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Records Management--Categories of Records

Vital—records essential to operation Important—customer/personnel records Useful—correspondence and reports;

kept on-site to conduct daily business Nonessential—not needed beyond

current use, such as requests, acknowledgements, notices of meetings, duplicate copies



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Records Management—Files Management

Applies principles to both paper/electronic records created and used

Ensures records can be retrieved efficiently when needed

Identifies documents that should not be maintained Documents, such as duplicates of completed forms, extra

copies of reports, and bulletins, announcements of meetings, requests for information or responses to requests

Learn to distinguish between records and documents; follow established procedures for preserving records and discarding documents



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Managing Paper Records—Developing Filing System

Consider How will records be requested? How will records be retrieved?



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Managing Paper Records (continued)

Major classifications or systems are: Alphabetic Numeric Geographic Subject



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Managing Paper Records—Location (continued)

Answer following Who needs to have access? What types of records are stored? How frequently will records need to be

accessed? What procedures are needed to protect

records from loss, damage, theft, and unauthorized use?



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Managing Paper Records—Location (continued)

Centralized: One location convenient to many Files are checked out, so location is always

known Decentralized:

Files maintained at individual workstations



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Managing Paper Records—Ordering Supplies Online Advantages

Up-to-date catalog descriptions, prices Clear, simple indexes Great variety in products Fast delivery Costs may be less than in stores



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Managing Paper Records—Basic Folder Design Folders, also referred to as manila folders

Come with tabs or extensions at top Tab cuts include straight, one-half, one-third, and one-fifth

Hanging folders Guides act as dividers



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Managing Paper Records—Placement of Guides and Folders

Primary Guides Individual Name Folders Miscellaneous Folders Special Guides



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Managing Paper Records—Placement of Guides and Folders (continued)

Primary guide Divides file into alphabetic sections Placed at beginning of each section

Correspondence filed in individual or miscellaneous folders placed behind guides



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Individual name folder Use when at least five papers are accumulated

for one correspondent File folders in order immediately following

primary guide File correspondence

In chronological order Most recent date placed at front



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Miscellaneous folder Filed behind individual folders Contains papers to and from all correspondents

for whom you do not have individual name folders Within folder, arrange papers in alphabetical order

by name If two or more papers for one correspondent, place most

recent in front Staple related papers together



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Special guide Directs eye to individual folders that are

used frequently Use for subdivisions of alphabet Use to mark section of file containing

individual folders for several correspondents with same surname



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Managing Paper Records—File Labels (continued)

Identifies folder and its contents Comes in variety of sizes, shapes, and

colors Consider three levels of identification:

drawer or shelf, file guide, and file folder Be consistent in labeling



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Managing Paper Records--Equipment (continued)

Consider Volume of records requiring storage Types of records being stored Space limitations



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Managing Paper Records--Equipment (continued)

Vertical drawer cabinets Lateral cabinets Open shelves Mobile aisle systems



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Indexing and Alphabetizing Rules

Association of Information Management Professionals

Records Managers and Administrators (ARMA International or ARMA) Recognized need for standardization and

published first rules of alphabetic filing



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Indexing and Alphabetizing Rules—Order of Filing Units

Unit—each part of name B. R. Grove—three units

Indexing—unit in order for filing; always precedes alphabetizing Grove (1st), B. (2nd) R. (3rd)

Alphabetic filing—organized in alpha sequence



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Indexing and Alphabetizing Rules— Principles (continued)

Alphabetize by comparing names unit by unit and letter by letter

Nothing comes before something Ignore all punctuation marks, special

characters and diacritical marks when indexing

All Arabic numbers precede roman numerals



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Indexing and Alphabetizing Rules (continued)

Personal names Surname—first unit, followed by first name or

initial, and then middle name or initial Prefixes in names



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Personal names Titles and suffixes Hyphens in names Pseudonyms, royal, or religious titles Non-English names Nicknames



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When two or more names are identical: Use geographical

address to determine filing order

Consider order shown at right

Country State City/municipality Street name Compass point

(N, S, E, W) Building number



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Business and organization names As written

Central (1st) Trust (2nd) Company (3rd) Geographic names Compass terms



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Business and organization names Numeric names

Only 1st number is considered Ignore number following hyphen – (7-11 Store) Digit contains a suffix (st, d, th)

Ignore suffix, index only number Number is spelled out

Ignore hyphen and two numbers become one unit



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Business and organization names Symbols in names

Index way they are pronounced. One $ Store

One (1st) Dollar (2nd) Store (3rd)

Single letters in names File as written, spell out only when company

spells out ARK Transport--ARK (1st) Transport (2nd)



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Federal Government United States Government = units 1-3 Followed by most distinctive name

United (1st) States (2nd) Government (3rd) Social (4th) Security (5th) Administration (6th)

State and Local Government Index by distinctive name

Monroe (1st) County (2nd) Public (3rd) Works (4th) Department of (5th)



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Non-U.S. Governments Rule applies to non-U.S. government names

filed in U.S.-based filing systems Distinctive English name—first filing unit



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Indexing and Alphabetizing Rules—Variations in Alphabetic Filing (continued)

Individual names Businesses, institutions, and other group

names



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Indexing and Alphabetizing Rules—Variations (continued)

Hyphenated business name may be made up of two surnames, might be indexed and not treated as one unit

Geographic names or words involving compass point might be treated as two words

Names beginning with numbers expressed as figures, might be filed in regular alphabetical order, rather than number sequence



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Preparing Paper Records for Filing—Steps

Examine Index Code Cross-reference Sort File



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Preparing Paper Records—Steps (continued)

Examine includes Should papers stapled together be filed together? Staple together related papers where one document

refers to another Remove all paper clips and extra staples Remove unnecessary small slips of paper Keep routing slip with appropriate documents Are documents duplicates – can they be

deleted/destroyed, or filed?



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Index includes Determine key word—name, subject,

geographic location Incoming letters—use organization name on

letterhead Outgoing letters—use organization name in

inside address



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Code includes Mark indexing caption Underline name Highlight key words Identify number of indexing units according to

highlight words Mr. Benjamin (2nd) Ross (1st) = 2 indexing units



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Cross-reference includes Use when document is apt to be called for by

two different names at different times Make two copies of cross-reference sheet:

One copy is filed in cross-reference folder; should be only piece of paper in folder; purpose is to send you to correct file

Second copy filed with actual folder



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Cross-reference Avoid preparing unnecessary cross-references Some examples of when to use:

When filed by subject instead of individual’s name (Temporary Employees)

When difficult to determine individual’s surname (Kent Ross) When organizations are referred to by acronym—IAAP

(International Association of Administrative Professionals)



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Sort includes Prearrange documents in same order they

will be filed First, divide documents into manageable

groups--A-C, D-F, G-J, K-P, Q-T, and U-Z Next, arrange papers in each group When two pieces of correspondence share

same name, place most recent on top



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File, actual placing of records in folders, includes When refiling existing records, name on caption in

filing system should be same as record being refiled Records should be filed chronologically in folder with

latest one in front New folder should agree with filing system and index

should be updated to include new file



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Tracking Paper Files

Charge-out methods Manual charge-out guides include

Guides with printed lines for writing description of materials removed, name of person who has removed materials and date removed

Guides with slot or pocket to hold card with charge-out information

Automated bar coding requires software, label printer, and scanning device



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Understanding Electronic File Organization

Helps to manage Files on local hard drive or network drive Files shared through e-mail attachments Files put on Web server



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Understanding Electronic File Organization--File

Cabinets contain folders with files, also called documents

Any document created or received; has file name and at least three-letter extension



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Understanding Electronic File Organization--Folder

Contains files/documents



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Understanding Electronic File Organization—Drive

Physical location where folders and files are located

Drive A—floppy disk drive Drive C—hard disk drive Drives D through Z—designated as optional

drives, such as network, flash drive, or CD-ROM or DVD-ROM



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Understanding Electronic File Organization—Organizing Electronic Files

Use My Documents folder to create structure Organize folders as in paper filing structure Determine sequence of folders—alpha,

numeric, and so on Perform regular maintenance Print list of filing system



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Understanding Electronic File Organization—Saving Files

CDs Flash drives External hard drives



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Retaining and Transferring Paper Records

Factors determine how long records must be preserved: Nature of organization’s business

operations State statute of limitations Regulations of federal government

Never dispose of any record without clear knowledge of retention regulations



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Retaining and Transferring Paper Records--Retention

If no guidelines exist, seek advice from either consultant or ARMA’s Web site

Determining which records to keep and for how long is critical function



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Retaining and Transferring Paper Records—Transfer

Perpetual Transfer Method Continually transferring files to inactive

storage, such as when project or case is completed

Periodic Transfer Method Transferring files to inactive storage at

predetermined intervals, such as 6 months, 1 year, or 18 months



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Electronic Records Retention

Inactive records are transferred Move records from computer onto company’s

servers, or other electronic storage media



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Ethical Issues

Confidentiality of personal information Security of physical equipment Validity of information Disposal of records Improper use of PINs



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International Standards for Records Management

Recognized worldwide, states records management includes Setting policies and standards Assigning responsibilities and authorities Establishing and sharing procedures and guidelines Providing range of services relating to management

and use of records Designing, implementing, and administering

specialized systems for managing records Integrating records management into business

systems and processes

Chapter 8 Records Management. Office Procedures for the 21 st Century, 8e Burton and Shelton © 2011...

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