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RECORDS MANAGEMENT

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Title: RECORDS MANAGEMENT


1
RECORDS MANAGEMENT
2
  • WHAT ARE RECORDS?
  • Records are the memory of any business
    organization.
  • A record may be any material thing which serves
    to perpetuate or preserve knowledge of acts,
    events, facts, or ideas.

3
  • WHAT IS AN IMPORTANT CHARACTERISTIC OF RECORDS?
  • An important characteristic of RECORDS is that
    they usually consists of material that can be
    classified and arranged in a methodical manner
    for preservation and ready reference.

4
WHY MUST RECORDS BE MANAGED
  • 1. To regulate the great volume and variety of
    documents and papers currently received and
    created in transacting business.
  • 2. To accommodate and control natural increase in
    volume and variety due to growth of population,
    new function, and related activities.
  • 3. To provide methods to ensure prompt attention,
    rapid movements, guide finding, safe storage, and
    proper disposal of documents and papers.
  • 4. To control and reduce cost of paperwork.

5
  • WHAT IS FILING?
  • Filing is the process of classifying and
    arranging of records in a systematic way so they
    will not only be safely stored but also quickly
    retrieved or located when needed.

6
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7
The Principles of Indexing and Filing, a 1932
text, provides the following retrospective on
filing equipment "Filing is the disposing of
papers in such a manner that they may be found
easily. The early methods of storing
correspondence cannot be called filing, as we use
the term today. In former times, letters were
often folded, with the name of the correspondent
or subject on the outside, and stored in
pigeon-holes in desks or cabinets.
8
Spike or spindle files were also used. Papers of
various kinds were hooked on a spike placed on
the wall or on a desk. When the spike or spindle
became full, the papers were removed, tied
together, and stored. The box file was an
improvement. In the box file papers were laid
flat between sheets of stiff paper, each sheet
having a tab. A letter or a division of the
alphabet was printed on the tab.
9
A filing cabinet with shallow drawers or trays
was later used instead of many different box
files. Each drawer or tray was labeled with a
letter or division of the alphabet, and the
papers were laid flat in the drawer. This method
of filing often made it necessary to lift up many
papers before the one desired could be found. The
old methods of filing papers flat often led to an
endless search and the waste of valuable time.
10
The flat file, therefore, has been discontinued
for general correspondence filing. The result was
the development of the various systems of
vertical filing in use at present. The bellows
file was an improvement on the box file when only
a few papers had to be filed. Papers were placed
upright in the bellows file and were more easily
located. Papers in a modernly equipped office are
put in folders and placed behind guides in a
vertical filing cabinet.
11
  • Records Management is the systematic control of
    records over the record life cycle.
  • This life cycle has 5 distinct phases
  • Creation of the record
  • Distribution of the record to internal and
    external users
  • Use of the record
  • Maintenance of the record (filing and retrieving)
  • Disposition (retain or destroy)

12
IMPORTANCE OF MANAGING FILES
  • 1. In filing, the emphasis is more upon the
    finding rather than the storing aspect.
  • 2. Since the written information is being
    retained or filed for future possible use, the
    so-called finding aspect is essential in
    paperwork management.
  • 3. The safekeeping of records is important, but
    being able to find them promptly, when needed, is
    more important.

13
  • 4. Remember needed paper when lost or misplaced
    can delay the work of a dozen employees or even
    the entire office.
  • 5. Management is not only interested in the files
    as such, but more in the information which can be
    obtained from them.
  • 6. Establishing and managing an effective system
    and arranging the records that an office must
    maintain, and placing them at their proper
    locations, will help promote operational
    efficiency in the office.

14
OBJECTIVES IN FILING
  • 1. Efficiency
  • 2. Economy
  • 3. Simplicity

15
PURPOSES OF FILING
  • 1. To make records available when they are needed
    whether for reference or evidence.
  • 2. To keep all related materials together so that
    the history of the dealings of one office with
    other offices or individuals will be available in
    one place.
  • 3. To provide a permanent and safe place for
    records of business information and transactions
    during the time the records are not in use.

16
HOW ARE RECORDS BEING FILED?
  • 1. By the name of individual or organization
  • 2. By the subject matter they contain
  • 3. By the location or geographical area a record
    may cover
  • 4. By the number assigned to a record
  • 5. By the date

17
WHAT ARE THE DIFFERENT KINDS OF FILING SYSTEM
  • 1. ALPHABETIC NAME FILE (by name of individual or
    organization)
  • Records that are referred to by name of an
    individual organization be arranged by name in
    strict alphabetic sequence or successive
    continuity.
  • 2. ALPHABETIC SUBJECT TITLE (by subject)
  • Records which are referred to by the subject
    matter they contain should be arranged
    alphabetically by subject title or caption.
  • All records on a particular subject should be
    kept together in as much as each related fits
    somewhere to complete a story.

18
  • 3. ALPHABETIC LOCATION FILE (by geographic
    location)
  • Records which are referred to by geographic
    location should be alphabetically arranged by
    location name which may be by country, region,
    province, city/municipality, barrio, or barangay.
  • 4. NUMERICAL FILE (by the number assigned to
    record)
  • Record which are identified by numbers assigned
    to them and are referred to by their respective
    number should be arranged in numerical sequence.
  • A numerical file is often used for records
    pertaining to bank checks, invoices, insurance
    policies, presidential decrees, tax declaration
    and the like.

19
  • 5. CHRONOLOGICAL FILE (by the date of records)
  • Records to which primary reference is made by
    date of the record should be filed
    chronologically (in the order of time) by year,
    month, or day as reference indicates.
  • The chronological filing system simply arranges
    material according to its time sequence, that is,
    month or weeks are its main division with days
    for its subdivisions.
  • Some correspondence, bills, and pending accounts
    payable can be handled on a chronological plan.
  • The advantage of this plan are
  • 1. It is very simple.
  • 2. Filing is easy.
  • 3. It is convenient reminder of unfinished work.

20
Alphabetic storage
  • It is a direct access system
  • Dictionary arrangement is simple to understand
  • Misfiling is easily checked by alphabetic
    sequence
  • Less costly
  • Only one sorting is required
  • Papers relating to one originator are filed in
    the same location
  • Misfiling may result when rules are not followed
  • Similarly spelled names may cause confusion
  • Related records may be filed in more than one
    place
  • Expansion may create problems
  • Excessive cross-referencing can congest the files
  • Confidentiality of the files cannot be maintained.

ADVANTAGES
DISADVANTAGES
21
numeric storage
  • Expansion is unlimited
  • It is confidential (a card file is consulted
    before papers are located)
  • Once an index card is prepared and a number is
    assigned, filing is quicker
  • Misfiled folders are easily located because
    numbers out of place are easier to locate
  • It is an indirect method the card file must be
    consulted before a paper can be filed
  • More equipment is necessary, so the cost is higher

ADVANTAGES
DISADVANTAGES
22
subject storage
  • Records about one subject are grouped together
  • The system can be expanded easily by adding
    subdivisions
  • It is difficult to classify records by subject
  • Liberal cross-referencing is necessary since one
    record may contain several subjects.
  • The system does not satisfactorily provide for
    general records
  • It is necessary to keep an index of subject
    headings contained in the file
  • It is most expensive method to maintain
  • Preparation of materials fro the subject files
    takes longer than other methods

ADVANTAGES
DISADVANTAGES
23
Geographic storage
  • It provides for grouping of records by location
  • The volume of records within any given geographic
    area can be seen by glancing at the files
  • It allows for direct filing if the location is
    known
  • All the advantages of alphabetic filing are
    inherent in this method
  • Multiple sorting increases the possibility of
    error and is time-consuming
  • The arrangement of guides and folders make filing
    difficult
  • Reference to the card file is necessary if the
    location is not known
  • It takes longer to set up

ADVANTAGES
DISADVANTAGES
24
  • TYPES OF OFFICE RECORDS TO BE FILED
  • 1. ADMINISTRATIVE FILES a file material related
    to overall policy mission of organization,
    direction of the office, including management
    improvement programs, formal rules and
    regulations, guides, maintenance of service,
    supplies and other administrative matter which
    have no direct bearing on the operation of the
    office.
  • 2. PERSONAL FILES any paper containing the
    service appointment and the other records related
    to the individual employees.
  • 3. LEGAL FILES consist of administrative case
    of personnel land cases, civil cases,
    investigation records and the like.
  • 4. SUPPLY FILES consist of records of supplies,
    equipment, purchases, contracts, etc.
  • 5. FISCAL FILES materials on budget
    preparation, submission of allotments, and
    control of funds.

25
  • TOOLS IN FILES OPERATION
  • 1. Folders and fasteners
  • 2. Charge-out cards
  • 3. Requisition slip
  • 4. Tickler file or follow-up file
  • 5. Sorting table and racks
  • 6. Stapler
  • 7. Filing cabinets and
  • shelves
  • 8. Tapes

26
Sorting Table with Rack
27
Letter Folding Machine
28
SELECTING THE APPROPRIATE FILING SYSTEM
  • CHARACTERISTICS OF A GOOD FILING SYSTEM
  • A filing system can only be good on if it is
    tailor-made to fit the condition or situations
    prevailing in a particular organization.
  • Filing system is good if it can meet the three
    points success formula of efficiency, economy,
    and simplicity.

29
  • Filing system is good if it can meet the three
    points
  • Filing system is good if it fills the needs of
    the operating personnel and serves them
    satisfactorily.

30
REQUISITIES OF A GOOD FILING SYSTEM ARE
  • 1. It serves the needs of the office
  • 2. It has the simplest identification of file
    contents
  • 3. It use minimum indexes and codes.
  • 4. It has maximum safeguard against filing errors
  • 5. It is not dependent on the memory of the clerk.

31
GUIDES IN SELECTING APPROPRIATE FILING SYSTEM
  • A certain amount of creativeness is necessary in
    adapting a filing system to the situation at
    hand. There are many different types of filing
    procedures ranging from manual to mechanical to
    electrical.

32
  • The following guidelines are suggested in
    choosing a filing system
  • 1. Know the types of records and files created
    and maintained by the office.
  • 2. Know how the records are requested from the
    files.
  • 3. Know why, how, and where the materials to be
    filed originates.
  • 4. Know the procedure steps from post of origin
    to files.

33
STEPS IN FILINGHOW TO PREPARE THE MATERIAL TO BE
FILED
  • Incoming correspondence once received should be
    time and date stamped and given to proper person
    for action.
  • 1. INSPECTING
  • Inspecting the material to make sure it has been
    released for filing.
  • Look for a special mark as release signal like
    the word FILE plus the initials of the person
    releasing it.

34
  • 2. INDEXING (process of determining the name to
    be used in storing)
  • the name by which correspondence or record is
    most likely to be requested from files.
  • Determine the most likely the heading under the
    paper to be filed.
  • The possibilities are
  • name of on the letterhead
  • name addressed
  • name in the signature
  • name or subject included in the paper
  • file or reference number
  • There are rules for alphabetic indexing that
    should be followed.

35
  • 3. CROSS-REFERENCING
  • Cross-referencing is used when it is difficult to
    know which of two or more name is important
  • Cross-referencing is accomplished by filing the
    original under one name and cross reference sheet
    under the other
  • For cross-referencing, you may use
    cross-reference sheets, or plain sheets of paper,
    or a paper with distinctive color.

36
Cross-referencing using MS Word
37
  • You may consider cross-referencing under the
    following situations
  • a. When some word other than the first in a
    company of situation name clearly identifies the
    organization. For example, University of San
    Carlos would be filed as written but should be
    cross-referenced to San Carlos University.
  • b. When it is difficult to decide which part of
    an individuals name is the surname. In the case
    of Manolo Herbert you might index the name as
    normally written and use a cross-reference under
    a transposition of the name.

38
  • c. When an organization is better known by
    initials than by its complete name, material
    should be filed under the complete name and then
    cross-reference to the explanation, like
  • NATIONAL COLLEGE (of) BUSINESS AND ARTS
  • Cross Reference
  • NCBA
  • See National College of Business and Arts
  • d. When a record is likely to be called for most
    often by subject, should be filed under the
    subject caption but cross-referenced to
    individual or company name.
  • e. When a difficult name is indexed, you may use
    a cross-reference.
  • f. When a married woman is indexed, you may use
    the maiden name as the original file but
    cross-referenced it under the married or legal
    name.

39
  • 4. CODING (marking the units of the filing
    segment by which the record is be stored)
  • Underline or encircle the caption to be used on
    storing.
  • This is marking the file to indicate how they
    have been indexed
  • Coding highlights the indexing caption and thus
    speeds up filing
  • For alphabetic coding, the indexing caption may
    be check marked, encircled, or underlined on the
    record being coded.

40
  • For numeric coding follow these three steps
  • 1. Selecting the name under which a paper is to
    be filed
  • 2. Referring to the card index to determine the
    number to be assigned.
  • 3. Marking the number in the upper margin of the
    paper
  • For subject coding follow these steps
  • 1. Write the subject in the margin of each
    record.
  • 2. Re-sort in each category for more exact
    sequence.
  • 3. Assemble all the materials in proper sequence.

41
  • 4. A folder chargeout may be either be an
    out-folder or an out-guide.
  • 5. The OUT-FOLDER is a folder with a tab marked
    OUT and ruled spaces on the front for recording
    chargeout information. It replaces a removed
    folder. Incoming items are filed in it until the
    regular folder is returned.
  • 6. The OUT-GUIDE has a pocket into which a copy
    of the requisition slip made out by the borrower
    may be inserted. When out guides are used,
    incoming items are accumulated in a For File
    Folder until the regular folder is returned.

42
REQUISITION SLIP
  • 1. To control requests for files, use a special
    form called the REQUISITION SLIP.
  • 2. Prepare the slip in triplicate to save time
    and control safe return of files.
  • 3. These slips become the chargeout record.
  • 4. The original is put into the pocket of the OUT
    GUIDE.
  • 5. Copy 2 goes into a follow-up file box where it
    is filed by date.
  • 6. Copy 3 goes clipped to the items that were
    taken from the files to identify them to remind
    the user of the due date.

43
HOW TO SEARCH FOR MISSING FILES
  • The following clues help to uncover many misfiled
    papers.
  • 1. ON SOMEONES DESK?
  • Look first through your own desk when tracking a
    misplaced record. Then the executives desk.
    Still not there? Look in the FOR FILING
    folder.
  • 2. THE FOLDER BEFORE OR THE ONE BEHIND THE RIGHT
    FOLDER?
  • Look into the folder immediately ahead of or
    immediately behind the folder in which the paper
    belongs. This type of filing error usually
    occur.
  • 3. BETWEEN OR UNDER FOLDER?
  • Look between the folders on either side of the
    folder in which the missing paper should be. Not
    there? Then look under the folders. Single
    papers and even folders have been known to slip
    gradually under the other folders when the guides
    are not attached by a rod.

44
  • 4. TRANSPOSITION OF NAMES
  • Some names such as Santos Ricardo, are easily
    transposed. A letter to Danilo Manuel
    Enterprises may turn up in the Danilo folder.
  • 5. SIMILAR NAMES
  • Look under similarly spelled names. The Joana
    paper may be in Jones, Johns, Joens, or even
    folder.
  • 6. CROSS-REFERENCES
  • Look under the cross-references. Original may
    sometimes filed with cross reference folder.

45
  • 7. PAPER CLIPS
  • Paper clips have a way of picking up neighboring
    papers. This is one of the reasons you are
    advised from the start not to use paper clips.
  • 8. ASK YOUR BOSS
  • If all the solutions were made and still you
    cant find the record, ask your boss. He might
    have taken it and brought home without informing
    you.

46
TRANSFER AND RETENTION
  • Transferring files is the process of removing
    old and inactive items from files. However,
    transferred materials are not automatically
    destroyed. You may do the transferring of files
    during free times when the boss is away.

47
TWO GENERAL TRANSFER METHODS
  • 1. PERPETUAL TRANSFER
  • moves records to the inactive area as they become
    inactive.
  • 2. PERIODIC TRANSFER
  • files are moved at stated intervals, once or
    twice a year.
  • REMEMBER See to it that you get the approval of
    your boss before you transfer any record.

48
SOME DOS AND DONTS OF FILING
  • DO
  • 1. Do staple papers neatly together in upper left
    hand corners. If you must fasten you can use a
    fastener folder.
  • 2. Do file papers in an orderly fashion in
    folder.
  • 3. Do use individually tabbed folders with typed
    labels for ready reference.
  • 4. Do type all labels on folders. They are so
    easily read.
  • 5. Do lift the folder out to insert papers in
    proper place. You will be accurate and your file
    will be neat. Be a good housekeeper.
  • 6. Do file them in date order, keeping the latest
    date on top.

49
  • 7. Do split the papers up according to date,
    customer, or subject so that no folder contains
    more than the capacity it is designed for
    (generally ½ to 1)
  • 8. Do file material in one folder, placing a
    cross-reference sheet in folder for any other
    subject or customer include in the material.
    This will save many minutes in locating materials
    when the boss is in a hurry.
  • 9. Do keep all files in proper alphabetical
    sequence.
  • 10. Do file in back of guide. After all guide
    is what the name implies a guide indication the
    proper place to locate a folder.
  • 11. Do pre-arrange or sort your papers in exact
    order according to your file index. Then start
    to file.

50
  • 12. Do keep your filing rough sorted from A to
    Z if you cant take care of it immediately. You
    will be able to locate papers so must faster.
  • 13. Do charge out papers removed and place the
    OUT card in the file. Think of the arguments
    this will save.
  • 14. Do type labels in capital letters so they may
    be easily read and keep one on every drawer.
    Even you might forget which is which if you are
    busy.
  • 15. Do close each drawer as you finish with it.
    Open file drawer may cause a serious accident.

51
  • DONT
  • 1. Dont use pins, paper clips or rubber bands on
    file papers.
  • 2. Dont file papers loose in a drawer.
  • 3. Dont write captions on folders by hand.
    Perhaps you can read your writing but can the
    other person read your handwriting? You can
    write caption if your hand writing is very
    readable.
  • 4. Dont jam papers down into folders. You cant
    be sure they are in the correct place and anyway,
    think how messy they will look.
  • 5. Dont allow papers to be all mixed as to dates
    within a folder.
  • 6. Dont allow your folders to become cluttered
    and overcrowded.

52
  • 7. Dont allow your folders to become so full
    that they bulge, or the back sags down out of
    sight.
  • 8. Dont allow your files to become confusing
    when letters contain two or more subjects or
    customers.
  • 9. Dont flounder around spending precious
    moments looking for a folder which had been filed
    under another name.
  • 10. Dont pull a folder out of place
    alphabetically just because it may be large.
  • 11.Dont file in front of guides.
  • 12. Dont start to file with papers in haphazard
    arrangement.

53
  • 13. Dont let your new filing pile up. Update
    your files.
  • 14. Dont leave your new filing in a disorganized
    file.
  • 15. Dont lend papers and then depend upon your
    memory to tell you who took them. Keep a record
    of borrowed file folder.
  • 16. Dont allow the labels on your file drawers
    to be handwritten dirty or torn off.
  • 17. Dont pull out more than one file drawer at a
    time.

54
FOUR CATEGORIES OF RETENTION SCHEDULES
  • RECORDS KEPT PERMANNETLY Two broad classes of
    business record are generally retained
    permanently those that provide evidence of
    corporate and individual rights and those with
    historical implications. Such records are
    generally irreplaceable and are considered
    essential to the existence of the business.
    Photocopy duplicated of them should be stored in
    several locations as a precaution against
    destruction. Old documents may require special
    restorative or preservative methods to protect
    them against deterioration.

55
  • Some records that should be kept permanently
    are
  • 1. Capital stock and bond ledgers and registers
  • 2. Partnership papers
  • 3. Stockholder and director minutes
  • 4. Deeds and other title papers and mortgages
  • 5. General ledgers, journals, and cashbooks
  • 6. Records of cost and inventory value of plant
    equipment and fixtures
  • 7. Tax backup records

56
  • 8. Audit reports
  • 9. Records relating to bills and accounts payable
  • 10. Paid drafts, checks, and cash receipts
  • 11. Correspondence about stop-payment orders and
    duplicate checks.
  • 12. Payrolls paychecks, and other evidences or
    payments of services
  • 13. Employee applications.

57
  • RECORDS KEPT SIX OR SEVEN YEARS. Records in
    this category facilitates routine business
    operations and are replaceable only at
    considerable cost and delay. They should be
    transferred when inactive to secure storage.
    They include the following
  • 1. List of security holders present at meetings.
  • 2. Records of interest coupons, paid and unpaid.
  • 3. Contracts, leases, and agreements (seven
    years after expiration)

58
  • 4. Accounts receivable ledgers
  • 5. Schedules of fire and other insurance and
    papers substantiating claims
  • 6. Deposit book and record stubs
  • 7. Inventories of materials with adjustment
    records
  • 8. Sales records
  • 9. Collection records
  • 10. Record of uncollectable accounts

59
  • RECORDS KEPT FOR THREE OR FOUR YEARS. Many
    business papers are temporarily useful and
    replaceable at slight cost. They may be safely
    destroyed after three or four years. The
    following illustrate this category
  • 1. Proxies of holder of voting securities
  • 2. Employee fidelity bond records
  • 3. Insurance records changes and cancellations
    of policies
  • 4. Records about employee salary adjustments and
    assignments
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