Records management

Records ManagementO Management

O Using resources to achieve specific goalsO Planning, organizing, leading, and controlling

O Records management O Control of all records through the record life cycleO Also known as records and information

management (RIM)

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RecordsO Definition of record

O Stored information, regardless of media or characteristics

O Made or received by an organization

O Provides evidence of operations and has continuing value

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Computer data is a common record form.

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Records ClassificationO By use

O Transaction documentsO Reference documents

O By place of useO Internal recordsO External records

O By value to the organization

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– Vital records – Useful records– Important records – Nonessential

records

Records are often discussed in meetings.

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Why Records Are UsedO To serve as the memory of a businessO To document transactionsO To document compliance with laws and

regulations

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Records Values

• Administrative

Records that help employees perform office operations

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• Legal Records that provide evidence of business transactions

• Historical Records that document the organization’s operations

Records Management Functions

O Planning—establishing goals or objectivesO Organizing—arranging the tasks, people, and

other resources to meet goalsO Controlling—measuring how well goals have

been metO Leading—training, supervising, and motivating

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Record and Information Life Cycle

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Indexing• Determining the name by which a record will be

stored• Filing segment

– Name or subject selected– Should be the name by

which the record will berequested

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Indexing Units• Words that make up the filing segment• Key unit

– The first unit in a filing segment– Not necessarily the first word in the name

O Indexing order

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Coding• Marking the filing segment

– Place diagonals between the units– Underline the key (first) unit – Number the remaining units

O Indexing rulesO Determine how

segments are orderedO Help ensure consistency

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Rule 1: Indexing Order of Units

• Personal names– The surname (last name) is first– The given name (first name) is second– The middle name or initial is third

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Rule 1: Indexing Order of Units

• Business names– Indexed as written– Letterheads or trademarks used as guides

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Rule 2: Minor Words and Symbols

• Business names– Articles, prepositions, conjunctions, and symbols

are separate indexing units– Symbols are spelled in full– “The” is the last unit

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Rule 3: Punctuation and Possessives

• All punctuation is disregarded– In business names– In personal names

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Rule 4: Single Letters & Abbreviations

• Personal names– Initials are separate indexing units– Nicknames are indexed as written

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Rule 4: Single Letters & Abbreviations

• Business names– Single letters are indexed as written– An acronym or abbreviation is indexed as one unit– Radio and TV call letters are indexed as one unit

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Rule 5: Titles and Suffixes• Personal names

– A title, seniority suffix, or professional suffix is the last unit

– Numeric suffixes are placed before alphabetic suffixes

– Single names with royal or religious titles are filed as written

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Rule 5: Titles and Suffixes

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Rule 5: Titles and Suffixes• Business names

– Titles and suffixes are indexed as written– “The” is the last unit

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Rule 6: Articles and Particles

• Business and personal names– An article or particle is combined with the name

following it– Spaces are disregarded

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Rule 7: Numbers in Names• Business names

– Numbers spelled out are filed alphabetically– Numbers written in digits are filed in ascending

order before words– Arabic numbers are filed before Roman numbers– For inclusive numbers, only the first digits are

used– Ordinals (st, d, th) are disregarded– A number linked to a letter or word is a single unit

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Rule 7: Numbers in Names

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Rule 8: Organizations & Institutions

• Filed according to the name written on the letterhead

• Examples– Banks and other financial institutions– Schools, colleges, and universities– Hospitals, hotels, and clubs

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Rule 8: Organizations & Institutions

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Rule 9: Identical Names• For identical names, sort records by

– City names first– State or province names second– Street names third– House or building numbers fourth

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Rule 9: Identical Names

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Rule 10: Government Names

• For local and regional government names– The name of the county, city, town, or village is

the first unit– The most distinctive part of the name comes next

(examples: public library, fitness center, water works)

– The type of office comes next (examples: county of, city of, department of, office of)

– “Of” is not added to a name

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• For state government names– The name of the state or province is the first unit– The most distinctive part of the name comes next

(examples: attorney general, environmental quality)

– The type of office comes next (examples: office of, department of)

– “Of” is not added to a name

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• For federal government names– Use three indexing levels rather than units– United States Government is the first level– The name of a department or top-level agency is

the second level– A distinctive name is the third level (examples:

national weather service, civil rights office)– “Of” and “the” are not considered but may be

included for clarity

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• For foreign government names– Index the name as translated to English– Use the most distinctive part of country name as

the first unit– Index the balance of country name – Index distinctive names for branches,

departments, or offices next

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Cross-Referencing• Copy of a record or a cross-reference sheet

– Shows the name in a form other than that used on the original record

– Indicates the storage location of the original record

• Should be done with discretion– Too many cross-references crowd the files– Each one takes valuable time to prepare

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Subject Titles• Subject titles may be used in an alphabetic

name fileO ApplicationsO Bids or project namesO Special promotions or celebrations

O The subject title is the key unit O Subject subdivisions are indexed next O The correspondent’s name is indexed next

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Subject Records Management

• An alphabetic system of storing and retrieving records by their subjects

• Examples of use• Correspondence and reports• Catalogs and inventory lists• Research data• Product development plans

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Numeric Records Management

• A system for arranging records based on numbers

• Good for organizations that need to keep records confidential

• Makes expanding files easy

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Consecutive Numbering• Numbered records are arranged in ascending

number order• Numbers follow one after another without

interruption• An index must be referenced to locate a

numbered record

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Nonconsecutive Number Storage

O Terminal-digit storageO Number are divided into groupsO The last group (two or three digits) is the

primary division under which a record is filed

O Middle-digit storageO Number are divided into groupsO The middle group (two or three digits) is

the primary division under which a record is filed

O Chronologic storage40

Accession LogO Is a serial list of numbers assigned to

records O Includes the date of the assignmentO Indicates the next number to be

assigned

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Alphabetic IndexO A reference to a numeric file

O Organized alphabeticallyO Used to find the number assigned to a

name or subjectO Also called a relative index

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Geographic Records Storage

• A system for storing and retrieving records by location

• Examples of use• Organizations that operate in several locations• Scientific studies or collections• Property records• Tracking construction or maintenance activities

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Correspondence Records Storage

O Storage–placing records on a shelf or in a file drawer according to a storage method

O Storage methodsO Alphabetic, subject, geographicO Numeric or chronologic

O Alphabetic records management—storing records according to letters of the alphabet

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Storage Equipment• File cabinets

O Vertical file cabinetsO Lateral file cabinets

• Shelf files• Mobile shelving

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The HON Company

Vertical file cabinets are common storage equipment.

Storage Equipment

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Lateral File Cabinets Shelf files

Mobile Shelves

GuidesO Rigid dividers used to identify a section in a fileO Made of pressboard or plasticO Primary guidesO Special guides

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FoldersO Used to hold and protect records in a fileO Are available in various cuts and positions

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FoldersO General folder—for records to and from

correspondents with a small volume of recordsO Individual folder—for records of an individual

correspondent with several recordsO Special folder—for records stored behind a

special guide

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Types of FoldersO Suspension folder—has hooks on each side that

hang from metal rails on a file drawer O Bellows folder—has a top flap and sides to

enclose records in a case O Pocket folder—has partially enclosed sides and

more expansion at the bottom than an ordinary folder

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OUT IndicatorsO Control devices that show the location of

borrowed recordsO OUT guidesO OUT foldersO OUT sheets

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LabelsO Contain the names, subjects, or numbers

assigned to file foldersO Container labelsO Guide labelsO Folder labels

O Bar codes may be placed on labels alongwith names

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Ames Color-File, www.amescolorfile.com

Color-coded labels aid in storing records.

SortersO Used to arrange records into alphabetic or

numeric categories O Hold records temporarily prior to storageO Make locating unfiled records easier

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Placing records in a sorter saves time when storing

records.