IMR504- Week 5Maintaining and Using Files

This lesson examines the task involved in maintaining & using files. It includes:

• storage & security• records office equipment• identifying & retrieving files• controlling file circulation• documenting circulation• housekeeping• media conversion

STORAGE & SECURITY

•Current files are not in used normally stored in a records office either:•central records office serving the whole of an organization•decentralized system, a local records office serving the divisions & branches of the organization within a single location•individual division or branches

Office of ministers or senior officials as exceptions should necessary to set up separate, secure & fireproof store or safe for files containing highly classifies or valuable documents

Nevertheless maintenance & handling should under the control of the organization’s records manager

Separate arrangements should also be made to safeguard essential or vital records & back up copies of electronic records in & off-site locations, often the records center

Records office should be located on one of the lowers floors of the building with floors strong enough to bear the weight of large quantities of paper- avoid basement accommodation since it is high risk of flooding from leaking or burst water or sewage pipes, from water leakage from outside & from water used to fight fires in higher floors of the building

Entry to files are stored should strictly controlled- doors & windows should be locked when there is no staff working- doors should be in strong construction with good locks, while windows should should be fitted with shutters, security grilles or bars- preventive measures & control outbreaks of fire includes ban on smoking, installation of smoke detectors & alarms & maintenance of fire extinguishers- regular fire drills should be held, and a disaster recovery plan should be in place & tested regularly

As conclusion the accommodation should be adequate to house the staff of the records office, the equipment they need & the records which they are responsible. It should be well maintained & there should be a regular cleaning program

Records Office Equipment

File should be stored safely with sufficient containers to ensure not so packed tightly that cannot be removed or replaced.

Types of equipment should be determined by the volume of records, level of use made of them & degree of confidentiality

Basic ways to store files are:1.vertical filing in cabinets2.lateral filing in cupboards or

on racking

Vertical filing- usually in four-drawer filing

cabinets- suitable for small records

offices & files stores- suitable for confidential &

personnel records- suitable secure storage of

files held temporarily in offices

Lateral filing- in cupboards or on a racking (which can safely be higher that the height of a filing cabinet)- preferable for large quantities of files in frequent use- provides savings in space up to 50%- achieve improve in speed of retrieval up to 30%- greater saving of space (up to 80%) with the use of mobile rack but the retrieval may be slow due to the subject heavy use- floor in the building must strong enough to take extra load- risk of mechanical breakdown is higher & cost is much greater

Containers

Boxes are use to this stage especially to store semi-current files rather than stored loose on shelves as easier retrieval, limits wear & tear & provides protection against fire & water

Not necessarily archival quality but cheaper & sufficient enough, alternatively to leave the file unboxed but to have rigid shelf dividers at frequent intervals to support files & prevent from slipping down & become damaged. It can be locally made or supplied with the equipment

Some storage equipment, both horizontal & vertical require files placed in pocket suspended from rails instead on shelves because it marginally lighter & easy to use but obtaining supplies may present problem because - they are relatively expensive - they do not offer the same degree of protection as boxes. - suspended pockets are also liable to become damaged quickly when files are in frequent use

IDENTFYING & RETRIEVING FILES

File stored by series, sub-series & file no. facilitate identification & retrieval that is in the order corresponding to classification & coding system with filing cabinets, cupboards, shelves & boxes should be clearly labeled to indicate their contents

A recommended method of storing files is on their ‘spines’. The file code or reference no. is found along what becomes the top left-hand corner of the file when stored using this method. An example of file cover is shown on Figure 1

OFFICE OF THE HEAD OF THE CIVIL SERVICE

Number pages serially at top outer corner in blue pencil.Number minutes serially beginning a new series for each page.Write minutes on the last page of the last enclosure, if there is space, or on the last page, if the paper is suitable otherwise, insert a minute sheet in the file.

FILE NO.PB –

Vol.

NameTo Page Date To Page Date To Page Date

Authority to send File to Record Room

Signature of Authorising Officer

Date

NU

MB

ER

Fig. 1Sample File Cover

A record of issuing of the file should entered on the grid or ladder on the front of the file cover includesofficer name & date; also act as address delivery of the file

When the grid is full or the cover is damaged, a new cover should be fitted around the original cover. Alternately, the front portion may be detached & annexed to the new file cover

Finding a specific file in a long, unboxed run require much trial & error. This cases require:

- dividers with protruding flags appropriately labeled- inserted within cabinets or along the shelves of cupboards or open racking to indicate the beginning of each series or sub-series- at intervals (such as at every twenty-five files) within it to facilitate the location of individual files- dividers may also serve as supporters to prevent files from slipping down when stored

When the storage area is large or where files are stored in a number of different places, a storage plan and key (or index) may be maintained. The key may take the form of annotation (explanatory notes) on the files transit sheets or file dockets

CONTROLLING FILE CIRCULATION

Movements of file from records office should be strictly controlled with rules & procedures should be drawn up, widely distributed & enforced.

Co-operation between action officers & file users is essential if file movement records are to be accurate & reliable

The rules & procedures will cover such matters as• who has the authority to access & use files, including any special restrictions on particular categories of files (such as classified, other confidential files, including personnel files)• how the circulation of files is to be recorded & who is responsible for ensuring that the documentation is kept up to date• when files may pass directly from one action officer to another & when they must pass through the records office• how long an action officer may retain a file without reconfirming the withdrawal

Documenting Circulation

To be effective, a record office should know the location every files all the times under their responsibility. Hence, a system to records each file movement either manual or computerized should be established & strictly implemented

A manual file file circulation control system will require as a minimum a file transit sheet. Other controls may include a file request form, an in-use sheet & a file movement form

File Transit Sheet

- also known as ‘tracer card’ created for each file at the time of the opening of the file.- in loose-form, easily arranged in file transit books in the same alphanumerical order as the file codes- their purpose is to show location at all the files- all movement must be recorded enable to provide an efficient & reliable service

File Transit Sheet (cont.)

- when a file is closed, it must be indicated on the transit sheet- when destroy or transfer, this fact should be noted on the sheet & transfer to a transit book covering files are no longer held in the records office- sheet should scheduled for preservation; they provide a record of disposal of the file

SECURITY GRADING(Upgrade as Necessary)

FILE NUMBER

FILE TITLE

INDEX HEADINGS

PREVIOUS FILE NUMBER SUBSEQUENT FILE NUMBER

Sent To Date Sent To Date Sent To Date

Fig. 2: File Transit Sheet

File Request Form

- file should leave office only in response to specific request except it is passed to an action officer associated with inward correspondence- a request may be by a personal applications, by telephone or online by ‘bring-up’ request or by an appropriately completed file request form & may combined with the file movement

File Request Form(Please complete this form and send it to the records office whenever you request a file.)

File number:

File title:

Requested by/Passed to:

Location:_____________________________

Date: Signature: _______________

Fig. 3: File Request Form

In-Use Sheet or Card

- an in-use sheet is completed within the records office & placed on the shelf or in the filing cabinet in place of a removed file- it could be kept within the file when the file is in place & removed when it issued. Alternatively, use a duplicate of the file request form or the latest file movement form- another alternative to create a set of in-use cards, each size of the normal sheet of paper & place one on the shelf or in the drawer when a file is removed

- the cards ruled in columns required information:

• file number• title• officer whom the file is sent• his or her location

- the information can be crossed out when the file is returned & the card reused many times, saving stationery- there will also be less likelihood that the sheet will become bent or inadvertently mixed with the contents of file

- the person completing the form should also enter the name of the new addressee in the grid on the file cover- on receipt of the file movement form, the records office will update the file transit sheet & in-use sheet (if one is used). As already noted, the file movement form may be combined with the file request form- consistent use of file movement requires a high degree of discipline on the part of file users who must aware of the importance accurate file movements records

- when finished with file, the last action officer will return the file back remembering to enter the records office as addressee on the file cover- its return will be recorded on the file transit sheet, the file will re-shelved, the in-use sheet will replace with the file & the file request form & any file movement forms will be destroyed

- computerized system will follow much the same sort of process but the individual steps will usually be on-line amendments to a database- the only physical actions required will be addressing the grid on the file cover & placing a computer-generated in-use slip on the shelf in place of the file & retrieving it on the file’s return

FILE MOVEMENT SLIPUse for long-term file movements(Please complete this form and send it to the records office when you pass a file to another officer. This will enable the records office to ensure that its records are accurate.)File number

File title

Passed to

Location

Date

Signature

Figure 4: File Movement Slip

HOUSEKEEPING

Records office will perform a number of housekeeping activities in order to maintain its current records system. These includes:

• conducting file censuses• tracing missing files• recalling outstanding files

Conducting a File Census

- file census should be undertaken at regular intervals in a system where there is doubt about the accuracy of the file movement records- census can be carried out once a week or fortnight- one method is to ask each action officer to complete a file census form, though on the first occasion the census may be more complete & accurate if form completed by a member of records office staff in collaboration with action officer

The census data should the be compared with the records office own census of the files in storage. Any discrepancies should be investigated

File Census FormDate ________________

File RefNumber

File Title Location/Officer

SIGNED _______________________________ INITIALLED __________________________

Figure 5: File Census Form

Tracing Missing Files

- if it appears a file has been mislaid, it is the responsibility of action officer to whom the file was last charged out to initiate a search- if search is unsuccessful, the records office should circulate a note to all officers in the organization to check whether the file with them- if this request is also unsuccessful, a physical search throughout the organization should be instituted

While the file is missing, the charge-out document should endorsed ‘file missing’ & a temporary file (clearly marked as such) should be opened for any paper accruing pending the discovery of the original file. When the original file is recovered, the temporary file should be merged with it

Recalling Outstanding files

- when a file has been charged out to an action officer for longer than the permitted period, a file recall or chase-up note should be sent, asking the officer to return the file to the records office or to confirm that it is still required for current business

- records office should operate ‘bring-up’ (BU) or ‘bring-forward’ (BF) or ‘re-submit’ system so that the file can send on specific future date & discourage action officers retaining the files

- bring-up action starts when action officer returns the file together with BU request, providing details of the & the date when it is to be returned to the action officer

- within the records office, the request is entered in a BU diary. This may be in the form of a desk diary

- when the file is to be returned, the need is confirmed with the action officer & the file is located & charge out

COPYING RECORDS- in certain circumstances, it is necessary to copy current records & should be done after careful consideration of the purpose, which copies are required & assessment of the most appropriate & cost-effective form of copying- it can be valuable process for the management of current records & for access & dissemination of information.- copying or reprography is also a tool used for preservation purposes with process & operations involved in physical protection of records against damage & deterioration

- copy management, aimed to at preventing excessive copying & the proliferation of paper, is an important constituent of an organization’s records management system

A variety of copying process are available to the Records Manager, These include• electrostatic copies (photocopies or hard copies)• microform copies• digital copies

Electrostatic Copies-‘photocopies’ or ‘hard copies’ are the easiest types of copy to produce in an office & suitable for duplicating short runs of individual documents- equipment use for producing copies range from simple to complex. Best copiers print on plain paper & do not involve any special chemical preparation- when equipment is properly maintained & the correct materials are used, such copies are virtually permanent

Microforms- roll microfilm or microfiche are most suitable for duplicating multiple documents (complete files or even whole series)- equipment used complex & expensive, must be maintained & operated by skilled operators. Also required microfilm & microfiche readers to read the microforms- microfilming require comprehensive range of relevant international standards. Microfilms filmed & process on silver-gelatin stock will be very stable & last long time if preserved in correct environment & handled with care

Digital Copies- produced using process called document image processing (DIP), whereby images of documents are converted into digital form on optical disks & handled & retrieve electronically- this process should be distinguished from optical character recognition (OCR), which converts the individual character of a text into their standard (usually ASCII) electronic codes for computer processing but do not reproduce image of the source documents

- equipment required for operating DIP system is expensive & yet no adequate range of international standards in the field. DIP system are most likely to be of value into automating the office & its workflow- access to information is faster than microform systems however where information is bulky, is accessed infrequently & speed is not vital, microfiche are likely to be more cost effective- information created & maintained in electronic form may be printed out, where it may range from low resolutions dot-matrix to high resolution ink-jet or laser printing. It may be produced as computer output microform (COM)

Reasons for Copying

Deciding whether copying is appropriate, it is necessary to consider what purposes are to be served by the conversion & whether the cost is justified. Those purpose may include any or all of the following, separately or in combination:• to ease storage problems• to secure or preserve records• to make records available at various locations

Conversion for Storage Purposes- equipment manufactures & suppliers will suggest substitution microfilming or image processing & the subsequent destruction of the original documents, as a solution to an organization’s storage problems- any such proposal should carefully examined. Microfilming can be costly so the costs should be compared with those of operating a sound records management system includes appropriate & timely appraisal & disposal procedures & off-site storage of semi-current records

The decision to convert records in order to save space must be based on a number of considerations, including:• The cost of microfilming or image processing. Costs are not confined to equipment, materials, staff & accommodation but also include preparation, storage, maintenance & retrieval• The nature of records. If documents are not in standard size, shade or color, the filming or scanning process may be slower & the unit cost may be higher. Further, the quality of the copies may suffer

• The legal requirements for keeping originals.If the documents are of archival value or if they are likely to be required for legal purposes & only the originals are admissible as evidence, destruction is not an option and so there is no resultant saving

Conversion for Security or Preservation Purposes- security microfilming of essential records or the backup copying of electronic records is a form of insurance against the loss of the originals & the information they contain- security copies of records should be stored separately from originals to ensure their protection in the event of a disaster- preservation copying of documents may be necessary to ensure their survival for as long as they have continuing value to the organization or archival value for other potential users

Reason for preservation copying may include:

• Copying damaged documents: copies can be made by electrostatic or micrographic means & subsequent consultations may be confined to the copies (or surrogates) to prevent further damage to the originals

• Copying records that may fade or deteriorate:It is wise to make electrostatic copies of fax messages or other copies printed on coated paper, from which image soon fades

• Printing electronic documents: electronic records, include e-mail messages, may be printed & filed on the relevant paper files where there is no adequate assurance of long-term protection of electronic records. In the long term, as electronic filing systems begin to meet the full range of records management requirements & electronic documents become legally admissible, such conversion will cease to be necessary

• Copying for diffusion: records may be copied for simultaneous use at different locations. Such copying protects original & may improve efficiency & speed in decision making & action. Diffusion may be done by making paper copies, microfilms copies or electronic copies of records