Chapter 7 Managing Your Records

1. Chapter 7Managing Your Records

2. Records Management • Records Management • Preparation for Visible Filing • Techniques for Putting Away Papers • Supplies Offered Online • Storing Information

3. Records Management (continued) • Records retention and transfer • Alphabetic filing procedures • Alphabetic filing rules • What about the future?

4. Records Management—Location of Files • Centralized: • One location convenient to many • Files are checked out, so their location is always known • Decentralized: • Files are maintained at individual workstations

5. Records Management—File Classification • How files are arranged • Major systems are: • Alphabetic • Numeric • Geographic • Subject

6. Preparations For Visible Filing • Current terminology used to describe paper filing

7. Preparation—Reviewing • Should papers stapled together be filed together? • Staple together related papers where one document refers to the other • 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?

8. Preparation—Indexing • Determine key word • Name • Subject • Geographic location • Incoming letters – use organization name on letterhead • Outgoing letters – use organization name in inside address

9. Preparation—Coding • After deciding how to file paper, mark indexing caption on it • To code by name, underline name • Bold key words • Identify number of indexing units according to bold words • Mr. Benjamin (2nd) Ross (1st) = 2 indexing units

10. Preparation—Cross-Referencing • 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. It should be only piece of paper in folder. Its purpose is to send you to correct file. • Second copy is filed with actual folder.

11. Cross-Referencing (continued) • 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 (Consider a name like Kent Ross.) • When organizations are referred to by their acronym – IAAP (International Assoc. of Administrative Professionals) • Can you name some others?

12. Preparation—Sorting • Prearrange documents in same order in which they will be filed • First, divide documents into manageable groups. A-E, F-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

13. Techniques—Charge-Out Methods • System for tracking files that are removed from designated location • Does not apply to electronic filing • Charge-out information should contain: • Name of person who has taken file • Date issued

14. Techniques—Organization of Electronic Files • Directories that contain folders that contain files that contain documents • Storage can be: • On a network • Allotted to certain people for their files • On removable disks • CD-ROM, zip, or floppy disk • Be descriptive in labeling directories, folders, and files

15. Supplies Online • Catalog will be dynamic and prices will be up to date • Delivery is fast • Usually cost less

16. Supplies Offered Online (continued) • Supplies for Visible Filing • Supplies needed for filing documents: • Guides (dividers) • Folders (containers for documents) • Labels (Identify folders) • Supplies for Electronic Filing • Few are needed • CD-ROM, zip and floppy disks, and labels

17. Storing Information—Visible Documents • Filed vertically, standing upright, and supported by guides and folders in file drawers • Two types of popular file cabinets: • Vertical • Lateral • Wire organizers allow folders to be placed directly in file drawer without suspension folders.

18. Storing Information—Disks • Store disks in sturdy plastic cases • Can lock for security • Prevent dirt, dust, lint, & static electricity • Avoid • Exposure to heat • Eating or drinking while handling disk • Placing under heavy object • Placing near magnetic object

19. Storing Information—Electronic Databases • Software used for storing and sorting lists of anything, including records on employees, projects, and inventory • Each item gathered, like a name, is called a field • A group of fields make up a record • A collection of records make a file • A database is a set of related files

20. Retention • These 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

21. Categories of Records • Vital Records • Records essential to operation • Important Records • Customer/personnel records • Kept on-site to conduct daily business • Nonessential Records • Not needed beyond current use and can be discarded after use • Requests, acknowledgements, notices of meetings, duplicate copies

22. Transfer of Records • 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

23. Alphabetic Filing—Primary Guides • Divide file into alphabetic sections • Placed at beginning of each section • Correspondence is filed in individual or miscellaneous folders placed behind guides

24. Alphabetic Filing—Individual Name Folders • Use when at least five papers are accumulated for one correspondent • File individual folders in order immediately following primary guide • File correspondence • In chronological order • Most recent date is placed at front of folder

25. Alphabetic Filing—Miscellaneous Folders • Filed behind individual folders • Contains papers to and from all correspondents for whom you do not have individual name folders • Within this 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

26. Alphabetic Filing—Special Guides • Direct eye to individual folders that are used frequently • Used for subdivisions of alphabet • Used to mark section of file containing individual folders for several correspondents with same surname

27. Alphabetic Filing—Color-Coding • Can be used on any filing system • Provides easy identification for sorting, filing, and finding, and confirms if folder is in right place. • Color can code certain digits or letters • Code two or three digits in numeric • Code 1st two letters of a name

28. Color-Coding (continued) • Use color to: • Differentiate various types of files or records • Identify records temporarily removed from files • Check filing methods of new employees Simplify filing on media (micrographics, diskettes, and computer printouts)

29. Alphabetic Filing Rules—Order of Filing Units • Unit – each part of name is called a unit • B. R. Grove has three units • Indexing – Unit of name in order for filing. Always precedes alphabetizing. • Grove (1st), B. (2nd) R. (3rd) • Alphabetizing – placing names in an A-to-Z sequence

30. Alphabetic Filing Rules—Names of Individuals • Surname is first filing unit, followed by first name or initial, and then middle name or initial • Abbreviations in names of individuals • Prefixes in names • Hyphens in names • Titles, designations, and degrees

31. Alphabetic Filing Rules—Names of Businesses and Organizations • Names of Business and Organization • As written • Central (1st) Trust (2nd) Company (3rd) • Punctuation in Names • Ignore all punctuation marks, consider hyphenated word as one unit

32. Alphabetic Filing Rules—Names of Businesses and Organizations(continued) • Numbers in 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

33. Alphabetic Filing Rules— Names of Businesses and Organizations(continued) • Symbols in Names • Index way they are pronounced. • One $ Store • One (1st) Dollar (2nd) Store (3rd) • Abbreviations in Names • File as written, spell out only when company spells out • ARK Transport • ARK (1st) Transport (2nd)

34. Alphabetic Filing Rules— Names of Governments • Federal Government • United States Government = units 1-3 • Followed by most distinctive name of office • United (1st) States (2nd) Government (3rd) Social (4th) Security (5th) Administration (6th) • State and Local Government • Index by their distinctive name • Monroe (1st) County (2nd) Public (3rd) Works (4th) Department of (5th)

35. 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 Alphabetic Filing Rules—Names and Addresses

36. Variations in Alphabetic Filing Rules • Watch for the following variations: • Hyphenated words – is it one or two units? • Mac or Mc – is it filed with M’s? • Is nickname ignored and filed as true name? • Spelling out of II or III or Sr filed before Jr • Is a married woman filed under husband’s name?

37. Variations in Alphabetic Filing Rules(continued) • Watch for following variations(continued) • Hyphenated business name could 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

38. What About the Future? • Decide on best option for storing documents • Consider cost involved in migrating or moving scanned/stored documents to newer software or hardware • How easy is it to locate a stored document? • Seek advice from professional record manager consulting firms