1. Records Management
O Management
O Using resources to achieve specific goals
O Planning, organizing, leading, and controlling
O Records management
O Control of all records through the record life cycle
O Also known as records and information management
(RIM)
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2. Records
O 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.
© Photodisc / Getty Images

3. Records Classification
O By use
O Transaction documents
O Reference documents
O By place of use
O Internal records
O 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.
Image Source / Getty Images

4. Why Records Are Used
O To serve as the memory of a business
O To document transactions
O To document compliance with laws and regulations
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5. 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

6. Records Management Functions
O Planning—establishing goals or objectives
O Organizing—arranging the tasks, people, and other
resources to meet goals
O Controlling—measuring how well goals have been met
O Leading—training, supervising, and motivating
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7. Record and Information Life Cycle
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8. 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 be
requested
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9. 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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10. Coding
• Marking the filing segment
– Place diagonals between the units
– Underline the key (first) unit
– Number the remaining units
O Indexing rules
O Determine how
segments are ordered
O Help ensure consistency
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11. 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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12. Rule 1: Indexing Order of Units
• Business names
– Indexed as written
– Letterheads or trademarks used as guides
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13. 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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14. Rule 3: Punctuation and Possessives
• All punctuation is disregarded
– In business names
– In personal names
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15. Rule 4: Single Letters & Abbreviations
• Personal names
– Initials are separate indexing units
– Nicknames are indexed as written
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16. 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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17. 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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18. Rule 5: Titles and Suffixes
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19. Rule 5: Titles and Suffixes
• Business names
– Titles and suffixes are indexed as written
– ―The‖ is the last unit
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20. 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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21. 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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22. Rule 7: Numbers in Names
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23. 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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24. Rule 8: Organizations & Institutions
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25. 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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26. Rule 9: Identical Names
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27. 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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28. Rule 10: Government Names
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29. Rule 10: Government Names
• 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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30. Rule 10: Government Names
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31. Rule 10: Government Names
• 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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32. Rule 10: Government Names
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33. Rule 10: Government Names
• 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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34. Rule 10: Government Names
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35. 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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36. Subject Titles
• Subject titles may be used in an alphabetic name file
O Applications
O Bids or project names
O 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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37. 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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38. 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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39. 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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40. Nonconsecutive Number
Storage
O Terminal-digit storage
O Number are divided into groups
O The last group (two or three digits) is the
primary division under which a record is
filed
O Middle-digit storage
O Number are divided into groups
O The middle group (two or three digits) is
the primary division under which a record
is filed
O Chronologic storage 40

41. Accession Log
O Is a serial list of numbers assigned to
records
O Includes the date of the assignment
O Indicates the next number to be assigned
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42. Alphabetic Index
O A reference to a numeric file
O Organized alphabetically
O Used to find the number assigned to a
name or subject
O Also called a relative index
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43. 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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44. Correspondence Records Storage
O Storage–placing records on a shelf or in a file drawer
according to a storage method
O Storage methods
O Alphabetic, subject, geographic
O Numeric or chronologic
O Alphabetic records management—storing records
according to letters of the alphabet
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45. Storage Equipment
• File cabinets
O Vertical file cabinets
O Lateral file cabinets
• Shelf files
• Mobile shelving
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The HON Company
Vertical file cabinets are common
storage equipment.

46. Storage Equipment
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Lateral File
Cabinets Shelf files
Mobile
Shelves

47. Guides
O Rigid dividers used to identify a section in a file
O Made of pressboard or plastic
O Primary guides
O Special guides
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48. Folders
O Used to hold and protect records in a file
O Are available in various cuts and positions
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49. Folders
O General folder—for records to and from
correspondents with a small volume of records
O Individual folder—for records of an individual
correspondent with several records
O Special folder—for records stored behind a special
guide
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50. Types of Folders
O 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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51. OUT Indicators
O Control devices that show the location of borrowed
records
O OUT guides
O OUT folders
O OUT sheets
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52. Labels
O Contain the names, subjects, or numbers assigned to
file folders
O Container labels
O Guide labels
O Folder labels
O Bar codes may be
placed on labels along
with names
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Ames Color-File, www.amescolorfile.com
Color-coded labels aid in
storing records.

53. Sorters
O Used to arrange records into alphabetic or numeric
categories
O Hold records temporarily prior to storage
O Make locating unfiled records easier
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Placing records in a sorter saves
time when storing records.