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Records management
- 1. Records Management O Management OUsing 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) 1
- 2. Records O Definition ofrecord O Stored information, regardless of media or characteristics O Made or received by an organization O Provides evidence of operations and has continuing value 2 Computer data is a common record form. © Photodisc / Getty Images
- 3. Records Classification O Byuse O Transaction documents O Reference documents O By place of use O Internal records O External records O By value to the organization 3 – Vital records – Useful records – Important records – Nonessential records Records are often discussed in meetings. Image Source / Getty Images
- 4. Why Records AreUsed O To serve as the memory of a business O To document transactions O To document compliance with laws and regulations 4
- 5. Records Values • Administrative Records thathelp employees perform office operations 5 • Legal Records that provide evidence of business transactions • Historical Records that document the organization’s operations
- 6. Records Management Functions OPlanning—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 6
- 7. Record and InformationLife Cycle 7
- 8. Indexing • Determining thename by which a record will be stored • Filing segment – Name or subject selected – Should be the name by which the record will be requested 8
- 9. Indexing Units • Wordsthat 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 9
- 10. Coding • Marking thefiling 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 10
- 11. Rule 1: IndexingOrder of Units • Personal names – The surname (last name) is first – The given name (first name) is second – The middle name or initial is third 11
- 12. Rule 1: IndexingOrder of Units • Business names – Indexed as written – Letterheads or trademarks used as guides 12
- 13. Rule 2: MinorWords and Symbols • Business names – Articles, prepositions, conjunctions, and symbols are separate indexing units – Symbols are spelled in full – ―The‖ is the last unit 13
- 14. Rule 3: Punctuationand Possessives • All punctuation is disregarded – In business names – In personal names 14
- 15. Rule 4: SingleLetters & Abbreviations • Personal names – Initials are separate indexing units – Nicknames are indexed as written 15
- 16. Rule 4: SingleLetters & 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 16
- 17. Rule 5: Titlesand 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 17
- 18. Rule 5: Titlesand Suffixes 18
- 19. Rule 5: Titlesand Suffixes • Business names – Titles and suffixes are indexed as written – ―The‖ is the last unit 19
- 20. Rule 6: Articlesand Particles • Business and personal names – An article or particle is combined with the name following it – Spaces are disregarded 20
- 21. Rule 7: Numbersin 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 21
- 22. Rule 7: Numbersin Names 22
- 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 23
- 24. Rule 8: Organizations& Institutions 24
- 25. Rule 9: IdenticalNames • For identical names, sort records by – City names first – State or province names second – Street names third – House or building numbers fourth 25
- 26. Rule 9: IdenticalNames 26
- 27. Rule 10: GovernmentNames • 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 27
- 28. Rule 10: GovernmentNames 28
- 29. Rule 10: GovernmentNames • 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 29
- 30. Rule 10: GovernmentNames 30
- 31. Rule 10: GovernmentNames • 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 31
- 32. Rule 10: GovernmentNames 32
- 33. Rule 10: GovernmentNames • 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 33
- 34. Rule 10: GovernmentNames 34
- 35. Cross-Referencing • Copy ofa 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 35
- 36. Subject Titles • Subjecttitles 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 36
- 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 37
- 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 38
- 39. Consecutive Numbering • Numberedrecords are arranged in ascending number order • Numbers follow one after another without interruption • An index must be referenced to locate a numbered record 39
- 40. Nonconsecutive Number Storage O Terminal-digitstorage 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 Isa serial list of numbers assigned to records O Includes the date of the assignment O Indicates the next number to be assigned 41
- 42. Alphabetic Index O Areference 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 42
- 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 43
- 44. Correspondence Records Storage OStorage–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 44
- 45. Storage Equipment • Filecabinets O Vertical file cabinets O Lateral file cabinets • Shelf files • Mobile shelving 45 The HON Company Vertical file cabinets are common storage equipment.
- 46. Storage Equipment 46 Lateral File CabinetsShelf files Mobile Shelves
- 47. Guides O Rigid dividersused to identify a section in a file O Made of pressboard or plastic O Primary guides O Special guides 47
- 48. Folders O Used tohold and protect records in a file O Are available in various cuts and positions 48
- 49. Folders O General folder—forrecords 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 49
- 50. Types of Folders OSuspension 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 50
- 51. OUT Indicators O Controldevices that show the location of borrowed records O OUT guides O OUT folders O OUT sheets 51
- 52. Labels O Contain thenames, 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 52 Ames Color-File, www.amescolorfile.com Color-coded labels aid in storing records.
- 53. Sorters O Used toarrange records into alphabetic or numeric categories O Hold records temporarily prior to storage O Make locating unfiled records easier 53 Placing records in a sorter saves time when storing records.