Records Management - heckman.netheckman.net/michelle/BT218/Slides/218prez4.pdf · Records Management BT118 Mt Hood Community College Discussion: "Evaluating Manual Filing ... –

Records Management

BT118Mt Hood Community College

Discussion: "Evaluating Manual Filing Systems“Chapter 4

Michelle Heckman

© 2005-2006 M.Heckman

Manual Filing Systems

• Hard-copy Filing– Despite attempts to cut down on paper storage,

most organizations require some– The number and type of filing systems vary from

one organization to another, depending on complexity and size

– Each “industry” will have similar characteristics, e.g. each doctor’s office will have similar systems

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• Hard-copy Filing– Arrangements:

• Alphabetic• Numeric• Chronological• Alphanumeric• Subject• Geographic

– Decision based on HOW the organization needs to access the information

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• Alphabetic– Stored in dictionary order A Z– Filed by person’s name, company name, subject name– Primary Guide (tab for A, tab for B, etc) – Individual folders reside “behind” the appropriate

Primary Guide– General Record folder for each letter of the alphabet

to hold records in the primary guide but do not have individual folders

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• Alphabetic– ADVANTAGES

» Easy to learn & use» Easy to check for misfiled records» Direct access: no need for an index» Fast storage and retrieval» Less training time and actual filing time

– DISADVANTAGES» Files are not secure or confidential


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• Alphabetic• Numeric

– Records are assigned numbers and filed in numeric sequence

– Serial Arrangements or Terminal Digit Systems{0001, 0002, 0003. . .} or {01-01-01, 01-01-02, 01-02-01. . .}

– May be employed to maintain confidentiality

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• Alphabetic• Numeric

– ADVANTAGES» Easy to expand» Pre-numbered documents easy to sort» Confidential» Advanced labeling for new files» Easy to set up a retention & disposal schedule» Numbers may be easier to read than names, subjects…

– DISADVANTAGES» Requires creation and maintenance of alphabetic index» More time consuming – must reference index for filing and

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• Alphabetic• Numeric• Chronological

– Filing based on when the record is needed– Sometimes used as a “tickler file”


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– Pending file use» Special chronological system» For items in process» Once released document/record should be returned to regular

filing system

– Reading file use» Easy access to daily correspondence


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– ADVANTAGES:» Fast Retrieval» Use as a memory aid for in-process, pending documents

– DISADVANTAGES:» Time-consuming activity


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• Alphabetic• Numeric• Chronological• Alphanumeric

– Similar to an outline– Uses a combination of letters & numbers– Generally uses an alphabetic index


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• Alphabetic• Numeric• Chronological• Alphanumeric

– ADVANTAGES:» Easy to expand

– DISADVANTAGES:» Difficult to learn» Requires Alphabetic index


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• Alphabetic• Numeric• Chronological• Alphanumeric• Subject

– Records arranged by topic or category– 2 arrangements:

» Dictionary A-to-Z» Encyclopedic ordered by main topic with subdivisions filed

alphabetically behind the first letter of the main topic

– Requires alphabetic index to determine subject or topic name

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• Alphabetic• Numeric• Chronological• Alphanumeric• Subject

– ADVANTAGES:» All info on a topic is grouped» Generally subjects are easy to remember

– DISADVANTAGES:» Alphabetic index must be created and maintained» Training time required» Double sort

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– Arranged alphabetically according to location

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– ADVANTAGES:» Area info easy to locate

– DISADVANTAGES:» Must create, maintain & check index» More time consuming» Double sort

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• Storing Records1. Check to see if the record is ready to be filed

Be certain it has been released for filing – a release mark indicator – initials, checkmark, specified

symbol, etc.

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• Storing Records1. Check to see if the record is ready to be filed2. Determine the name of the record to be stored

– “INDEXING” – process of determining name of record to be stored

– Each word, letter or symbol in the name is a unit– The first unit of the name is the key unit

» Personal names filed with last name as the key unit (First name = 2nd unit; Middle name = 3rd unit)e.g. Smith Mary Jo

» Business Names are filed as writtene.g. Big Apple Pizza Company

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• Storing Records1. Check to see if the record is ready to be filed2. Determine the name of the record to be stored –

“INDEXING”3. Mark the record by name for storage – “CODING”

– Use pencil– Underline the Key unit & number following units

or Write out the record name

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• Storing Records1. Check to see if the record is ready to be filed2. Determine the name of the record to be stored –

“INDEXING”3. Mark the record by name for storage – “CODING”4. Arrange the records in the order in which they will be

stored – “SORTING”– Rough sort: records are placed behind the proper

alphabetic letter in a temporary holder until time is available

– Fine sort: when the filer arranges all records in the proper alphabetic order before storing

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• Storing Records1. Check to see if the record is ready to be filed2. Determine the name of the record to be stored–

“INDEXING”3. Mark the record by name for storage – “coding”4. Arrange the records in the order in which they will be

stored – “SORTING”5. Place the records in the filing system – “STORING”

– Choose a convenient time

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© 2005-2006 M.Heckman


• Storing Records1. Check to see if the record is ready to be filed2. Determine the name of the record to be stored– “INDEXING”3. Mark the record by name for storage – “coding”4. Arrange the records in the order in which they will be stored –

“SORTING”5. Place the records in the filing system – “STORING”6. Cross-reference records, if required

– Done when there is the possibility of a question about where therecord is stored

» Individual or business name has changed» Business has multiple names or is referred to by an acronym or

abbreviation» Foreign spelling» Compound (hyphenated) or unusual name

– Cross-reference folder or sheet is inserted

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© 2005-2006 M.Heckman


• Storing Records1. Check to see if the record is ready to be filed2. Determine the name of the record to be stored–

“INDEXING”3. Mark the record by name for storage – “coding”4. Arrange the records in the order in which they will be

stored – “SORTING”5. Place the records in the filing system – “STORING”6. Cross-reference records, if required

Be thorough, take time – misfiled records can be costly!!

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• Requests and Charge-out ProceduresTo borrow a file:1. Borrower completes a requisition request

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• Requests and Charge-out ProceduresTo borrow a file:1. Borrower completes a requisition request2. Record is located

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• Requests and Charge-out ProceduresTo borrow a file:1. Borrower completes a requisition request2. Record is located3. An “OUT INDICATOR” is created and placed in the

record’s location. The indicator should include:– Record identification– Who removed the record– Date of the loan

– Out Folder, Out Guide, Out Slip

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• Requests and Charge-out ProceduresTo borrow a file:1. Borrower completes a requisition request2. Record is located 3. An “OUT INDICATOR” is created and placed in the

record’s location. The indicator should include:– Record identification– Who removed the record– Date of the loan

– Out Folder, Out Guide, Out Slip

4. If record is already on loan, the borrower completes an “ON-CALL FORM”

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• Requests and Charge-out Procedures– Confidential files

• Generally require written authorization from a company official

• Might be required to examine without actually removing

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• Requests and Charge-out Procedures– Charge-out Log

• Centralized record of charge-outs and their due date • Used to locate tardy or missing records

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• Thinking It Through– #1, page 90

1. How would you begin to organize the radio station’s records?

2. What type of filing systems would you use?3. What other types of records might be found that you

would need to organize?4. Would a manual system be sufficient for this office?5. If you feel an electronic system would be helpful in

meeting the needs, how would you convince management to install an electronic records system?

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Documents

Records Management - heckman.netheckman.net/michelle/BT218/Slides/218prez4.pdf · Records Management BT118 Mt Hood Community College Discussion: "Evaluating Manual Filing ... –