Records Management

Records – are the memory of any business organization

- Maybe any material thing which serves to perpetuate or preserve knowledge
of acts, events, facts, or ideas.
- Are any written or graphic material related to the business which reflects the
activities of any office e.g. material in active use and in storage like reports,
legal documents and other administrative documents.
- Published matter like books, magazines and newspapers are not considered
as records

Important Characteristics of Records

- They usually consist of material that can be classified and arranged in a

methodical manner for preservation and ready reference.

Why must RECORDS be managed?

1. To regulate the great volume and variety of documents and papers currently
received and created in transacting business.
2. To accommodate and control natural increase in volume and variety due to
growth of population, new function and related activities.
3. To provide methods to ensure prompt attention, rapid movements, guide finding,
safe storage and proper disposal of documents and papers.
4. To control and reduce cost of paperwork.

WHAT IS FILING?

- Is the process of classifying & arranging of the records in systematic way so

they will not only be safely stored but also quickly retrieved or located when
needed
- Another definition is the placing of papers in acceptable containers according
to some pre-determined arrangement so that any paper, when required, can
be located speedily an conveniently
- A simple definition is – the system arranging and storing safely business
papers in a neat, orderly, and efficient manner so that they may be located
when they are wanted.

IMPORTANCE OF MANAGING FILES

1. In filing, the emphasis is more upon “finding” rather than the “storing” aspect.
2. Since the written information is being retained or filed for future possible use, the
so-called “finding” aspect is essential in paper work management.
3. The safekeeping of records is important, but being able to find them promptly,
when needed, is more important.
4. Remember needed paper when lost or misplaced can delay the work of a dozen
employees or even the entire office.
5. Management is not only interested in the files as such, but more in the
information which can be obtained from them.
6. Establishing and managing an effective system and arranging the records that an
office must maintain, and placing them at their proper locations, will help
promote operational efficiency in the office.

Objectives in Filing
 - Simplicity
- Economy
- Efficiency

Purposes of Filing

1. To make records available when they are needed whether for reference or
evidence
2. To keep all related materials together so that the history of the dealings of one
office with other offices or individuals will be available in one place.
3. To provide permanent and safe place for records of business information and
transactions during the time the records are not in use.

Different Kinds of Filing System

1. Alphabet Name File

- Records that are referred to by name of an individuals organization be
arranged by name in strict alphabetic sequence or successive continuity
- Correspondence from individual representing an organization should be
arranged under the name of the organization

2. Alphabet Subject Title

- Records which are referred to by the subject matter they contain should be
arranged alphabetically by subject title or caption.
- All records on a particular subject should be kept together in as much as each
related fits somewhere to complete a story.

3. Alphabet Location File

- Records which are referred to by geographic location should be alphabetically
arranged by location name which may by country, region, province, city,
municipality, barrio or barangay.

4. Numerical File
- Record which are identified by numbers assigned to them and are referred to
by their respective number should be arranged in numerical sequence.
- A numerical file is often used for records pertaining to bank checks, invoices,
insurance policies, presidential decrees, tax declaration, and the like.

5. Chronological File
- Records to which primary reference is made by date of the record should be
filed chronologically (in order of time) by year, month, or day as reference
indicates.
- The chronological filing system simply arranges material according to it’s time
sequence, that is, month or weeks are its main division with days for its
subdivisions.
- Some correspondence, bills, and pending accounts payable can be handled
on a chronological plan.
- Advantages of this plan:
1. It is very simple
2. Filing is easy
3. It is convenient reminder of unfinished work

Types of office records to be filed

1. Administrative Files – a file material related to overall policy, mission of

organization, direction of the office, including management improvement
programs, formal rules and regulations, guides, maintenance of service, supplies
and other administrative matter which have no direct bearing on the operation of
 the office.
2. Personal Files – any paper containing the service appointment and the other
records related to the individual employees.
3. Legal Files – consist of administrative case of personnel land cases, civil cases,
investigation records and the like.
4. Supply Files – consist of any record of supplies, equipment, purchases, contract,
etc.
5. Fiscal Files – materials on budget preparation, submission of allotments and
control of funds.

Tools in File Operation

1. Folders & fasteners

2. Charge-out cards
3. Requisition slip
4. Tickler file or follow-up file
5. Sorting table & rocks
6. Stapler
7. Filing cabinets and shelves
8. Tapes

Selecting the Appropriate Filing System

Characteristics of a good filing system

- A filing system can only be good if it is tailor-made to fit the condition or

situations prevailing in a particular organization
- Filing system is good if it can meet the three point success formula of
efficiency, economy, and simplicity.
- Filing system is good if it can meet the 3 points
- Filing system is good if it fills the needs of the operating personnel and serves
them satisfactorily.

Requisites of a good Filing System are:

1. It serves the needs of the office

2. It has the simplest identification of the file contents
3. It uses minimum indexes and codes
4. It has maximum safeguard against filing errors
5. It is not dependent on the memory of the clerk

Guides in selecting appropriate filing system

1. Know the types of records and files created and maintained by the office.
2. Know how the records are requested from the files
3. Know why, how, and where the materials to be filed originates
4. Know the procedure steps from post of origin to files
Steps in filing

How to prepare the material to be filed

Incoming correspondence one received should be time & date stamped and given to
proper person for action

1. Inspecting –
- inspect the material to make sure it has been released for filing
- Look for a special mark as release signal like the world FILE plus the initials of
 the person releasing it.
2. Indexing
- The name by which correspondence or record is most likely to be requested
from files
- Determine the most likely the heading under the paper to be filed
The possibilities are:
1. Name of on the letterhead
2. Name addressed
3. Name in the signature
4. Name or subject included in the paper
5. File or reference number
- There are rules for alphabetic indexing that should be followed.

3. Cross Referencing
- used when it is difficult which of two or more name is important
- is accomplished by filing the original under one name and cross reference sheet
under the other
- For cross referencing, you may use cross-reference sheets, or plain sheets of
paper or a paper with distinctive color.
- You may consider cross-referencing under the following situations:
a. when some word other than the first in a company pr situation name clearly
indentifies the organization. E.g.: University of San Carlos would be filed as written but
should be cross-referenced to San Carlos University.
b. when it is difficult to decide which part of an individual’s name is the surname.
In the case of Manolo Herbert you might index the name as normally written and use a
cross-reference under a transposition of the name.
c. when an organization is better known by initials than by its complete name,
material should be filed under the complete name then cross-reference to the
explanation, like:

National College of Business and Arts

Cross Reference

NCBA
See: National College of Business and Arts

d. when a record is likely to be called for most often by subject , should be files
under the subject caption but cross-referenced to individual or company name
e. when a difficult name is indexed, you may use a cross-reference

f. when a married woman is indexed, you may use the maiden name as the
original file but cross-referenced it under the married or legal name.

4. Coding
- Underline or encircle the caption to be used on storing
- This is marking the file to indicate how they have been indexed
- Coding highlights the indexing caption and thus speeds up filing
- For alphabetic coding, the indexing caption may be check marked.

- For numeric coding follow these three steps:

a. Selecting the name under which paper is to be filed

b. Referring to the card index to determine the number to be assigned
c. Marking the number in the upper margin of the paper

- For subject coding follow these steps:

a. Write the subject in the margin of each record

 b. Re-sort in each category for more exact sequence
c. Assemble all the materials in proper sequence
5. Filing or Storing
- This is the final step in manual filing which is placing the papers in
appropriate containers usually file folders.
- The papers are place din the proper folders in the filing cabinets
- Follow these procedures:
a. Punch hole s in the paper to be filed
b. To insert material, lift the folder out of the file drawer in order to make
sure you have the correct folder.
c. Insert the paper evenly
d. See to it that the material you are inserting is in correct sequence in the
folder.
e. Avoid overcrowding the folder. Overcrowding extends records beyond the
top edge of the folder, causing torn edges; it also pulls the back of the
folder down and hides the caption.
f. Use the creases across the bottom of the front flap of the folder to
accommodate increasing bulk. By expanding the folder, you can stock up
papers as much as three-quarters of an inch high without bulging. When
the maximum capacity is reached, it is time to use a second folder.

Some Useful Reminders when Filing

Removing Attachments

1. Paper clips, rubber band, and other such attachments should be removed
from papers before they are filed.

Arranging Drawer Space

1. Paper clips, rubber band, and other such attachments should be removed fom
papers before they are filed.