1 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Records Management Chapter 21

2 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Records Refer to informational documents in both paper and electronic formats that are used to carry out various functions. Includes forms, letters, messages, memoranda, reports, and manuals.

3 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Records Management Refers to the activities involved in controlling the life cycle of a record, beginning with its creation and ending with its final disposition.

4 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Filing Refers to the activities involved in rough sorting of paper-based documents, locating the proper folder for the document, and placing the document in the folder.

5 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Advantages of an Effective Records Management Program (1 of 2) Advantages of an Effective Records Management Program (1 of 2) 1. It better serves its clients or customers. 2. It increases employee productivity. 3. It accomplishes its workload with fewer employees. 4. It centralizes its records and information, thus making them readily available to all employees who need them. 5. It eliminates duplicate records and information.

6 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Advantages of an Effective Records Management Program (2 of 2) Advantages of an Effective Records Management Program (2 of 2) 6. It reduces its records storage space. 7. It complies with reporting regulations at the federal, state, and local levels. 8. It keeps better track of and control over its records and information. 9. It avoids costly litigation and liability issues.

7 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Image Processing Refers to storing information electronically on a magnetic medium or an optical disk.

8 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Micrographics Refers to the process of making miniature film images of paper documents.

9 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Situations that Contribute to the Vulnerability of an Organization’s Records Situations that Contribute to the Vulnerability of an Organization’s Records 1. Failure to provide data backup. 2. Failure to store backup copies of vital records off site. 3. Failure to maintain information security or system access. 4. Failure to maintain physical security where needed. 5. Failure to provide adequate fire protection and suppression system. 6. Failure to provide adequate managerial control over the program.

10 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Steps in the Life Cycle of a Record Creation Utilization Storage Retrieval Disposition

11 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Creation Is concerned with developing efficient methods of entering data on documents as well as determining the length of time that records should be used before they are destroyed.

12 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Utilization Is concerned with developing efficient procedures for use in retrieving and delivering desired records to their desired location at the desired time.

13 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Storage Is concerned with developing efficient procedures for using filing equipment and the space occupied by the filing equipment as well as protecting records against disaster.

14 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Retrieval Is concerned with locating requested records and making them available to the individual who requested them.

15 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Disposition Involves preserving valuable documents, transferring records to low-cost storage areas, properly destroying records, and microrecording.

16 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Components Involved in Organizing a Records Management Program Components Involved in Organizing a Records Management Program 1. Objectives 2. Policies 3. Organization of the program 4. Filing systems 5. Personnel 6. Records retention 7. Storage and retrieval of records 8. Records retrieval 9. Disposition of records 10. Program evaluation

17 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Objectives of the Program (1 of 2) 1. To provide control over the records cycle; that is the creation, utilization, storage, retrieval, and disposition of records. 2. To develop efficient procedures for each stage of the cycle. 3. To eliminate needless storage of duplicate records. 4. To reduce costs in each stage of the cycle.

18 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Objectives of the Program (2 of 2) 5. To develop realistic standards for employee performance and program evaluation. 6. To develop employee appreciation for the value of a records management program. 7. To standardize procedures and equipment used in the records management program.

19 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Policies of the Records Management Program (1 of 2) Policies are designed to guide decision making about various program aspects. Kinds of policies typically include: 1. The records management program, which has management’s support, is considered to be an integral organizational function. 2. Each record created in the organization comes under the jurisdiction of the records management program and is subject to centralized control.

20 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Policies of the Records Management Program (2 of 2) 3. The records management program shall operate under the procedures outlined in the records manage- ment manual. 4. Records must receive adequate protection at all times. 5. The administrative office manager has primary responsibility for the records management program. 6. Efficiency will have precedence over cost when making decisions about workflow.

21 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Organization of the Program 1. Centralized control 2. Decentralized control

22 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Centralized Control Overall authority and responsibility for the program are vested in one person. Records can be stored centrally or decentrally.

23 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Advantages of Centralized Control (1 of 2) 1. The number of duplicate records that are stored is reduced considerably. 2. The equipment is used more efficiently, resulting in the need for fewer file storage units. 3. The organization can take advantage of the cost savings that accrue from the use of standardized equipment and procedures. 4. The program uses trained employees who file documents accurately.

24 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Advantages of Centralized Control (2 of 2) 5. The retrieval, retention, and transfer of records are better controlled. 6. The records pertaining to a particular subject are stored in one place. 7. The program operates continuously and is not hampered by employee absence. 8. Obscure records are obtained more quickly because their whereabouts are known.

25 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Disadvantages of Centralized Control 1. The records may be more vulnerable because they are stored in one central location. 2. The time spent transporting frequently used records to and from the central storage area may delay their immediate use. 3. If records cannot be immediately obtained, those who need them may be inconvenienced. 4. The confidentiality of records may be more difficult to maintain.

26 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Decentralized Storage Involves storing records within the various work units until the time has arrived to transfer or destroy them.

27 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Advantages of Decentralized Storage 1. Confidential records are stored in work units throughout the organization and, therefore, are less vulnerable. 2. Because the records are stored on site, valuable time is not consumed in transporting records. 3. Because each work unit is primarily responsible for the storage of its own records, flexible procedures should be developed.

28 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Disadvantages of Decentralized Storage 1. Some work units are likely to develop their own procedures rather than using those of the system. 2. Duplicate filing equipment may be required. 3. Filing equipment may not be efficiently used.

29 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Factors to Consider in Deciding Whether to Store Records Centrally or Decentrally Factors to Consider in Deciding Whether to Store Records Centrally or Decentrally 1. Attitude of top management regarding records storage. 2. Competence of personnel. 3. Size and type of organization. 4. Philosophy of organization with regard to centralization and decentralization. 5. Number of different kinds of records stored.

30 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Decentralized Control Gives each work unit responsibility for the management of its own records. Generally results in duplication of equipment, records, and personnel effort. Also results in lack of consistency of procedures used in maintaining records.

31 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Filing System Involves classifying, coding, arranging, and placing records in storage, and facilitating their quick and easy retrieval. Two types of systems: 1. Alphabetic 2. Nonalphabetic

32 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Alphabetic Filing Systems Name Subject Geographical area

33 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Nonalphabetic Filing Systems Numerical Chronological

34 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Personnel Personnel needs are determined by the type of program structure used and the size of the organization. Centralized storage-uses employees who work full time with records management. Decentralized storage-likely uses employees who work part-time with records management.

35 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Job Titles of Employees Who Work in Records Management Job Titles of Employees Who Work in Records Management File Clerk Requisitions Clerk MessengerFile Supervisor Records Manager

36 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Certified Records Manager Is a certification program. Program involves: Passage of a 5-part test. 3 years’ experience. Bachelor’s degree. Recommendation from a CRM.

37 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Records Retention Refers to the length of time records must be kept by the organization. Records retention schedule specifies the length of time specific records are to be kept.

38 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Benefits of Records Retention 1. Considerable cost and space savings result from transferring inactive records to low-cost storage areas, and from ultimately destroying records no longer useful to the organization. 2. Retrieval of records is simplified because fewer active-status records are stored. 3. Systematic destruction of records prevents their being destroyed prematurely. 4. Equipment for storing records-both active status and inactive status-is more efficiently used.

39 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Records Inventory Determines the nature and volume of all records created. Is done prior to developing a records retention schedule. Involves classifying records.

40 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Records Retention Schedule Steps involved in designing an effective program: 1. Get authorization to develop the schedule. 2. Conduct an inventory to determine the kinds, volume, and location of records. 3. Develop a classification scheme to determine the value of each kind of record. 4. Develop a tentative retention schedule. 5. Secure top management’s approval of the schedule. 6. Distribute the approved schedules to appropriate individuals.

41 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Records Retention Schedule Is generally developed by a committee. Uses input from The Guide to Records Retention Requirements, which is published annually by the U. S. Government Printing Office. Committee is also responsible for keeping the schedule updated.

42 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Storage and Retrieval of Records Are another determinant of the success of a records management program. Storage equipment is critical to program’s success.

43 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Factors to Consider in Deciding Upon a Particular Kind of Storage Equipment (1 of 2) Factors to Consider in Deciding Upon a Particular Kind of Storage Equipment (1 of 2) 1. Nature of the records being stored, including size, quantity, weight, physical composition, and value. 2. Frequency with which records are retrieved. 3. Length of time that records are stored in both active and inactive status. 4. Location of storage facilities (centralized and decentralized.)

44 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Factors to Consider in Deciding Upon a Particular Kind of Storage Equipment (2 of 2) Factors to Consider in Deciding Upon a Particular Kind of Storage Equipment (2 of 2) 5. Amount of space allocated for storage and the possibilities for expansion. 6. Type and location of storage facilities for inactive records. 7. Layout of the organization. 8. Degree to which stored records must be protected.

45 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Categories of Storage Equipment Vertical Lateral Power

46 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Vertical Equipment Is the most commonly used category of equipment.

47 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Types of Vertical Equipment Four-, five-, and six-drawer cabinets continue to be the most commonly used. Open-self files are another type of widely used equipment. Vertical rotary files facilitate fast and easy retrieval of documents.

48 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Types of Lateral Equipment Drawers in lateral equipment pull out by their side rather than by their end.

49 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Power Files Use power assist in records retrieval. Types of power files: Rotary power files. Structural power files. Mobile files.

50 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Records Retrieval Refers to the activities involved in locating and removing tangible records from the files. Steps: 1. A request slip is completed. 2. Retrieval is approved by the requisition clerk, and the record is retrieved by the file clerk. 3. Record is transmitted to individual who requested it. 4. Record is returned to central storage area when no longer needed.

51 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Retrieval Uses a Charge-Out System An inventory of all checked-out records is maintained on a desktop computer. Inventory identifies: 1. Who checked the record out. 2. Date the record was checked out. 3. Names of individuals waiting to use the record upon its return.

52 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Disposition of Records Refers to the ultimate fate of records. Some records are stored permanently. Others are stored for a certain length of time and then are destroyed. Some are destroyed immediately.

53 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Types of Disposition Protection Transfer Microrecording Destruction Digitizing

54 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Protection Value attached to a record determines what type of protection it receives. Vital records are stored in fire-proof safes or vaults. Off-site storage is also a possibility.

55 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Transfer Involves transferring the status of a record from active to inactive status. Then they are transferred from high- cost to low-cost storage. Frequency of records’ use determines when to transfer records.

56 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Transfer Methods Perpetual-records are transferred continuously. Periodic-records are transferred on an occasional basis.

57 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Microrecording Is a useful disposition technique because: 1. It significantly reduces amount of storage space needed. 2. It allows the preparation of a duplicate set of records.

58 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Digitizing Involves scanning documents and “burning” the output onto a CD-ROM or a DVD.

59 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Destruction When a record has outlived its life, it is ready for destruction. Several destruction methods are used.

60 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Methods Used to Evaluate the Records Management Program Finding ratio Use ratio Performance ratio

61 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Finding Ratio Used to determine how many requested records are actually found. A ratio less than 97 percent can signal a problem. Possible problems: 1. Records are misfiled. 2. Records are not properly indexed or coded. 3. Records are not properly returned for refiling. 4. Whereabouts of records are not known because of improper charge-out procedures.

62 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Use Ratio Used to assess the frequency of record use as well as to determine whether too many unused records are filed. A ratio higher than 20 percent is generally considered satisfactory. Low ratios may signal these concerns: 1. Too many records are maintained in active status when they should be transferred to inactive status. 2. Individuals are using personal copies of duplicate records rather than obtaining records from the central records area.

63 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Performance Standards Used to apply program cost and employee performance against generally accepted standards.

64 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Records Management Manual Is a vital document in the program. Should be updated periodically.

65 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Appropriate Content Sections (1 of 2) 1. Objectives of the program. 2. Statement of policy of the program. 3. Organizational structure of the program. 4. Filing systems used and types of records filed under each system. 5. Personnel structure of the program. 6. Records retention schedule.

66 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Appropriate Content Sections (1 of 2) 7. Procedures for retrieving records and information. 8. Disposition of records, including protection, transfer, microrecording, and destruction. 9. Procedures for evaluating the program. 10. Document management systems (if used.) 11. Image systems (if used.)

67 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Document Management Systems Involves giving records an identification (such as a bar code) that aids in their management. Helps in tracing the movement of records in and out of the depository. An integral part of document management is indexing of documents and/or key words within documents.

68 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Imaging Systems Refers to scanned images, micrographics, and digital images. Before “burning” electronic files onto CD-ROM, a backup copy is often maintained on a RAID (Redundant Array of Independent Disks.) Some organizations are now contracting with a SSP (Storage Service Provider) to facilitate storing and accessing documents using the Web.

69 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Scanned Images Are prepared using optical scanning equipment that scans paper documents. Once scanned, a digital image is available. The digital image can then be stored electronically.

70 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Micrographics Results in significant space savings. Contents of 100 standard file drawers can be reduced to two drawers when stored as microimages.

71 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Factors to Consider in Determining the Feasibility of a Micrographics System Factors to Consider in Determining the Feasibility of a Micrographics System 1. Size of documents. 2. Physical condition of documents. 3. Readability of documents. 4. Financial feasibility of installing a system. 5. Convenience of using a system.

72 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Microimage Formats Roll film Aperture cards Jacketed film Microfiche Film strips

73 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Computer-Assisted Retrieval (CAR) Refers to the retrieval of microimages using computer technology.

74 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Computer Output Microfilm (COM) Generates microfilm rather than paper as the output of computer processing of data.

75 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Computer Output to Laser Disk (C.O.L.D.) Output to laser disks.

76 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Equipment Used in Micrographics 1. Rotary camera 2. Planetary camera 3. Processor camera 4. Record processor 5. Front-projection readers 6. Rear-projection readers

77 Administrative Office Management, 8/e by Zane Quible ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ Factors to Consider in Determining Which Records to Microrecord 1. How long is the record to be kept? 2. Will the physical characteristics of certain records prevent their being microrecorded? 3. Will the microimage be admissible as evidence in legal courts? 4. Does a sufficient volume of certain records exist to warrant their being microrecorded? 5. Considering the frequency of use, would the original record be more convenient to use than a microimage?