Chapter IV

Office Communications & Records Management

WHAT ARE RECORDS?

Records are the memory of any business organization.

A record maybe any material thing which serves to perpetuate or preserve knowledge of acts,
events, facts, or ideas.
Records are any written or graphic material related to the business which reflects the activities of
any office such as material in active use and in storage like reports, legal documents, and other
administrative documents.
Published matter books, magazines, and newspapers are not considered as “records”.

WHAT IS AN IMPORTANT CHARACTERISTIC OF RECORDS?

An important characteristic of “RECORDS" is that 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?

Filing is the process of classifying and arranging „of records in a systematic way so they will not
only be safely stored but also quickly retrieved or located when needed.
Another definition of filing is the placing of papers in acceptable containers according to some
pre-determined arrangement that any paper, when required, can be located speedily and
conveniently.
A simple definition of filing is the system of 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 the “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 paperwork 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 .1 3 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
1. Efficiency
2. Economy
3. Simplicity

PURPOSES 0F 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 a permanent and safe place for records of business information and transactions
during the time the records are not in use.

HOW ARE RECORDS BEING FILED?

1. by the name of individual or organization
2. by the subject matter they contain
3. by the location or geographical area a record may cover
4. by the number assigned to a record
4. by the date

WHAT ARE THE DIFFERENT KINDS OF FILING SYSTEM?

1. ALPHABETIC NAME FILE (by name of individual or organization)
Records that are referred to by name of an individual‟s 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. ALPHABETIC SUBJECT TITLE (by subject)
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. ALPHABETIC LOCATION FILE (by geographic location)

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

4. NUMERICAL FILE (by the number assigned to record)

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 (by the date of records)
Records to which primary reference is made by date of the record should be filed
chronologically (in the order of time) by year, month, or day as reference indicates.
The chronological filing system simply arranges material according to its 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.
The advantage of this plan are:
1. It is very simple.
2. Filing is easy
3. It is a 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. PERSONNEL 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 records of supplies, equipment, purchases, contracts, etc.
5. FISCAL FILES materials on budget preparation, submission of allotments, and control of funds.

TOOLS IN FILES OPERATION

1. Folders and fasteners
2. Charge-out cards
3. Requisition slip
4. Tickler: file or follow-up file
5. Sorting table and rocks
6. Stapler
7. Filing cabinets and shelves
8. Tapes 44
SELECTING THE APPROPRIATE FILING SYSTEM
CHARACTERISTICS OF A GOOD FILING SYSTEM
A filing system can only be good on if it is tailor- made fit the condition or situations prevailing in
a particular organization.
Filing system is good if it can meet the three point‟s success formula of efficiency, economy,
and simplicity.
Filing system is good if it can meet the three points
Filing system is good if it fills the needs of the operating personnel and serves them
satisfactorily.

REQUISITIES OF A GOOD FILING SYSTEM ARE:

1. It serves the needs of the office
2. It has the simplest identification of file content:
3. It use 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
A certain amount of creativeness is necessary in adapting a filing system to the situation at hand.
There are many different types of filing procedures, ranging from manual to mechanical to electrical.
The following guidelines are suggested in choosing a 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 once received should be time and 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 word FILE plus the initials of the person
releasing it.

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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:

name of on the letterhead

name addressed
name in the signature
name or subject included in the paper
File or reference number
There are rules for alphabetic indexing that should be followed.
3. CROSS-REFERENCING
Cross-referencing is used when it is difficult to know which of two or more name is important
Cross-referencing 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 or situation name clearly identifies the
organization. For example: University of San Carlos would be filed as written but should be cross-
referenced to San Carlos University.
TRANSFER AND RETENTION METHODS
Transferring files is the process of removing old and inactive items from tiles. However, transferred
materials are not automatically destroyed. You may do the transferring of files during free times
when the boss is away.
TWO GENERAL TRANSFER METHODS
1. PERPETUAL TRANSFER moves records to the inactive area as they become inactive.
2. PERIODIC TRANSFER files are moved at stated intervals, once or twice a year.

REMEMBER: See to it that you get the approval of your boss before you transfer any record. 46
SOME “DO„S AND DON‟TS OF FILING”

1. Do staple papers neatly together in upper left hand corners. If you must fasten you can use a
fastener folder.
2. Do file papers in an orderly fashion in folders.
3. Do use individually tabbed folders with typed labels for ready reference.
4. Do type all labels on folders. They are so easily read.
5. Do lift the folder out to insert papers in proper place. You will be accurate and your file will be
neat. Be a good housekeeper.
6. Do file them in date order, keeping the latest date on top.
7. Do split the papers up according to date, customer, or subject so that no folder contains more
than the capacity it is designed for (generally 1/2” t0 1")
8. Do file material in one folder, placing cross-reference sheet in folder for any other Subject or
customer include in the material. This will save many minutes in locating materials when the boss is
in a hurry.
9. Do keep all files in proper alphabetical sequence.
10. Do file in back of guide. After all “guide” is what the name implies a guide indicating the proper
place to locate a folder.
11. Do pre-arrange or sort your papers in exact order according to your file index. Then start to file.
12. Do keep your filing “rough sorted” from A to Z if you can‟t take care of it immediately. You will be
able to locate papers so must faster.
13. Do charge out papers removed and place the “OUT” card in the file.Think of the arguments this
will save.
14. Do type labels in capital letters so they may be easily read and keep one on every drawer. Even
you might forget which is which if you are busy.
15. Do close each drawer as you finish with it. Open file drawer may cause a serious accident.
DON'T
1. Don‟t use pins, paper clips or rubber bands on file papers.
2. Don‟t file papers loose in a drawer.
3. Don‟t write captions on folders by hand. Perhaps you can read your writing but can there other
person read your handwriting? You can write caption if your hand writing is very readable.
4. Don‟t jam papers down into folders. You can‟t be sure they are in the correct place and anyway,
think how messy they will look.
5. Don‟
allow papers to be all mixed as to dates within a folder.
6. Don‟t allow your folders to become cluttered and overcrowded.

47
7. Don‟t allow your folders to become so full that they budge, or the back sags down out of sight.
8. Don‟t allow your files to become confusing when letters contain two or more subjects or
customers.
9. Don‟t flounder around spending precious moments looking for a folder which had been filed
under another name.
10. Don‟t pull a folder out of place alphabetically just because it may be large.
11. Don‟t file in front of guides.
12. Don‟t start to file with papers in haphazard arrangement.
13. Don‟t let your new filing pile up. Update your files.'
14. Don‟t leave your new filing in a disorganized pile.
15. Don‟t lend papers and then depend upon your memory to tell you who took them. Keep a record
of borrowed file folder.
16. Don‟t allow the labels on your file drawers to be handwritten dirty or torn off.
17. Don‟t pull out more than one file drawer at a time.

B. The communication process

Steps and Components of the Communication Process
The majority of people communicate many times in a given day. This is especially apparent in the
workplace. In order to effectively communicate with others, it's important to understand how the
communication process works.
Related: Communication Skills: Definitions and Examples
What is the communication process?
The communication process refers to a series of actions or steps taken in order to successfully
communicate. It involves several components such as the sender of the communication, the actual
message being sent, the encoding of the message, the receiver and the decoding of the message.
There are also various channels of communication to consider within the communication process.
This refers to the way a message is sent. This can be through various mediums such as voice,
audio, video, writing email, fax or body language. The overall goal of the communication process is
to present an individual or party with information and have them understand it. The sender must
choose the most appropriate medium in order for the communication process to have worked
successfully.

4 Types of Communication (With Examples)

Parts of the communication process
The communication process has several components that enable the transmission of a message.
Here are the various parts:
Sender: This is the person that is delivering a message to a recipient.
Message: This refers to the information that the sender is relaying to the receiver.
Channel of communication: This is the transmission or method of delivering the message.
Decoding: This is the interpretation of the message. Decoding is performed by the receiver.
Receiver: The receiver is the person who is getting or receiving the message.
Feedback: In some instances, the receiver might have feedback or a response for the sender. This
starts an interaction.
The Components of Effective Workplace Communication
How does the communication process work?
In order to successfully communicate, it's important to understand how the process works. Here are
the seven steps in the communication process:
1. The sender develops an idea to be sent
2. The sender encodes the message
3. The sender selects the channel of communication that will be used
4. The message travels over the channel of communication
5. The message is received by the receiver
6. The receiver decodes the message
7. The receiver provides feedback, if applicable

1. The sender develops an idea to be sent

The beginning of the communication process involves the sender creating an idea that they plan to
send to another person or group of people. Essentially, they're planning the overall subject matter or
information they want to transmit.
2. The sender encodes the message
Once the sender develops an idea, they translate it into a form that can be transmitted to someone
else. This means they transform the thoughts of the information they want to send into a certain
format. For example, if you are writing a letter, you'll translate your idea into words. The message
can also be nonverbal, oral or symbolic. 49
3. The sender selects the channel of communication that will be used
Next, the sender decides how the message will be sent. This involves selecting the
most suitable medium for the message they're relaying. Some communication mediums include
speaking, writing, electronic transmission or nonverbal communication. If you're communicating at
work, make sure to select the proper and most professional channel of communication.
4. The message travels over the channel of communication
After the medium is chosen, the message then begins the process of transmission. The exact
process of this will depend on the selected medium. In order for the message to be properly sent,
the sender should have selected the appropriate medium.
5. The message is received by the receiver
Next, the message is received by the recipient. This step in the communication process is done by
hearing the message, seeing it, feeling it or another form of reception.
6. The receiver decodes the message
The receiver then decodes the sender's message. In other words, they interpret it and convert it into
a thought. After they've done this, they analyze the message and attempt to understand it. The
communication process is performed effectively when the sender and receiver have the same
meaning for the transmitted message.
7. The receiver provides feedback, if applicable
Lastly, unless it's a one-way communication, the receiver will provide feedback in the form of a reply
to the original sender of the message. Feedback provides the recipient with the ability to ensure the
sender that their message was properly received and interpreted. Between two people, this is two-
way communication.
Tips for improving the communication process
Here are some tips to consider to improve your communication skills and the communication
process overall:

Simplify your message: In order to ensure your message is properly understood, you should
keep your language simple and to the point.
Know your audience: It's also important to consider the audience that will receive your message
as well as their needs and interests.
Be a good listener: As a communicator, it's important to actively listen to what those around you
are saying. This will ensure that you're sending the right message.

Ask questions: It's also important to ask good questions to keep the communication flowing.
Make sure your questions are insightful and engaging.
Take the time to respond: When communicating, it's important to consider how you might reply
to a person to ensure you know what you want to say.
Consider your body language: If you're communicating through a different medium, it's important
to be mindful of your body language. In addition, be aware of the body language of the person
you're communicating with, as well.
Maintain eye contact: It's also important to make contact with the person or group you're
communicating with. This will show that you're actively listening to who you're communicating with.
Clarify your message if needed: If the recipient of your message is unclear about what you're
trying to say, it's important to clarify your message. This will help them to better understand you.
The process of communication refers to the transmission or passage of information or message
from the sender through a selected channel to the receiver overcoming barriers that affect its pace.
The process of communication is a cyclic one as it begins with the sender and ends with the
sender in the form of feedback. It takes place upward, downward and laterally throughout the
organization.
The process of communication as such must
be a continuous and dynamic interaction, both affecting and being affected by many variables.
Communication process consists of certain steps where each step constitutes the essential of an
effective communication.
The Different Elements in The Process of Communication
We will now learn about the different elements in the process of communication

Sender
The very foundation of communication process is laid by the person who transmits or sends the
message. He is the sender of the message which may be a thought, idea, a picture, symbol, report
or an order and postures and gestures, even a momentary smile. The sender is therefore the
initiator of the message that need to be transmitted. After having generated the idea, information
etc. the sender encodes it in such a manner that can be well-understood by the receiver.
Message
Message is referred to as the information conveyed by words as in speech and write-ups, signs,
pictures or symbols depending upon the situation and the nature and importance of information
desired to be sent. Message is the heart of communication. It is the content the sender wants to
covey to the receiver. It can be verbal both written and spoken; or non-verbal i.e. pictorial or
symbolic, etc.
Encoding
Encoding is putting the targeted message into appropriate medium which may be verbal or non-verbal
depending upon the situation, time, space and nature of the message to be sent. The sender puts the
message into a series of symbols, pictures or words which will be communicated to the intended receiver.
Encoding is an important step in the communication process as wrong and inappropriate encoding may
defeat the true intent of the communication process.

Channel(s) refers to the way or mode the message flows or is transmitted through. The message is
transmitted over a channel that links the sender with the receiver. The message may be oral or
written and it may be transmitted through a memorandum, a computer, telephone, cell phone, apps
or televisions 52
Since each channel has its advantages and disadvantages, the choice of proper selection of the channel is
paramount for effective communication.
Receiver
Receiver is the person or group who the message is meant for. He may be a listener, a reader or a
viewer. Any negligence on the part of the receiver may make the communication ineffective. The
receiver needs to comprehend the message sent in the best possible manner such that the true
intent of the communication is attained. The extent to which the receiver decodes the message
depends on his/her knowledge of the subject matter of the message, experience, trust and
relationship with the sender.
The receiver is as significant a factor in communication process as the sender is. It is the other end
of the process. The receiver should be in fit condition to receive the message, that is, he/she should
have channel of communication active and should not be preoccupied with other thoughts that might
cause him/her to pay insufficient attention to the message.
Decoding
Decoding refers to interpreting or converting the sent message into intelligible language. It simply means
comprehending the message. The receiver after receiving the message interprets it and tries to understand it
in the best possible manner.
Feedback
Feedback is the ultimate aspect of communication process. It refers to the response of the receiver
as to the message sent to him/her by the sender. Feedback is necessary to ensure that the
message has been effectively encoded, sent, decoded and comprehended.
It is the final step of the communication process and establishes that the receiver has received the
message in its letter and spirit. In other words, the receiver has correctly interpreted the message as
it was intended by the sender. It is instrumental to make communication effective and purposeful.
Consider the following points related to the feedback involved in the process of
communication −
It enhances the effectiveness of the communication as it permits the sender to know the efficacy
of his message.
It enables the sender to know if his/her message has been properly comprehended.
The analysis of feedbacks helps improve future messages. Feedback, like the message, can be
verbal or nonverbal and transmitted through carefully chosen channel of communication.
We can represent the above steps in a model as the model of communication process.
Types of Feedback
Kevin Eujeberry, the world famous leadership exponent mentioned the four types of feedback. The
types are as follows −
Negative Feedback or corrective comments about past behavior
Positive Feedback or affirming comments about future behavior
Negative feedforward or corrective comments about future behavior
Positive feedforward or affirming comments about future behavior

The Model of Communication Process

Communication Process
The process of communication, however, is not as smooth or barrier-free as it seems. From its
transmission to receipt, the message may get interfered or disturbed with at any stage by many
factors which are known as barriers to effective communication. One of the factors is poor choice of
communication method. In addition to a poor choice of communication method, other barriers to
effective communication include noise andother physical distractions, language problems, and
failure to recognize nonverbal signals. We will discuss these barriers of communication in a
subsequent chapter.
Summary
The process of communication refers to the transmission or passage of information or message
from the sender through a selected channel to the receiver overcoming barriers that affect its pace.
The different elements in the process of communication −
Sender
Message
Encoding
Channel
Receiver
Decoding
Feedback
Kevin Eujeberry, the world famous leadership exponent mentioned the four types of feedback. The
types are as follows −
Negative Feedback or corrective comments about past behavior
54
Positive Feedback or affirming comments about future behavior
Negative feedforward or corrective comments about future behavior

Positive feedforward or affirming comments about future behavior

C. Communication Flows

Communication within a business can involve different types of employees and different functional
parts of an organization. These patterns of communication are called flows, and they are commonly
classified according to the direction of interaction: downward, upward, horizontal, diagonal, external.
As you learn about each of these, we will discuss how these flows function at Little Joe‟s Auto.
When leaders and managers share information with lower-level employees, it‟s called downward, or top-
down communication. In other words, communication from superiors to subordinates in a chain of
command is a downward communication. This communication flow is used by the managers to transmit
work-related information to the employees at lower levels. Ensuring effective downward communication
isn‟t always easy. Differences in experience, knowledge, levels of authority, and status make it possible that
the sender and recipient do not share the same assumptions or understanding of context, which can result
in messages being misunderstood or misinterpreted. Creating clearly worded, unambiguous communications
and maintaining a respectful tone can facilitate effective downward communication.
Upward communication is the transmission of information from lower levels of an organization to
higher ones; the most common situation is employees communicating with managers. Managers
who encourage upward communication foster cooperation, gain support, and reduce frustration
among their employees. The content of such communication can include requests, estimations,
proposals, complaints, appeals, reports, and any other information directed from subordinates to
superiors. Upward communication is often made in response to downward communication; for
instance, when employees answer a question from their manager. In this respect, upward
communication is a good measure of whether a company‟s downward communication is effective.
The availability of communication channels affects employees‟ overall satisfaction with upward
communication. For example, an open-door policy sends the signal to employees that the manager
welcomes impromptu conversations and other communication. This is likely to make employees feel
satisfied with their level of access to channels of upward communication and less apprehensive about
communicating with their superiors. For management, upward communication is an important source of
information that can inform business decisions. It helps to alert management of new developments, levels of
performance, and other issues that may require their attention.
Horizontal communication, also called lateral communication, involves the flow of messages
between individuals and groups on the same level of an organization, as opposed to up or down.
Sharing information, solving problems, and collaborating horizontally is often more timely, direct,
and efficient than up or down communication, since it occurs directly between people working in the
same environment. Communication within a team is an example of horizontal communication;
members coordinate tasks, work together, and resolve conflicts. Horizontal communication occurs
formally in meetings, presentations, and formal electronic communication, and informally in other,
more casual exchanges within the office.
When there are differences in style, personality, or roles among coworkers, horizontal communication may
not run smoothly. According to Professor Michael Papa, horizontal communication problems can occur
because of territoriality, rivalry, specialization, and simple lack of motivation. Territoriality occurs when
members of an organization regard other people‟s involvement in their area as inappropriate or
unwelcome. Rivalry between individuals or teams can make people reluctant to cooperate and share
information. Specialization is a problem that occurs when there is a lack of uniform knowledge or vocabulary
within or between departments. Finally, horizontal communication often fails simply because organization
members are unwilling to expend the additional effort needed to reach out beyond their immediate team.
Diagonal communication is the sharing of information among different structural levels within a business.
This kind of communication flow is increasingly the norm in organizations (in the same way that cross-
functional teams are becoming more common), since it can maximize the efficiency of information exchange.
The shortest distance between two points is a straight line. Diagonal communication routes are the straight
lines that speed communications directly to their recipients, at the moment communication is necessary.
Communications that zigzag along horizontal and vertical routes, on the other hand, are vulnerable to the
schedules and availability of the individuals who reside at each level.

Another type of communication flow is external, when an organization communicates with people or
organizations outside the business. Recipients of external communication include customers,
lawmakers, suppliers, and other community stakeholders. External communication is often handled
by marketing and sales. Annual reports, press releases, product promotions, financial reports are all
examples of external communication.
Communication Networks
By now you know that business communication can take different forms and flow between different
kinds of senders and receivers. Another way to classify communication is by network.
An organization‟s formal communication network is comprised of all the communication that runs along its
official lines of authority. In other words, the formal network follows reporting relationships. As you might
expect, when a manager sends an email to her sales team describing the new commission structure for the
next set of sales targets, that email (an example of downward communication) is being sent along the
company‟s formal network that connects managers to their subordinates.
An informal communication network, on the other hand, doesn‟t follow authority lines and is
established around the social affiliation of members of an organization. Such networks are also
described as “grapevine communication.” They may come into being through the rumor mill, social
networking, graffiti, spoof newsletters, and spontaneous water-cooler conversations.
Informal vs. Formal Networks
Formal communication follows practices shaped by hierarchy, technology systems, and official
policy.
Formal communication usually involves documentation, while informal communication usually
leaves no recorded trace for others to find or share.
Formal communications in traditional organizations are frequently “one-way”: They are initiated
by management and received by employees.
Formal Communication content is perceived as authoritative because it originates from the
highest levels of the company.
Informal communication occurs in any direction and takes place between individuals of different
status and roles.
Informal communication frequently crosses boundaries within an organization

and is commonly separate from work flows. That is, it often occurs between people who do not work
together directly but share an affiliation or a common interest in the organization‟s activities and/or a
motivation to perform their jobs well.
Informal communication occurs outside an organization‟s established channels for conveying
messages and transmitting information.
In the past, many organizations considered informal communication (generally associated with
interpersonal, horizontal communication) a hindrance to effective organizational performance and
tried to stamp it out. This is no longer the case. The maintenance of personal networks and social
relationships through information communication is understood to be a key factor in how people get
work done. It might surprise you to know that 75 percent of all organizations‟ practices, policies, and
procedures are shared through grapevine communication.
While informal communication is important to an organization, it also may have disadvantages.
When it takes the form of a “rumor mill” spreading misinformation, informal communication is
harmful and difficult to shut down because its sources cannot be identified by management. Casual
conversations are often spontaneous, and participants may make incorrect statements or
promulgate inaccurate information. Less accountability is expected from informal communications,
which can cause people to be indiscreet, careless in their choice of words, or disclose sensitive
information.