REPORTERS:

ROZZ MAY CORTEZ

ANGELICA PAYTE
RECORDS MANAGEMENT
The term records management refers to the
administrative function in any organization
concerned with the creation, organization,
maintenance, use , retrieval, and disposition of
records
By assuring that valuable records are preserved
and made available
Promotes economy and efficiency within an
organisation
Records are basically recorded information.
Records management involves determining what
records an organization has to retain in order to
function
 How long those records have to be retained
 Who in the organization is responsible for which records
 Final disposition of those records
Several Levels of Consultation by Records Analyst:
 Extensive consultation with office staff, in order to
determine their own administrative requirements
 The analyst will refer to existing organizational policies and
regulations, as well as government statutes and regulations
 Existing records management systems at other
organizations should be consulted
RECORDS INCLUDE
1. Traditional documentation.
2. Minutes.
3. Directives.
4. Forms.
5. Correspondence.
6. Organized into case and subject files.
7. Audiovisual records, including posters, dealing with office functions and activities.
8. Cartographic, architectural, and engineering records produced by an organisation and
all related indexes.
9. Individual personal folders.
10. Working papers/files that contain unique information.
11. Accounts paid/received.
12. Research and Development.
13. Databases that contain information on socioeconomic topics.
14. Computer Output Microfilm (COM) documenting transactions, such as trade,
education, health, and behavior.
15. E-mail and attachments transmitted in conducting business.
NON-RECORDS INCLUDE
1. Extra copies of documentary materials maintained solely for
convenience or reference
2. Library or museum materials preserved solely for reference or
exhibition purposes
3. Stocks of publications and blank forms, but excluding the record set
of publications
4. Drafts and worksheets
5. Routing slips, transmittal sheets, and envelopes
6. Duplicate copies of documents maintained in the official files
7. Catalogs, trade journals, publications, and other reference materials
OBJECTIVES OF RECORDS MANAGEMENT
1. To ensure that information is available when needed, where needed,
in usable format.
2. To prepare the historical memory of the organization through the
archival records.
3. To control the creation and growth of records.
4. To improve productivity.
5. To assimilate new records management technologies.
6. To ensure regulatory compliance.
7. To minimize litigation risks.
8. To safeguard vital information.
9. To foster professionalism in operating the business, agency
organization.
10. To furnish accurate, timely and complete information for efficient
decision-making in the management and operation of the
organization.
11. To provide information and records at the lowest possible cost.
12. To render maximum service to the user of the records.
13. To dispose of records no longer needed.
FEATURES OF RECORDS MANAGEMENT
1. Creation and maintenance of records it is a concerned with creation
of records, distribution of records, maintenance, retention, preservation,
retrieval, and disposal of records.
2. Information should be treated as a source records serves as an
evidence, they are maintained properly and they are retained carefully
3. Records are the memory of an organisation written records are
memory of the business which can be used in the future for taking decisions
4. Manage records through their lifecycle refers to the stages through
which is passes including creation, utilisation, storage, retrieval, and
disposition
5. Control function facilitates the evolution of techniques for the
elimination of waste and errors
6. The program should be continuous men may come and go but
records are created and maintained forever
ORGANISATIONAL RESPONSIBILITIES
1. Assign responsibility to one or more offices
2. Integrate programs for record keeping requirements with other information
resource management
3. Issue directive establishing program objectives, responsibilities, and
authorities
4. Involve Records Managers in running and modifying the program
5. Train organisational personnel
6. Write retention schedules to cover all records regardless of media
7. Comply with all regulations issued by federal, state, and local government,
the courts and other regulatory entities
8. Periodically review record keeping requirements to make sure they are still
necessary and being implemented
9. Annually remind employees of their responsibilities , especially the penalties
and consequences of unlawfully destroying or stealing records
EMPLOYEES RESPONSIBILITIES
1. Consider filing as important as any of your duties
2. Break the habit of taking extra copy, as it involves additional cost to
make and keep
3. File records according to an established filing plan so that all
employees can use them efficiently and separate personal materials
from office records
4. Turn over all records when quitting, transferring out, or otherwise
leaving the organisation. Records belong to the organisation and are
not personal property
PRINCIPLES OF RECORD
MANAGEMENT

JUSTIFICATION VERIFICATION

AVAILABILITY OF
CLASSIFICATION
INFORMATION
1. Justification the purpose for which records are kept
should be justifiable
2. Verification a record should be capable of
verification in case of need. If verification is not
possible, it has no value as evidence court
3. Classification records should be properly classified
for use and is a form of analysis of the record facts
4. Availability of Information the information
desired should be available when needed
ESSENTIALS OF RECORD
MANAGEMENT SYSTEM

SIMPLICITY ACCURACY ECONOMY USEFULNESS

1. Simplicity fitting the requirements and not
exceeding them in such manner as to facilitate
comprehension
2. Accuracy preventing and avoiding errors and
enabling proof of work by simple processes like
addition and subtraction
3. Economy using as little time, energy, and material
as possible to achieve the desired results
4. Usefulness securing the facts needed for effective
management in time to be of use to the
management, and avoiding the collection of details
not needed or used.
BENEFITS OF RECORDS MANAGEMENT
 ECONOMY
 EFFICIENCY
 LEGAL PROTECTION
 STATUTORY REQUIREMENTS
Records Appraisal and Permanent Records
 Careful analysis of records to determine if they merit continued maintenance
 Permanent records are those having sufficient historical and other values to
warrant continued preservation beyond the time they are needed
 Only 5% of all records are considered to be permanent
Examples:
 Computerized data
 Aerial and other photographs
 Policy, directives, organization, and functions
 Technical and research data
 FILING one of the main functions, the systematic
arrangement of keeping business correspondence and
records which enable quick reference whenever needed in
the future.
Objectives of Filing
1. It keeps the records, protects letters and documents
2. It makes fast records easily accessible
3. It provides suitable storage function
4. Proper filing leads to economy and space
5. It enhances the image of the office considerably
6. It is less expensive and consumers less time to take out the
records
PRINCIPLES OF FILING
1. Simplicity
2. Suitability
3. Adaptability
4. Economy
5. Protection
6. Less space
7. Accessibility
8. Cross reference
9. Coordination and control
10. Flexibility
PLANNING OF FILING SYSTEM
1. Plan the protection or safety of the files
2. The room where the files are to be kept, must be at the
central place, so that documents are easily accessible
3. The purpose for which a file is to be maintained must be
reasonable
4. Prepare a list of files to be maintained
5. Decide the storage period of each file or document
6. Decide on the system of classification of files and their
arrangement
7. Finalise whether the system should be centralised or
decentralised
CENTRALISED AND DECENTRALISED FILING SYSTEM

 Filing system may be organised centrally or

departmentally it is the management that decides whether
the system must be centralised or decentralised
 Departmental filing system the departmental files are
kept in the department itself
 Centralised filing system the files of the whole concern
(all departments) are stored at the central place
MERITS OF CENTRALISED FILING
SYSTEM
1. It is put under the control of specialists and this facilitates more
efficiency
2. Space available is used economically
3. There will be an effective control over them
4. There will be no duplication of filing equipment and work
5. There is no uniform standard to file the papers to take them out. This
enables speedy location of documents
6. People, who do the same work again and again become specialist in
their work. This adds to greater efficiency.
7. Papers will be filed on the same day
8. The location of missing files or papers is easily known by the proper
use of indicator
DEMERITS OF CENTRALISED FILING SYSTEM
1. When a departmental head is in urgent need of any letter, it will not reach him
in time because of the long procedure
2. Much time is consumed if the filing department is located in distant rooms
3. Rigid rules are there in giving and returning files. The rules become more
important than the dealings
4. Secrecy cannot be maintained

MERITS OF DECENTRALISED FILING SYSTEM

1. Suitable, simple and easy methods can be adopted according to the convenience
of the department
2. The files are easily and quickly available
3. Quick availability of file facilitates more efficiency
4. Secrecy can be maintained
5. Receiving clerk will file the letters without mistakes , because he has to deal
with a few letters only
DEMERITS OF DECENTRALISED FILING SYSTEM
1. In one organisation, in different departments, different methods of
filing will be followed. As such no standard system will prevail
2. The filing assistant has many activities; he cannot become a
specialist in filing system
3. Interdepartment transfer of assistants will fail to understand the
filing system of other departments
4. If one document relates two or more departmenst, there will be more
difficulty in filing the document
5. Filing will be done at the convenience of assistants who have many
other jobs to do along with the filing. As such they may misplace the
letter or keep them in other registers or leave them unnoticed
METHODS OF FILING
 TRADITIONAL METHODS
1. Pigeon-hole method a cupboard is divided into a number of tiny
compartments is allotted to letter alphabetically.
2. Box file generally cardboard boxes are used for filing papers
3. Press copybook all outgoing letters are copied out in a book, either
geographical or alphabetical order
4. Metal holders the correspondence papers are filed together by metal
holders or pasted in bound boxes in order
5. Lever arch file Consists of stout arch shaped wire loops, which pass
through the holes punched in the margin of letters
TRADITIONAL METHODS OF FILING
PIGEON HOLE METHOD BOX FILE

PRESS COPY BOOK LEVEL ARCH FILE METAL HOLDERS

MODERN METHODS OF FILING

VERTICAL FILING
HORIZONTAL FILING
FOLDERS

CABINETS
FLAT FILES

SUSPENSION FILING

ARCH LEVEL FILES

LATERAL FILING

CARD FILING
HORIZONTAL FILING VERTICAL FILING SUSPENSION FILING

FLAT FILES FOLDERS LATERAL FILING

ARCH LEVEL FILES CABINETS CARD FILING

1. Horizontal filing this system is used where the documents to be filed are
larger in size, papers lie in a horizontal position, and one on the top of the
other
MERITS
1. The required file can be traced easily without disturbing other files. Therefore, there is
no risk of papers being misplaced or lost.
2. Letters are fixed in the files. Letters will not be lost or get mixed up with others even if
the files fall down.
3. Chronological order of arrangement in the file facilities to locate the rquired paper
easily
DEMERITS
1. Since the letters are placed one over the other, it is not easy to take out a particular
letter.
2. The system is inelastic
3. The particulars relating to date must be known to trace a letter
4. To take out particular letter, all the top papers have to be removed
5. Generally, file must be carried to refer a single letter and this is convenient
 Vertical or upright filing letters under this system are placed vertically or
in an upright position, generally followed by almost in al the concerns. This
system requires a cabinet with deep drawers , folders etc.
MERITS
1. Under the system, letters are placed in files, files are housed in drawers, and drawers are
pulled into the cabinets
2. Location of papers are easily made out
3. There is economy in respect of spaced used
4. Letters are removed and inserted very easily
5. This system of filing is elastic; folders can be increased or decreased
6. There is economy in respect of expenses as folders are cheap
7. This method can be adopted irrespective of the system of filing
8. Files are easily accessible and can be referred to, and the papers can be removed on
inserted without wastage of time
DEMERITS
1. There is a possibility of folders slipping down the drawers
2. Comparing to visible card filing and rotary card filing, vertical filing is not fast. Hence
delay is indispensible.
COMPARISON BETWEEN VERTICAL AND
HORIZONTAL FILING
VERTICAL FILING HORIZONTAL
FILING
Large documents cannot be filed. It is suitable for any type of
documents.

Letter is kept in a vertical position. Letter is kept in horizontal position.

The system accommodates greater Comparatively, under this system

flexibility and adaptability. there little flexibility or adaptability.

In this system the upper edges of Letter have to be shuffled.

files can easily be seen without
shuffling.
CLASSIFICATION OF FILES
Alphabetical classification letters are filed in the alphabetical order of the names of
parties most commonly followed of all. The first set of files may contain the papers of
customers whose names begin with A in another file and so on.
Advantages
1. Training is not needed for the clerks to perform the filing
2. It is easy and convenient to group papers by names of persons, firms, products, etc
3. Direct filing is possible without the help of an index, if it is self-index
4. Files can be located immediately
5. Number of files can be reduced or introduced without disturbing the classification
Disadvantages
1. Mistakes creep under common names, i.e., when there are several persons having the
same name
2. Number of files can be reduced or introduced without disturbing the classification
 Numerical classification a number is allotted to each customer and the same
number is put on all the papers or documents relating to transactions with him. The
filed is also numbered and the papers are filed on the basis of numbers. Decimal system
may be used e.g., 21.1 denotes one person; 21.2 denotes another and so on.
Advantages
1. Accuracy in filing system is greater
2. Reference is made by numbers
3. Expansion facilities are there
4. It is simple to understand
5. It files are misplaced, it can be noticed promptly
6. It is easy to operate; numbered files cam easily be located and arranged serially
in comparison to alphabetical index
Disadvantages
1. More time is required to locate file. One has to refer index and then search for
the files
2. Transposition of figures causes misfiling
The Alphabetical-Numerical or Alpha-Numerical classification
This system is very popular. It has the advantages of both the systems. It has the
combination of the alphabetical system and numerical system each letter or sub-letter is
given its own number and an index card is placed behind the guide card for each
alphabetical section. The first folder will bear the number A\1 and the second folder will
bear A\2 and so on.
Advantages
1. This classification facilitates a quick reference
2. This system is commonly used in banks, libraries, and Road Transport Offices (RTO’s)
3. This classification can very well be expanded
4. It is simple to understand
Disadvantages
1. The speed of the operation may get reduced in large organisation
2. The system may become extra complicated in large organisations
Geographical classification arrangement of countries, towns, other areas in an
alphabetical order. It is convenient to use the geographical system for major groupings
and then introduction of alphabetical order. The area which the activities of a firm are
spread may be divided in to a number of regions and the papers are filed on the basis of
locality.
Advantages
1. Statistical data can be collected easily
2. It is simple to operate
Disadvantages
1. Geographical location must be known
2. Address of the persons must be known
3. Clerks must be trained
4. Index is required
Subject-wise classification records are filed according to the nature of their subjects or
contents. This system can be profitably by a concern which may classify correspondence
into well-defined groups. There may be order file, invoice file, complaint file etc
Advantages
1. This system is adopted by professional firms like engineers, architects, and purchasing
officers as it is most convenient to file correspondence under contract
2. There is convenience of reference as subjects can be sub-divided into different groups
Disadvantages
1. Wherever cross references are required frequently this method may consume valuable
time
2. The system will become expensive wherever index is required
FILING CABINETS
 Vertical cabinets cabinets are fitted with drawers, which can be obtained to
accommodate fullscap, A4 or A5 size documents
 Lateral cabinets cabinet requires a floor area of approximately a square meter
including space to open drawers and for the operator to stand
 Multipurpose cabinets can be obtained to provide various kinds of file
storage in one cabinet like card trays, suspension trails etc
 Roundabout shelves a great saving of space is achieved by storing lever arch
files on circular revolving shelves which can take up to 100 files in five tiers
 Plan cabinets maps, plans, and drawings may be filed flat in cabinets
containing shallow drawers.
 Rotary cabinets electrically operated rotary filing cabinets consist of trays
containing cards or brackets holding files suspended round a drum
 Mobile cabinets innovation giving maximum utilisation of space a series of
lateral filing cabinets set on wheels stand on metal tracks
FILING CABINETS
VERTICAL LATERAL MULTIPURPOSE

ROUNDABOUT SHELVES PLAN CABINETS ROTARY MOBILE

TYPES OF FILES FOLDERS

MANILA FOLDERS WALLET FOLDERS

RING BINDERS LEVER ARCH FILES

BOX FILES CONCERTINA FILES

SUSPENSION FILING RANDOM ACCESS FILES

 Manila folders – various types of folders are available including squarecut
(both sides are equal), edge cut (the front side slightly narrower that the back
leaving an edge on which to insert the identification) and tabbed (with
protruding tabs stepped across a series of five folders).
 Wallet folders –when documents are too bulky for a folder they may be placed
in an envelope or a wallet folder made of card. The sides and bottom of the
folder extend to approximately 25 mm but there is no means of securing the
documents.
 Ring binders – are available in many different sizes. They normally have hard
covers and two or more rings (attached to the inside of the spine) which open
to allow the insertion and extraction of document.
 Level arch files- are hard covers which contain metal arches opened and
closed by operating the lever. As each file can accommodate a large number of
documents (up to 500 or so depending on the thickness of the paper), it is
suitable for documents as delivery notes, invoices and goods received notes.
 Box files- have a lid, sometimes with a strap fastening, and many have sprint
clip inside to hold the documents firmly in place. Box files are ideal for bilky
documents such as catalogues, insurance policies or manuals.
TYPES OF FILE FOLDERS
MANILA FOLDERS WALLET FOLDERS RING BINDERS

LEVEL ARCH FILES BOX FILES CONCERTINA FILES

• Concertina files- these files are made of card and contain a number of separate
pockets, being flexible in capacity by reason of the concertina-like gussets at each
side of the file.
• Suspension filling- for ease of storage and retrieval, suspension filing is ideal. Kraft
file “pockets” with metal bars fitted across the top and protruding at the ends rest on
a rectangular metal frame fitted into a standard filing cabinet drawer or in a lateral
filing cupboard.
Suspension filing equipment is also available for plans drawings and computer
printout. The documents are clipped into “hangers” which are easy to insert on and
remove from specially designed rails.
 Random access file- electronics have now been applied in filing, in the form of
random access card-opaque, aperture, microfilm jackets or transparent envelopes
containing ,microfiche are edge punched to indicate a letter code. Random access
filing has many applications including hospital records, insurance records,
intelligence, documentation, inventory control and personnel records.
SUSPENSION FILING RANDOM ACCESS FILES
FILLING EQUIPMENT
-Filling equipment have an effect on efficiency of a filing system, but a
bad filing system will be just as bad whether it is housed in an expensive
steel cabinet, or in a cardboard box.

CHOICE OF EQUIPMENT
1. The number and size of the records involved.
2. The frequency of reference (this will be related to speed of
reference).
3. The speed with which documents have to be retrieved.
4. The degree of protection required from dust, fire and water
(this will depend on the importance of the records).
5. Prevention of theft or fraud.
6. Whether signals will need to be used with the system.
7. Appearance of the equipment as a piece of furniture.
8. Quality of workmanship, which will ensure the long life and
trouble free use of the equipment.
 ANCILLARY EQUIPMENT
Special devices available in wood, metal, plastic that are used to facilitate filing
sections are known as ancillary equipment's.

1. TRAYS- it is an essential that documents awaiting filing should be temporarily

stored in trays, which are available in wood, metal, plastic, or wire mesh.
2. SORTERS- to facilitate preliminary sorting prior to filing, there are special
devices available. A rack of pigeon-holes marked with letters, numbers or
dates is a cheap.
3. TRANSFER FILES- There comes a time with every filing system when the
equipment will not accommodate any more folders, however tightly packed ,
and/or there is a vast amount of dead material which needs to be cleared out.
4. FILLING SHELF AND STOOL- where a great volume of filing is involved it
can be a laborious job, especially when it comes to filing in the lower drawers
of cabinets. There are two simple but useful adjuncts which hooks on to the
handle of a drawer, and speeds up filing by bringing material to be filed within
easy reach.
 ELECTRONIC RECORDS
70,000 mainframes, 135 million PC’s worldwide can be in text, data or imaging
stored on magnetic tapes or optical disk. It is vital that organization properly
manage electronic media since the creation and accumulation of these records
continues to grow at a rapid rate.
ELECTRONIC RECORDS INCLUDE STORAGE MEDIA
 Hard disk
 Diskettes
 Magnetic tapes
 Optical disks
IMAGING OPTIONS
 Micrographics (microfilm or microfiche)
 Digital scanning for magnetic storage.
 Optical media, usually optical disk.
ADVANTAGES OF ELECTRONIC IMAGING SYSTEMS
1. Potential to provide better and faster service.
2. Potential to achieve increase in staff productivity.
3. Capability of near instant access to documents from
multiple locations.
4. Potential for high volumes of information online in
high density storage (2 gigabyte disk can hold
400,000 pages of documents).
5. Potential of saving a lot of money and improve
operations or create an expensive disaster.
DISADVANTAGES OF ELECTRONIC IMAGING SYSTEMS
1. Lack of standardization within the industry
2. Retrieval time is slower compared to magnetic media,which is 5-10
times faster.
3. There is no clear track record on legal admissibility of documents
stored on optical disk, but microfilmed images are accepted virtually
in all judicial matters.
4. We cannot be sure of the disks integrity over time, when microfilm
will last up to 500 years.
ADVANTAGES OF CONVERTING PAPER RECORDS TO MICROFILM
1. Reduced retrieval time: faster and more convenient than paper
files.
2. Reduced space: may reduce space 90-98% when compared to paper.
3. File continuity: records are locked in place, guarding against
misfiling, alteration, or loss.
4. File integrity: retrieval and reproduction of a document can be done
without the chance of its being lost or misfiled.
5. Security: an original is stored off-site with a duplicate copy at the
agency.
6. Reduced is labor costs: reduce sorting, filing and refiling paper
records.
7. Legal recognition: federal legislation has provided for the
admissibility of microfilm records as primary evidence in courts.

ISSUES IN ELECTRONIC RECORDS MANAGEMENT

1. education/orientation.
2. Top management support.
3. Cost-benefit analysis.
4. Technology compatibility for today and in the future
5. Standards.
6. Data life.
7. Costs (initial vs. true long-term costs)
8. Legality outputs acceptable in the courts.
MANAGEMENT OF ELECTRONIC RECORDS
1. Inventory electronic records systems.
2. Preparation and implementation of retention
schedule.
3. Identification and protection of vital records.
4. Selection of appropriate media for proper storage,
cars and handling procedures.
ELECTRONIC MAIL
Regulations of governing E-mail
Public record laws apply to records created or received
on e-mail systems, just as it applies to records created on
other formats.
INDEXING
-An index is anything that indicates or points out, and
modern indexes serve many other purposes. Their prime
function is to act as a guide to a body of data or
collection of records.
-Indexing is the process of determining the name,
subject, or other caption under which the documents are
to be filed.
TYPES OF
INDEX

LOOSE OR
PAGE VISIBLE CARD ROTARY
VERTICAL STRIP INDEX
INDEX INDEX INDEX
CARD INDEX
1. PAGE INDEX
 A page index consist of a page or pages for each letter of the alphabet,
fitted with a tab showing the letter.
 On each page are written the names beginning with letter and quoting
the relevant reference, usually a number.
 This is the type of index commonly used for things as minutes and is
comparable to the index at the back of this book.
THE DISADVANTAGE OF A PAGE INDEX MAYBE
THAT:
 The names are entered on each page in the order in which they occur
 Names need to be deleted as they cease to be interest
 There may not be sufficient space to add all new names, which may
mean the constant rewriting of the index.
VOWEL INDEX
 This is modified form of the book index. This facilities quick reference , as
the book is modified by vowel classification.
 In Vowel Index System , the sections of the index book reserved for each
letter of alphabet are divided into six sub-sections which are reserved for
the vowels.
2. LOOSE OR VERTICAL CARD INDEX
 The loose or vertical card index overcomes the disadvantages of the page
index.
 Small cards containing the relevant data, usually with identification
reference data along the top, are filed vertically .
3. Visible Card index
 The principle of all kinds of visible card index is that the cards overlap, so
that one line of entry on each card projects and is visible , thus forming a
one- line index.
 This principle has been applied to card indexes and loose – leaf ledgers.

4. Strips index
 In every type of office , whatever the organization, list names or numbers
are needed .
 For the provision of simple online data such as telephone numbers,
account numbers and addresses.
5. Rotary index
 The rotary or wheel index is a fairly recent development aimed primarily at
saving space. This wheel may be vertical or horizontal.
 The rotary index may also be in a form of drum. Cards are placed in slots
which lie in vertical rows all around the drums.

SIGNALLING
 A great advantages of visible indexes is that various control features can be
introduced by the use of signals on the exposed edges of the records.
 The usual object of signals is to draw attention to certain facts recorded on
the cards.
THANK YOU 