Chapt 21

Chapter 21
Records Management
Administrative Office Management, 8/e 2005 Pearson Education, Inc.

by Zane Quible Pearson Prentice Hall
1 Upper Saddle River, NJ 07458
Records
Refer to informational documents in both paper

and electronic formats that are used to carry out
various functions.
Includes forms, letters, e-mail messages,
memoranda, reports, and manuals.

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.

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.

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.
Advantages of an Effective
(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.

Image Processing
Refers to storing information electronically on a

magnetic medium or an optical disk.

Micrographics
Refers to the process of making miniature film

images of paper documents.

Situations that Contribute to the
Vulnerability of an Organizations 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.
Steps in the Life Cycle of a Record
Creation
Utilization
Storage
Retrieval
Disposition

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.

Utilization
Is concerned with developing efficient procedures

for use in retrieving and delivering desired records
to their desired location at the desired time.

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.

Retrieval
Is concerned with locating requested records and

making them available to the individual who
requested them.

Disposition
Involves preserving valuable documents,

transferring records to low-cost storage areas,
properly destroying records, and microrecording.

Components Involved in Organizing a
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
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.
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.

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
managements 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.
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.
Organization of the Program
1. Centralized control
2. Decentralized control

Centralized Control
Overall authority and responsibility for the program are

vested in one person.
Records can be stored centrally or decentrally.

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.
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.
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.
Decentralized Storage
Involves storing records within the various work units

until the time has arrived to transfer or destroy them.

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.

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.

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.

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.

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

Alphabetic Filing Systems
Name
Subject
Geographical area

Nonalphabetic Filing Systems
Numerical
Chronological

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.
Job Titles of Employees Who
Work in Records Management
File Clerk
Records Requisitions
Manager Clerk
File Supervisor Messenger

Certified Records Manager
Is a certification program.
Program involves:
Passage of a 5-part test.
3 years experience.
Bachelors degree.
Recommendation from a CRM.

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.

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.
Records Inventory
Determines the nature and volume of all records

created.
Is done prior to developing a records retention
schedule.
Involves classifying records.

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 managements approval of the schedule.
6. Distribute the approved schedules to appropriate
individuals.
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.
Storage and Retrieval of Records
Are another determinant of the success of a

records management program.
Storage equipment is critical to programs
success.

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.)
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.

Categories of Storage Equipment
Vertical
Lateral
Power

Vertical Equipment
Is the most commonly used category of equipment.

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.

Types of Lateral Equipment
Drawers in lateral equipment pull out by their side

rather than by their end.

Power Files
Use power assist in records retrieval.

Types of power files:
Rotary power files.
Structural power files.
Mobile files.

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.
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.

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.

Types of Disposition
Protection
Transfer
Microrecording
Digitizing
Destruction

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.

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.

Transfer Methods
Perpetual-records are transferred

continuously.
Periodic-records are transferred on an
occasional basis.

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.

Digitizing
Involves scanning documents and burning

the output onto a CD-ROM or a DVD.

Destruction
When a record has outlived its life, it is

ready for destruction.
Several destruction methods are used.

Methods Used to Evaluate the
Finding ratio
Use ratio
Performance ratio

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.
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.
Performance Standards
Used to apply program cost and employee

performance against generally accepted
standards.

Records Management Manual
Is a vital document in the program.

Should be updated periodically.

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.

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.)

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.

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.
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.

Micrographics
Results in significant space savings.

Contents of 100 standard file drawers can
be reduced to two drawers when stored as
microimages.

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.

Microimage Formats
Roll film
Aperture cards
Jacketed film
Microfiche
Film strips

Computer-Assisted Retrieval (CAR)
Refers to the retrieval of microimages using

computer technology.

Computer Output Microfilm (COM)
Generates microfilm rather than paper as the

output of computer processing of data.

Computer Output to Laser Disk (C.O.L.D.)
Output to laser disks.

Equipment Used in Micrographics
1. Rotary camera
2. Planetary camera
3. Processor camera
4. Record processor
5. Front-projection readers
6. Rear-projection readers

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?

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Chapter 21

Administrative Office Management, 8/e 2005 Pearson Education, Inc.

Refer to informational documents in both paper

Administrative Office Management, 8/e 2005 Pearson Education, Inc.

Refers to the activities involved in controlling the

Administrative Office Management, 8/e 2005 Pearson Education, Inc.

Refers to the activities involved in rough sorting

Administrative Office Management, 8/e 2005 Pearson Education, Inc.

1. It better serves its clients or customers.

6. It reduces its records storage space.

Administrative Office Management, 8/e 2005 Pearson Education, Inc.

Refers to storing information electronically on a

Administrative Office Management, 8/e 2005 Pearson Education, Inc.

Refers to the process of making miniature film

Administrative Office Management, 8/e 2005 Pearson Education, Inc.

1. Failure to provide data backup.

Administrative Office Management, 8/e 2005 Pearson Education, Inc.

Is concerned with developing efficient methods of

Administrative Office Management, 8/e 2005 Pearson Education, Inc.

Is concerned with developing efficient procedures

Administrative Office Management, 8/e 2005 Pearson Education, Inc.

Is concerned with developing efficient procedures

Administrative Office Management, 8/e 2005 Pearson Education, Inc.

Is concerned with locating requested records and

Administrative Office Management, 8/e 2005 Pearson Education, Inc.

Involves preserving valuable documents,

Administrative Office Management, 8/e 2005 Pearson Education, Inc.

1. To provide control over the records cycle; that

5. To develop realistic standards for employee

Administrative Office Management, 8/e 2005 Pearson Education, Inc.

Policies are designed to guide decision making

3. The records management program shall operate

Administrative Office Management, 8/e 2005 Pearson Education, Inc.

Overall authority and responsibility for the program are

Administrative Office Management, 8/e 2005 Pearson Education, Inc.

1. The number of duplicate records that are stored

5. The retrieval, retention, and transfer of records are

1. The records may be more vulnerable because they

Involves storing records within the various work units

Administrative Office Management, 8/e 2005 Pearson Education, Inc.

1. Confidential records are stored in work units

Administrative Office Management, 8/e 2005 Pearson Education, Inc.

1. Some work units are likely to develop their own

Administrative Office Management, 8/e 2005 Pearson Education, Inc.

1. Attitude of top management regarding records

Administrative Office Management, 8/e 2005 Pearson Education, Inc.

Gives each work unit responsibility for the management

Administrative Office Management, 8/e 2005 Pearson Education, Inc.

Involves classifying, coding, arranging, and placing

Administrative Office Management, 8/e 2005 Pearson Education, Inc.

Administrative Office Management, 8/e 2005 Pearson Education, Inc.

Administrative Office Management, 8/e 2005 Pearson Education, Inc.

Personnel needs are determined by the type of

Decentralized storage-likely uses employees

File Supervisor Messenger

Administrative Office Management, 8/e 2005 Pearson Education, Inc.

Administrative Office Management, 8/e 2005 Pearson Education, Inc.

Refers to the length of time records must be

Administrative Office Management, 8/e 2005 Pearson Education, Inc.

1. Considerable cost and space savings result from

Determines the nature and volume of all records

Administrative Office Management, 8/e 2005 Pearson Education, Inc.

Steps involved in designing an effective program: