EC O R D

R
MANAGEMENT
 OBJECTIVES

IDENTIFY WHAT IS KNOW THE FILING UNDERSTAND

RECORD RULES AND RECORDS
MANAGEMENT REGULATIONS TECHNOLOGY
What is Record Management
A professional practice of managing the records
of an oraganization throughout their life cycle,
from the time they are created to their
eventual disposal.
The supervison and administration of digital or
paper records regardless of format
Includes Identifying, Classifying, Storing,
Securing, Retrieving, Tracking and Destrying or
Permanently Preserving Records.
 TYPES OF RECORDS

ACTIVE RECORDS
Set of documents that are currently being utilized by
an office or a business.
Active records are those in which the person on the
record has had some sort of dealings with the
business fairly recently.

INACTIVE RECORDS
Set of documents that are NOT currently being used
by an office of a business.
ALPHABETIZING

Arranging names in alphabetical order

FILE RECORD MAINTENANCE

An important element of record management
Record confidentiality refers to any type of
document that contains information of a sensitive
nature that would cause harm to the privacy of
individuals or organizations if disclosed.
It's imperative that organizations protect record
confidentiality.

WHAT IS REPUBLIC
ARCHIVES OF THE
ACT 9470?
RA 9470, otherwise known as
the "National Archives of the
Philippines Act of 2007” is
an act to strengthen the
system of management and
administration of archival
records, establishing for the
purpose the national archives
of the Philippines, and for
other purposes.
WHAT IS NATIONAL
PHILIPPINES
The National Archives of the
Philippines (NAP) is a
national government agency
attached to the national
commission for culture and
the arts, responsible for the
implementation of the
objectives and provisions of
Republic Act 9470.
 WHO IS COVERED
PURPOSE BY THIS ACT
Strengthen the existing system of
management of public records and All heads, officials and employees of all branches
administration of government
archives
of government, whether national or local,
constitutional offices, government-owned
Mandate government accountability
to ensure that full and accurate
and/or controlled corporations, government
records of the affairs of the national financial institutions, state/local universities
and local government units are and colleges, Philippine embassies, consulates
maintained and preserved
and other Philippine offices abroad.
Enhance public confidence in the
integrity of public recordkeeping and
management
Ensure accessibility of public records
relevant to the promotion and GOVERNMENT
preservation of Philippine cultural
heritage
Support the safe keeping of private
records with archival value
 FILING AND
U L E S
R
PROCEDURES
 FILLING RULES
AND
PROCEDURE
A method of storing records is called filing and
every business must develop and maintain an
organized way to store written communication,
such as reports, letters and memorandum.
 COMMON METHODS FOR STORING /
FILING INFORMATION

ALPHABETIC NUMERIC
files and folders are arranged in order of numbers are used instead of letters.
alphabets of the names of person or Example:
institution concerned with such file. Employee account number
Employee ID number

SUBJECT GEOGRAPHIC
filing records according to their content files are grouped according to the
or subject matters concerned geographical location of firm, organization
or person
Association of Records
Managers and
Administrations Inc
(ARMA)
Helps professionals in record
management, and perform their
jobs easier and better.
 BASIC FILLING TERMS

UNIT INDEXING ALPHABETITIZING

Each part of a name is unit. Determining order Your paragraph

Name are alphabetized unit
by unit, if there are two and format of units arranging names in
parts in a name, the last in a name alphabetical order
name has two units.
BASIC CATEGORIES IN ALPHABETIZING NAMES

Personal Names

Business or Company

Government
 CASE
The case of a letter refers to
whether the letter is written
as a capital letter (A) called
upper case or written in small
letter (a) called lower case in
alphabetizing, upper and
lowercase letters are
considered the same.
 B E T I C A L
A LHPA
FILING
ALPHABETICAL
FILING
is a fundamental way to organize
documents in both your private and
personal life
allow you and others to find and
replace each file quickly
 RULES OF ON HOW TO
FILE ALPHABETICALLY
Decide on the alphabetical system you will use

Group items

Index your files

Order files alphabetically according to their indexed
name

Label your file folders

Document the indexing and filing system

File new items properly

 DEALING
IT H
W
SPECIAL

C A S E S
DEALING with special cases

1 Ignore Articles

2 Ignore Prefixes

3 Use Initials

4 Numbers and Symbols

ARMA: The 12 Rules (Alphabet Filing Rules)
Rule 1: Names of Individuals.
When indexing the name of an individual, arrange the units in this order: last
name as Unit 1, first name or initial as Unit 2, and middle name or initial as Unit 3.

Name unit 1 unit 2 Unit 3

Rebecca P. Adams ADAMS REBECCA P

Susan B. Anderson ANDERSON SUSAN B

Terri Anderson ANDERSON TERRI

ARMA: The 12 Rules (Alphabet Filing Rules)

Rule 2: Personal Names with Prefixes – Articles and Particles.

Commonly used prefixes are a, la, d’ D’ de, De, Del, De la, Di,Du, El, Fitz, La, Le, Lo, Los,
M’, Mac, Mc, O’, Saint, St., Ste., Te, Ter,Van, Van de, Van der, Von, and Von der.

Name unit 1 unit 2 Unit 3

Wilma LaVoy LAVOY WILMA

Jerry A. McDonald MCDONALD JERRY A

Kelli O’Neal ONEAL KELLI

ARMA: The 12 Rules (Alphabet Filing Rules)

Rule 3: Hyphenated Personal Names.

Consider a hyphenated first, middle, or last name as one unit.

Name unit 1 unit 2 Unit 3

Valerie Anderson-Smith ANDERSONSMITH VALERIE

Alison Shawn-Lee SHAWNLEE ALISON

Kay-Lu S. Shuttle SHUTTLE KAYLU S

ARMA: The 12 Rules (Alphabet Filing Rules)
Rule 4: Single Letters and Abbreviations of Personal Names.
Initials in personal names are considered separate indexing units.
Abbreviations of personal names and nicknames are indexed as they are written.

Name unit 1 unit 2 Unit 3

A.J. Anderson ANDERSON A J

Wm. Danielson DANIELSON WM

T. J. Sampson SAMPSON T J
ARMA: The 12 Rules (Alphabet Filing Rules)
Rule 5: Personal Names with Titles and Suffixes.
A title appears before a name.
Suffixes appear after a name and include seniority terms and
professional designations.
If a name contains both a title and a suffix, the title is the last unit.
Royal and religious titles are indexed as written.
 Name unit 1 unit 2 Unit 3 Unit 4

King Abdula KING ABDULA

Mrs. Anna Jones JONES ANNA MRS

Peter K. Teasdale III TEASDALE PETER K III

Mr. Joshua Wade, Jr. WADE JASHUA JR MR

Susan Yung, CPA YUNG SUSAN CPA

ARMA: The 12 Rules (Alphabet Filing Rules)
Rule 6: Names of Businesses and Organizations.
Each word in a business name is a separate unit.
Exception: When the is the first word of the business name, it is treated as the last unit.
Hyphenated names and names with prefixes are considered one unit

Name unit 1 unit 2 Unit 3 Unit 4

Betty’s Boutique BETTYS BOUTIQUE

The Bottom Dollar Store BOTTOM DOLLAR STORE THE

Dr. Allen’s Tree Repair DR ALLENS TREE REPAIR

ARMA: The 12 Rules (Alphabet Filing Rules)

Rule 7: Letters and Abbreviations in Business and Organization Names

Name unit 1 unit 2 Unit 3 Unit 4

A K Electric A K ELECTRIC A K ELECTRIC

ACE Repair Co. ACE REPAIR CO

L A N Industries L A N INDUSTRY

Regal Mfg. Corp. REGAL MFG CORP

ARMA: The 12 Rules (Alphabet Filing Rules)
Rule 8: Punctuation and Possessives in Business and Organization Names
All punctuation is ignored when indexing business and organization names

Name unit 1 unit 2 Unit 3 Unit 4

All-in-One Pawn Shop ALLINONE PAWN SHOP

How Much? Thrift Store HOW MUCH THRIFT STORE

Inside/Outside Glass INSIDE/OUTSIDE GLASS

ARMA: The 12 Rules (Alphabet Filing Rules)
Rule 9: Numbers in Business and Organization Names.
The letters st, d, and th following an Arabic number are ignored
Names with numbers included are filed in ascending order before alphabetic
names.
Names with numbers appearing in other than the first unit are filed
alphabetically and immediately before a similar name without a number
Spelled out numbers are filed alphabetically and appear after number written in
digits or Roman numerals.
Hyphenated numbers that are spelled out are considered one unit and the hyphen
is ignored
 Name unit 1 unit 2 Unit 3 Unit 4

4TH Street Market 4 STREET MARKET

XXI Movie Theatre XXI MOVIE THEATRE

Gary’s 9-way Service Co. GARY’S 9WAY SERVICE CO

Twenty Mile House TWENTY MILE HOUSE

Twenty-first Street Photo TWENTY FIRST STREET PHOTO

ARMA: The 12 Rules (Alphabet Filing Rules)

Rule 10: Symbols in Business and Organization Names

& AND

¢ CENT

$ DOLLAR OR DOLLARS

# NUMBER, POUND OR POUNDS

% PERCENT
ARMA: The 12 Rules (Alphabet Filing Rules)

Rule 10: Symbols in Business and Organization Names

Name unit 1 unit 2 unit 3 unit 4

50¢ Burger Den 50CENT BURGER DEN

D & B Baargain D AND B BARGAIN

ARMA: The 12 Rules (Alphabet Filing Rules)
Rule 11: Government Names.
Government names are indexed first by the name of the government unit –
country, state, county, or city.

Name Jurisdiction Indexed Name

Court House, Evans County Hazard, EVANS COUNTYCOURT

county
Kentucky HOUSEHAZARDKENTUCKY

FREEMONTEDUCATION BOARD
Board of EducationFreemont, MO city
OFFREEMONT MISSOURI
 Name unit1 unit 2 unit 3 unit 4 unit 5 unit 6

Court House, Evans

County Hazard, EVANS COUNTY COURT HOUSE HAZARD KENTUCKY
Kentucky

Board of
EducationFreemont, FREEMONT EDUCATION BOARD OF FREEMONT MISSOURI
MO
ARMA: The 12 Rules (Alphabet Filing Rules)

Rule 12: When personal names and names of businesses and organizations
are otherwise identical, the filing order is determined by the address.
The elements of the address are considered in the followingorder: City, State,
Street Name, Quadrant, House or Building Number

Address:
1. ComputerWorld 12th Avenue NE Akron, Ohio
2. ComputerWorld 600 Warner Ave. Columbus, Ohio
3. ComputerWorld 7th & Main Portland, Oregon
Address:
1. ComputerWorld 12th Avenue NE Akron, Ohio
2. ComputerWorld 600 Warner Ave. Columbus, Ohio
3. ComputerWorld 7th & Main Portland, Oregon

UNIT 1 unit2 unit 3 unit 4 unit 5 unit 6

COMPUTERWORLD AARON OHIO AVENUE NE 12

COMPUTERWORLD COLUMBUS OHIO WARDNER AVE 600

COMPUTERWORLD PORTLAND OREGEON AND MAIN 7

STEPS TO SECURE RECORDS AT
YOUR COMPANY

LOCK EVERYTHING DOWN

If you need to ensure that some records remain
secure, you should lock the drawers, the cabinet,
and the room.

INSTALL FIRE AND SECURITY

ALARMS
Fire alarms and security alarms are vital to ensure that
you can minimize the risk of a fire consuming all your
records.
LIMIT ACCESS TO YOUR CRITICAL
RECORDS
Limiting who can access, re-file, and copy company
records helps eliminate human error.

LABEL ALL RECORDS, FILES AND

CABINETS APPROPRIATELY
Misfiled or misplaced documents cost your company
money
CONDUCT REGULAR AUDITS
Once you have a records management system in
place, you need to make sure that the system is
maintained

DESTROY YOUR RECORDS SECURELY

AND DOCUMENT WHEN YOU DO
Take the time to properly and securely destroy your
records as they pass their required retention time.
 RECORDS
LIFE CYCLE
STAGE 1: RECORDS CREATION

The information is received, preferably in both electronic

and physical form. Once the information is verified, it
needs to be converted into a record in the correct format.
Records are considered active at this stage.

STAGE 2: CLASSIFICATION
Once created, records are sorted and classified according to the parameters
and schedule of your record management system. Make sure the classification
suits your companies needs so your records can be easily retrieved. You will
likely want to give multiple searchable traits for your records. Take the time to
customize these fields with your information management team
STAGE 3: MAINTENANCE

Because the record is active, ensuring that data integrity is well-maintained. One
step is to verify that the document storage method for the physical or electronic
copies is organized by the classification system in Stage 2 and that the storage
method is well-protected. Maintenance is most important when a record is active.

STAGE 4: DISPOSITION
The final stage of the records life cycle occurs when retention periods expire for
inactive records. Now that the information is no longer required, and you have
complied with the statutory period for maintaining the data, the record is
eligible for shredding or a transfer to archives. Where the record ends up should
be based on your company’s record policy as well as the record’s value.
HUMAN RESOURCE PERSONNEL
RECORDS RECORDS
Refers to the informational  Personnel records provide
documents utilized by an information about the
organization to carry out its position of HR in the
functions. It represents the organization e.g. – records
memory of organization. relating to training,
The records provide performance, absenteeism,
information about the wages and salary, labour
organization which is turnover, productivity,
maintained in tangible form morale surveys, job
i.e. written, pictorial, charts satisfaction, social security,
etc employee welfare etc.
OBJECTIVES OF
PERSONNEL RECORDS
The main objective of record in not
storing but to have information for
making analysis of various problems.
Effectively stored records enable
better analysis of the problems.
 RECORDS SERVE THE
FOLLOWING PURPOSE

Help managers to identify, Facilitates in decision making

prepare and implement in respect of transfer,
training programmes for promotion, demotion,
employees and executive redeployment etc.
development for managers.
Helps in preparing wage Enables to provide information
and salary sheets. relating accidents,
absenteeism, labour turnover,
wages and salaries to
governmental agencies

Facilitates human resource Enable research in human

audit. relations.
Provide knowledge about
validity of employment tests
and interviews.
Maintain data in respect of
leaves, training, promotion,
transfer, layoffs, dismissals,
expenses incurred on
employee benefits etc
 RECORD PURPOSE
It should be objective. It should be maintained to
fulfill the stated objectives.

Record keeping should be simple and easy to

understand

It should be accurate without any chance of errors or fraud.

It should be consistent with the needs.

It should be easily traceable or available.

 RECORD PURPOSE
Different records should be easily differentiated.

There should be no duplication

PRECAUTIONS IN
MAINTAINING RECORDS
All hiring information for every employee may
be kept in a folder. In some cases where the
number of employees is very large, data
processing equipment may be used for
maintaining records.
 TYPES OF PERSONNEL
RECORDS

Leave Training Health and

Records Record safety Records
TYPES OF PERSONNEL
RECORDS

Individual Service Performance

Record Record
Thank You!