1. Procedures for the Automated Office, 6/e By Sharon Burton and Nelda Shelton ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ 07458 Chapter 7 Managing Your Records

2. Procedures for the Automated Office, 6/e By Sharon Burton and Nelda Shelton ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ 07458 Records Management Preparation for Visible Filing Techniques for Putting Away Papers Supplies Offered Online Storing Information

3. Procedures for the Automated Office, 6/e By Sharon Burton and Nelda Shelton ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ 07458 Records Management (continued) Records retention and transfer Alphabetic filing procedures Alphabetic filing rules What about the future?

4. Procedures for the Automated Office, 6/e By Sharon Burton and Nelda Shelton ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ 07458 Records Management— Location of Files Centralized: –One location convenient to many –Files are checked out, so their location is always known Decentralized: –Files are maintained at individual workstations

5. Procedures for the Automated Office, 6/e By Sharon Burton and Nelda Shelton ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ 07458 Records Management— File Classification How files are arranged Major systems are: –Alphabetic –Numeric –Geographic –Subject

6. Procedures for the Automated Office, 6/e By Sharon Burton and Nelda Shelton ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ 07458 Preparations For Visible Filing Current terminology used to describe paper filing

7. Procedures for the Automated Office, 6/e By Sharon Burton and Nelda Shelton ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ 07458 Preparation—Reviewing Should papers stapled together be filed together? Staple together related papers where one document refers to the other Remove all paper clips and extra staples Remove unnecessary small slips of paper Keep routing slip with appropriate documents Are documents duplicates – can they be deleted/destroyed, or filed?

8. Procedures for the Automated Office, 6/e By Sharon Burton and Nelda Shelton ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ 07458 Preparation—Indexing Determine key word –Name –Subject –Geographic location Incoming letters – use organization name on letterhead Outgoing letters – use organization name in inside address

9. Procedures for the Automated Office, 6/e By Sharon Burton and Nelda Shelton ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ 07458 Preparation—Coding After deciding how to file paper, mark indexing caption on it To code by name, underline name Bold key words Identify number of indexing units according to bold words –Mr. Benjamin (2 nd ) Ross (1 st ) = 2 indexing units

10. Procedures for the Automated Office, 6/e By Sharon Burton and Nelda Shelton ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ 07458 Preparation—Cross-Referencing Use when document is apt to be called for by two different names at different times Make two copies of cross-reference sheet: –One copy is filed in cross-reference folder. It should be only piece of paper in folder. Its purpose is to send you to correct file. –Second copy is filed with actual folder.

11. Procedures for the Automated Office, 6/e By Sharon Burton and Nelda Shelton ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ 07458 Cross-Referencing (continued) Avoid preparing unnecessary cross- references. Some examples of when to use: –When filed by subject instead of individual’s name (Temporary Employees) –When difficult to determine individual’s surname (Consider a name like Kent Ross.) –When organizations are referred to by their acronym – IAAP ( International Assoc. of Administrative Professionals ) –Can you name some others?

12. Procedures for the Automated Office, 6/e By Sharon Burton and Nelda Shelton ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ 07458 Preparation—Sorting Prearrange documents in same order in which they will be filed First, divide documents into manageable groups. A-E, F-J, K-P, Q-T, and U-Z Next, arrange papers in each group When two pieces of correspondence share same name, place most recent on top

13. Procedures for the Automated Office, 6/e By Sharon Burton and Nelda Shelton ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ 07458 Techniques—Charge-Out Methods System for tracking files that are removed from designated location Does not apply to electronic filing Charge-out information should contain: –Name of person who has taken file –Date issued

14. Procedures for the Automated Office, 6/e By Sharon Burton and Nelda Shelton ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ 07458 Techniques—Organization of Electronic Files Directories that contain folders that contain files that contain documents Storage can be: –On a network Allotted to certain people for their files –On removable disks CD-ROM, zip, or floppy disk Be descriptive in labeling directories, folders, and files

15. Procedures for the Automated Office, 6/e By Sharon Burton and Nelda Shelton ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ 07458 Supplies Online Catalog will be dynamic and prices will be up to date Delivery is fast Usually cost less

16. Procedures for the Automated Office, 6/e By Sharon Burton and Nelda Shelton ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ 07458 Supplies Offered Online (continued) Supplies for Visible Filing –Supplies needed for filing documents: Guides (dividers) Folders (containers for documents) Labels (Identify folders) Supplies for Electronic Filing –Few are needed –CD-ROM, zip and floppy disks, and labels

17. Procedures for the Automated Office, 6/e By Sharon Burton and Nelda Shelton ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ 07458 Storing Information— Visible Documents Filed vertically, standing upright, and supported by guides and folders in file drawers Two types of popular file cabinets: –Vertical –Lateral Wire organizers allow folders to be placed directly in file drawer without suspension folders.

18. Procedures for the Automated Office, 6/e By Sharon Burton and Nelda Shelton ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ 07458 Storing Information—Disks Store disks in sturdy plastic cases –Can lock for security –Prevent dirt, dust, lint, & static electricity Avoid –Exposure to heat –Eating or drinking while handling disk –Placing under heavy object –Placing near magnetic object

19. Procedures for the Automated Office, 6/e By Sharon Burton and Nelda Shelton ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ 07458 Storing Information— Electronic Databases Software used for storing and sorting lists of anything, including records on employees, projects, and inventory Each item gathered, like a name, is called a field A group of fields make up a record A collection of records make a file A database is a set of related files

20. Procedures for the Automated Office, 6/e By Sharon Burton and Nelda Shelton ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ 07458 Retention These factors determine how long records must be preserved: –Nature of organization’s business operations –State statute of limitations –Regulations of federal government Never dispose of any record without clear knowledge of retention regulations

21. Procedures for the Automated Office, 6/e By Sharon Burton and Nelda Shelton ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ 07458 Categories of Records Vital Records –Records essential to operation Important Records –Customer/personnel records –Kept on-site to conduct daily business Nonessential Records –Not needed beyond current use and can be discarded after use Requests, acknowledgements, notices of meetings, duplicate copies

22. Procedures for the Automated Office, 6/e By Sharon Burton and Nelda Shelton ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ 07458 Transfer of Records Perpetual Transfer Method –Continually transferring files to inactive storage, such as when project or case is completed Periodic Transfer Method –Transferring files to inactive storage at predetermined intervals, such as 6 months, 1 year, or 18 months

23. Procedures for the Automated Office, 6/e By Sharon Burton and Nelda Shelton ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ 07458 Alphabetic Filing—Primary Guides Divide file into alphabetic sections Placed at beginning of each section Correspondence is filed in individual or miscellaneous folders placed behind guides

24. Procedures for the Automated Office, 6/e By Sharon Burton and Nelda Shelton ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ 07458 Alphabetic Filing— Individual Name Folders Use when at least five papers are accumulated for one correspondent File individual folders in order immediately following primary guide File correspondence –In chronological order –Most recent date is placed at front of folder

25. Procedures for the Automated Office, 6/e By Sharon Burton and Nelda Shelton ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ 07458 Alphabetic Filing— Miscellaneous Folders Filed behind individual folders Contains papers to and from all correspondents for whom you do not have individual name folders Within this folder, arrange papers in alphabetical order by name –If two or more papers for one correspondent, place most recent in front –Staple related papers together

26. Procedures for the Automated Office, 6/e By Sharon Burton and Nelda Shelton ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ 07458 Alphabetic Filing— Special Guides Direct eye to individual folders that are used frequently Used for subdivisions of alphabet Used to mark section of file containing individual folders for several correspondents with same surname

27. Procedures for the Automated Office, 6/e By Sharon Burton and Nelda Shelton ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ 07458 Alphabetic Filing—Color-Coding Can be used on any filing system Provides easy identification for sorting, filing, and finding, and confirms if folder is in right place. Color can code certain digits or letters –Code two or three digits in numeric –Code 1 st two letters of a name

28. Procedures for the Automated Office, 6/e By Sharon Burton and Nelda Shelton ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ 07458 Color-Coding (continued) Use color to: –Differentiate various types of files or records –Identify records temporarily removed from files –Check filing methods of new employees Simplify filing on media (micrographics, diskettes, and computer printouts)

29. Procedures for the Automated Office, 6/e By Sharon Burton and Nelda Shelton ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ 07458 Alphabetic Filing Rules— Order of Filing Units Unit – each part of name is called a unit –B. R. Grove has three units Indexing – Unit of name in order for filing. Always precedes alphabetizing. –Grove ( 1 st ), B. ( 2 nd ) R. ( 3 rd ) Alphabetizing – placing names in an A- to-Z sequence

30. Procedures for the Automated Office, 6/e By Sharon Burton and Nelda Shelton ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ 07458 Alphabetic Filing Rules— Names of Individuals Surname is first filing unit, followed by first name or initial, and then middle name or initial Abbreviations in names of individuals Prefixes in names Hyphens in names Titles, designations, and degrees

31. Procedures for the Automated Office, 6/e By Sharon Burton and Nelda Shelton ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ 07458 Alphabetic Filing Rules—Names of Businesses and Organizations Names of Business and Organization –As written Central (1 st ) Trust (2 nd ) Company (3 rd ) Punctuation in Names –Ignore all punctuation marks, consider hyphenated word as one unit

32. Procedures for the Automated Office, 6/e By Sharon Burton and Nelda Shelton ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ 07458 Alphabetic Filing Rules— Names of Businesses and Organizations (continued) Numbers in Names –Only 1 st number is considered Ignore number following hyphen – (7-11 Store) –Digit contains a suffix (st, d, th) Ignore suffix, index only number –Number is spelled out Ignore hyphen and two numbers become one unit

33. Procedures for the Automated Office, 6/e By Sharon Burton and Nelda Shelton ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ 07458 Alphabetic Filing Rules— Names of Businesses and Organizations (continued) Symbols in Names –Index way they are pronounced. One $ Store –One (1 st ) Dollar (2 nd ) Store (3 rd ) Abbreviations in Names –File as written, spell out only when company spells out ARK Transport –ARK (1 st ) Transport (2 nd )

34. Procedures for the Automated Office, 6/e By Sharon Burton and Nelda Shelton ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ 07458 Alphabetic Filing Rules— Names of Governments Federal Government –United States Government = units 1-3 –Followed by most distinctive name of office United (1 st ) States (2 nd ) Government (3 rd ) Social (4 th ) Security (5 th ) Administration (6 th ) State and Local Government –Index by their distinctive name Monroe (1 st ) County (2 nd ) Public (3 rd ) Works (4 th ) Department of (5 th )

35. Procedures for the Automated Office, 6/e By Sharon Burton and Nelda Shelton ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ 07458 Alphabetic Filing Rules— Names and Addresses When two or more names are identical: –Use geographical address to determine filing order Consider order shown at right –Country –State –City/municipality –Street name –Compass point (N, S, E, W) –Building number

36. Procedures for the Automated Office, 6/e By Sharon Burton and Nelda Shelton ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ 07458 Variations in Alphabetic Filing Rules Watch for the following variations: –Hyphenated words – is it one or two units? –Mac or Mc – is it filed with M’s? –Is nickname ignored and filed as true name? –Spelling out of II or III or Sr filed before Jr –Is a married woman filed under husband’s name?

37. Procedures for the Automated Office, 6/e By Sharon Burton and Nelda Shelton ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ 07458 Variations in Alphabetic Filing Rules (continued) Watch for following variations (continued) –Hyphenated business name could be made up of two surnames, might be indexed and not treated as one unit –Geographic names or words involving compass point might be treated as two words –Names beginning with numbers expressed as figures, might be filed in regular alphabetical order, rather than number sequence

38. Procedures for the Automated Office, 6/e By Sharon Burton and Nelda Shelton ©2005 Pearson Education, Inc. Pearson Prentice Hall Upper Saddle River, NJ 07458 What About the Future? Decide on best option for storing documents Consider cost involved in migrating or moving scanned/stored documents to newer software or hardware How easy is it to locate a stored document? Seek advice from professional record manager consulting firms