CHAPTER 2

RECORDS MANAGEMENT
PRACTICE
CHAPTER TWO
• TYPES OF DOCUMENT IN ORGANIZATION
• PROCEDURES OF OPENING AND CLOSING FILES
• MANAGING ACTIVE RECORDS
• CORRESPONDENCE RECORDS STORAGE
• CORRESPONDENCE STORAGE PROCEDURES
2.1 TYPES OF
DOCUMENT IN
ORGANIZATION
TYPES OF DOCUMENT IN ORGANIZATION

• What is information management and transmission, information,

and knowledge?
• Types of correspondence
• Process of correspondence in sequential order
• Types of document to be registered and filed
• Types of circulated mails
TYPES OF DOCUMENT IN ORGANIZATION

• Inward correspondence​
• What is inward correspondence?
• Procedures in receiving inward correspondence
• What is Register
• Types of information registered for Inward correspondence
• Circulation of Correspondence
TYPES OF DOCUMENT IN ORGANIZATION

• Outward correspondence
• What is outward correspondence
• Preparing Outward correspondence
• Types of information registered for Outward
correspondence
WHAT IS • Refers to the organizing, maintaining,
and accessing of records and to the
INFORMATION communicating of information both
within and outside the organization.
MANAGEMEN
T AND
TRANSMISSIO
N?
WHAT IS
INFORMATION?

something that can lead to knowledge

regardless of the medium of its
conveyance to one or more persons.
WHAT IS
DOCUMENT?
• A document is a
medium through
which information is
imprinted for
conveyance to one
or more than one
person
DOCUMENT IN ORGANIZATION

INWARD CORRESPONDENCE OUTWARD CORRESPONDENCE

• Correspondence received • Correspondence dispatched
include mail that may be include mail that may be
received dispatched
MAIL THAT ARE RECEIVED OR
DISPATCHED
• Mail through the postal service
• Mail through government’s internal
mail system
• Mail through private courier service
• Mail by hand
OTHER FORM OF COMMUNICATION RECEIVED BY:

Telegrams and telex Facsimile transmission Electronic mail &

networked electronic
information (via
Internet)
CORRESPONDENCE SHOULD BE
SUBJECTED IN SEQUENTIAL ORDER
• Receiving and opening of inward correspondence
• Sorting correspondence that requires special handling
• Registering inward correspondence
• Associating inward correspondence with the relevant file
• Circulating the correspondence for information or reply
• Preparing the reply
• Dispatching outward correspondence
• Filing inward (original) and outward (copy) correspondence and
other associated documents
INTERNALLY GENERATED DOCUMENT SHOULD BE SENT
TO THE REGISTRY FOR REGISTRATION AND FILING

Reports Directives Forms

Committee
Memorandums Drafts
Minutes
TYPES OF CIRCULATED MATERIAL

REPORTS DIRECTIVES FORMS MEMORANDUMS INTERNAL MINUTES COMMITTEE

MINUTES AND
PAPERS
INWARD CORRESPONDENCE
INWARD CORRESPONDENCE
• After the mail has been opened and all enclosures
accounted for, each letter or memorandum must be
registered by a designated officer in the Inward
Correspondence Register
PROCEDURE TO PREPARE INWARD CORRESPONDENCE
PROCEDURES IN PROCESSING INWARD
CORRESPONDENCE
Opening or receipt by a designated officer in the presence of another
officer.
Stamping with the date of receipt.
Assigning a serial number in a running sequence for the month
(100/2/2018) or (4455 /2018) as appropriate.
Identifying and appropriately managing security classified and other
confidential correspondence.
Attaching other enclosures to the covering correspondence.
REGISTRATION OF INWARD
CORRESPONDENCE
WHAT IS REGISTER?
• Is a document usually a volume in which regular entry
of data is made
WHAT IS IN-
REGISTER?

• Traditional systems of
document registration
involve the entry into an
inward correspondence
registry
• Take the form of ledgers
either bound or in loose-
leaf format
EXAMPLE OF E-REGISTER
THE  Serial number assigned in
the correspondence.
 Name and organisation of
the sender.
FOLLOWING  Date of the correspondence.  Reference quoted by the
INITIAL  Date of receipt. sender.
INFORMATIO  Security classification.
 Subject of the
correspondence.
N IS
 Number and nature of any
ENTERED BY enclosures.
HAND INTO
THE
REGISTER:
CIRCULATION OF CORRESPONDENCE
• Must use appropriate file
• If no files exists, create a new file cover
• Circulation can be top-down or bottom-up
• Top-down – manager decides what action should be appropriate and assign the
correspondence, minutes accordingly, to a junior officer and draft any reply for
approval and signature
• Bottom-up – the correspondence is sent directly to the appropriate action officer
who minutes his or her proposals and draft any reply, submit these for approval
at the appropriate senior level and acts on receipt of that approval
OUTWARD CORRESPONDENCE
OUTWARD CORRESPONDENCE
• Mail sorted within a mail processing facility that is
dispatched to another facility for additional processing or
delivery. Also known as Originating Mail
PROCEDURE TO PREPARE OUTWARD
CORRESPONDENCE
PREPARING OUTWARD
CORRESPONDENCE

After approval, drafts or outward

correspondence (in reply to inward
correspondence or newly generated
within the organisation), and other
internally generated documents - should
be sent by the action officer for typing
in accordance with standing instruction.
PREPARING OUTWARD
CORRESPONDENCE
Standing Instructions Should Include The Following Points:
Texts sent for typing should be clearly written or carefully dictated,
taking special care with the spelling of paper names, technical
terms and other unusual words.
 PREPARING OUTWARD
CORRESPONDENCE
Information provided to the computer operator or typists should
include:
 Name and address of the intended recipient.
 Any security or privacy markings.
 Organisation’s and addressee’s file references.
 Name of the intended signatory (normally the action officer in a bottom-up
circulation system, the approving officer in a top-down system).
 Number of copies required.
PREPARING OUTWARD
CORRESPONDENCE
Computer operator/typist should use
the organisation’s letterhead paper
for the top copy of outward
correspondence and should follow
standard rules of style, layout and
dating.
PREPARING OUTWARD
CORRESPONDENCE

 After a typed letter has been checked

and signed, all the copies should be sent
to the registry together with the inward
correspondence, internal minutes,
drafts and the relevant file.
 A record copy of every internally
generated document should be sent for
filing.
 REGISTER OF OUTWARD
CORRESPONDENCE
The registry staff should register details of outward correspondence which will
include:

Date of the correspondence. Number and nature of any enclosures.

Date of dispatch. Name and institution or organisation of
Security classification. the addressee.
Main file reference.
Subject of the correspondence, if
required. References of other files on which
copies have been placed
2.2 PROCEDURES TO
OPEN A NEW FILE AND
CLOSING FILE
DOCUMENTS THAT SHOULD BE FILED
INCLUDE:
Inward correspondence in all its
forms.
Internal minutes relating to the
correspondence.
Copies of outward
correspondence.
Internally generated documents
(administrative, financial, legal
and operational or house
papers).
DOCUMENTS THAT SHOULD NOT BE
FILED INCLUDE:
 Any forms of rough drafts that
do not differ in contain from the
final versions that are to be filed.
 Copies of correspondence and
internal documents.
 Ephemera (e.g. suppliers’
catalogues, press cutting,
invitation to social events
circulated for information only).
OPENING NEW FILE
A NEW FILE SHOULD BE OPEN WHEN
 A new subject arises within the administrative process.
 Relevant documents need to be filed.
 An existing subject subdivides into new discrete subjects.
 New subject needs new files or sub-files.
EACH NEW FILE MUST BE SUBJECTED
TO THE FOLLOWING RULES
 Each file must relate to a single subject or transaction.
 Each file should have a title that describes its content precisely,
concisely and uniquely.
 Each file should be classified and coded within the registry’s
classification scheme.
 Each file must be documented.
 Each file location must be recorded in the files control tools or
documentation.
PART OF FILES
PART OF FILES
Part - one of a number of physical units into which a file has been
subdivided chronologically as it has increased in size.
Sub-file - a separate file dealing with a discrete aspect of the subject
of a more general file.
Continuation File - a new file opened when the old file on the
subject has reached its cut-off date within the file cycle.
GIVING FILES TITLES
GIVING FILES TITLES
File titles should be clear and precise providing adequate details
about the file’s actual and likely contents.
The file titles consist of a number of terms to describe the specific
subjects of the file in its functional context.
Keywords - are terms or group of terms taken from the title or text of
a document or file characterising its content and facilitating its
retrieval.
FILING PROCESS
FILING PROCESS
In the filing process, we need to consider the following:
 Loose papers should be sorted by file number or name separate into
two groups. The papers should be examined for their authorised
release to file which is normally done by a written abbreviation “F”
meaning “To be filed”.
 Loose papers received each day for filing should be processed each
day for filing without fail.
FILING PROCESS
In the filing process, we need to consider the following:
 The papers should be cleared of all pins, clips, superfluous staples;
folded or unfolded where necessary; and torn pages repaired before
being filed.
 In preparing loose papers for file, a clerk must ensure that
attachments remain with their covering paper regardless of the date
(s) of the attachments. Extra copies and other non-record material
will be discarded at this time.
FILING PROCESS
 The papers will now be ready for sorting into either a subject
classification.
 The papers will now be clean, pre-drilled and in their classification
order. The next step is the attaching of the papers to their respective
files.
FILING PROCESS
 The papers should be filed in chronological order of the transactions
of which they form part. (Filing records by adding each new
document on top of the file is the easiest method of maintain
chronological order).
 Papers within a file may be numbered to guarantee maintenance of
integrity and original order. A running number (known as folio
number) should be assigned to each individual paper (not to the
individual pages within it, though they may also be separately
paginated within each document).
FILING PROCESS
 The folio number, subject or title of the papers, their dates and dates
inserted into the file should be listed hand written in blue and red on
the minute sheet (incoming correspondence in blue and copies of
outward correspondence in red).
NUMBERING PAPERS ON FILES
FOLIO NUMBER
Documents and the accompanying enclosures must be placed on files
in “date of receipt” order (the most recent on the top).
Number each paper on the file consecutively in the top right hand
corner with the number being enclosed in a small circle (called a folio
number).
If a document runs to more than one page, the whole document (not
the individual pages) is numbered.
EXAMPLE OF A FOLIO NUMBER
MINUTE SHEET
 The split file system - standard
method of maintaining registered
papers on files.
 In this system, papers are divided as
follows:
• Incoming letters, copies of
outgoing letters, memoranda, and
notes of meetings, statistical data
and similar documents are placed
on the right‐hand side of the file
and secured with a treasury tag.
MINUTE SHEET

• A treasury tag is an item of

stationery used to fasten sheets
of paper together or to a folder.
• On the left‐hand side of the
opened file is a series of
‘Minutes Sheets’ secured with a
treasury tag.
 MINUTE SHEET
The purpose of these sheets is to enable
action officers and Records Office staff to
bring attention to particular action points
arising from correspondence on the right‐
hand side of the file (e.g. a request for
additional papers, a  bring‐up date or to
point out clarification).
The instructions should be short and to
the point, addressed, signed and dated
EXAMPLE OF A MINUTE SHEET
CLOSING FILES
CLOSING FILES
 Files should NOT be allowed to become thick or be kept in use for too
long because:
 They are difficult to handle.
 Their contents can be at risk of damage.
 Liable to contain papers no longer required for the daily conduct of
business.
CLOSING FILES
 There must be a regulation to the size of file appropriate to the type
of file covers.
 A size of 1 inch - a reasonable limit for treasury tag files (regulation by
the National Archives of Malaysia for government departments filing
systems).
 When that size is reached, that part of the file should be closed and a
new part opened. (It is up to the registry staff to ensure that no
further papers are added to files after they are closed).
CLOSING FILES
 The word “CLOSED”’ should be written or stamped diagonally in bold
letters across the front cover, thus cancelling it.
 The closure of files should be formally documented to ensure no
additional information is added or changes made.
EXAMPLE OF A CLOSED FILES
EXAMPLE OF A CLOSED FILES
2.3 MANAGING
ACTIVE RECORDS
TYPES OF RECORD ACTIVITIES
TYPES OF RECORD ACTIVITIES
 Records within an office fall into three records activities:
 Active records
 Inactive records
 Archive records
 These records can be in paper or electronic form.
ACTIVE RECORDS
 Active record - a record needed to perform current operations.
 Is subject to frequent use and usually located near the user.
 Can be accessed manually or on-line via a computer.
 Is accessed three or more times a month.
 Is stored in very accessible equipment in the active storage area or
on-line.
 If in paper, this record will be located in a handy place within the
office since it is used frequently
INACTIVE RECORDS
 When a record has reached its cut-off, it is time to start monitoring
the retention period and possibly moving the information to inactive
storage to free up office space or a special folder in your e-mail, or on
I:Drive in your computer system
 Inactive paper storage could either be on-site in the building or off-
site of the organization
 Majority of inactive records have been kept because of
administrative, fiscal or legal requirement or might be valuable in
research
ARCHIVE RECORDS
 Archival appraisal is perhaps the most important and certainly the most final
decision making function that an archive service makes
 Records appraisal process involves distinguishing records of continuing value from
those of no further value so that the latter may be eliminated
 The Archivist is responsible for ascertaining which records are to be kept
permanently after liaising with the appropriate business area
 A decision not to keep records as archives involves an explicit commitment to
apply the resources needed to preserve them and to keep providing resources as
long as the archives survive
REGISTRY
REGISTRY
 Registry - a unit within an organisation.
 is basically responsible for managing the records of that particular
organisation.
 Its exact function may keep on changing with time.
 ensures that there is a good flow of recorded information in the
organisation.
FUNCTION OF REGISTRY
 Expected to house the entire series of records kept in a particular
department, and to have intellectual control over these records.
 Officially dispatching and receiving all letters.
 It registers all letters received from both internal and external sources.

 Incoming letters are stamped “received” on a particular date.

 The date of receipt and name of the sender are entered into a
register.
FUNCTION OF REGISTRY
 Ensures that the action to be taken on a file is brought to the
attention of the staff concerned.
 Keeps track of all the three activities of records.
 Physically segregate the files according to the three records activities.
 Prepare an updated list of files to be destroyed.
EXAMPLE OF REGISTRY
CENTRALISED VS DECENTRALISED
REGISTRY
CENTRALISED REGISTRY
CENTRALISED REGISTRY
 Centralised Registry – means the control comes from one location
(Main registry)
 Centralized Registry controls the following components:
 Records System
 Records Staff
 Allocated Space for the Registries
 Records Equipment and Supplies
ADVANTAGES OF CENTRALISED
REGISTRY
 Centralized registry - actively encourages cross-referencing and
collaboration between departments, and increases the efficiency of
your office’s information flow.
 It enhances file security with files all under unitary supervision and
security as the following:
ADVANTAGES OF CENTRALISED
REGISTRY
 There is intellectual control over the records created - a uniform
policy direction, centralised mail operations, centralised messenger
services, uniform classification scheme; procedural practices; file
descriptions, file operations; scheduling; and disposal standards &
practices.
 There is control over records creation in accordance with a file design
(This would ensure that records will not be duplicated).
 Standard procedures on records management will be in place.
ADVANTAGES OF CENTRALISED
REGISTRY
 The keeping of records can evolve into a specialised activity.
 The records manager can easily justify staff training for those in
charge of a central registry.
 There is savings in terms of manpower and equipment.
ADVANTAGES OF CENTRALISED
REGISTRY
  There is a clearly understood responsibility on the part of a central
registry for good records management.
  Confidentiality of information is more easily safeguarded.
  Information hogging (keep to one self) will be difficult.
DECENTRALISED REGISTRY
DECENTRALISED REGISTRY
 Decentralised registry - consists of various units or divisions within a
department (normally a large department) that have their own small
registry units).
 Various registries will have their own records systems, records staff,
allocated space for the registries and records equipment and supplies.

 The classification scheme, use, care, custody and final disposition

varies in practice.
ADVANTAGES OF DECENTRALISED
REGISTRY
 Easy access to information.
 Faster retrieval and speedier decision making.
 Savings in labour and expensive equipment.
CLASSIFICATION
 WHAT IS FILE CLASSIFICATION
SCHEME?
 (also known as a file plan) is a tool that allows for classifying, titling,
accessing and retrieving records.
 Is presented as a hierarchical structure of classification levels and is
based on the business activities.
 A good file classification scheme should support the business
requirements of those who use them and incorporate information to
assist long-term management.
 A good file classification scheme should be easy to understand and
maintain.
 WHAT IS FILE CLASSIFICATION
SCHEME?
 Developing a file classification scheme - the process of identifying the
category/categories of business activities and the records they
generate and grouping them - to facilitate retrieval, description,
control, links and also for determining their disposition and access
status.
 The development of a file classification scheme - based on an analysis
of what are the functions and activities undertaken by an
organisation.
SUBJECT FILE CLASSIFICATION
 Subject files - collections of related papers on a specific subject or its
specific sub-subjects collated and placed within a single file cover
container
 Such files are created under the logical arrangement of a subject
classification plan.
SUBJECT FILE CLASSIFICATION
 It will identify group, codify or standardize the files/records into fields,
groups, types, categories, locations, organizations, or things
 An Index is a relative reference list of keywords or topics which will
coordinate these fields, groups, types, categories, locations,
organizations, or things.
 Consist of letters, memorandums, minutes, reports, forms and other
material arranged by subject or subject aspect.
 CATEGORIES OF SUBJECT FILES
 Basically, there are two categories of subject files:
1. Administrative Files (Housekeeping Files) - records of an internal
housekeeping nature.
2. Operational Files (Functional Files) - records created by a
department or organisation in carrying out its main functional
role.
 This files need to be arranged into their respective series
 Method of arrangement of these records are referred to as subject
file classification system
CHARACTERISTICS OF GOOD SUBJECT
FILE CLASSIFICATION SYSTEM
 Be as simple as possible and easy to operate.
 Permit additions and deletions.
 Be logically arranged by group of related subjects.
 Be effective.
 Be installed with a view to economy.
BENEFITS OF A GOOD SUBJECT FILE
CLASSIFICATION SYSTEM
 An aid to service – can result in better, faster, cheaper reference
service where complete files/records are produced quickly.
 An aid to research - can make the proper arrangement of written
accounts of facts & events.
 An aid to documentation - can mean the proper arrangement of
written accounts of facts & events.
 An aid to preservation - can speed up the identification & segregation
of valuable records since selection will be easier.
BENEFITS OF A GOOD SUBJECT FILE
CLASSIFICATION SYSTEM
 An aid to disposal – to speed up the identification & segregation of
files/records of limited usefulness.
 An aid to economy - can affect economies when applied to the whole
organisation by mass purchase of uniform equipment & supplies.
 An aid to personnel - permit the transfer of records personnel from
one division/department to another (wherever situated, without re-
training).
2.4 CORRESPONDENCE
RECORDS STORAGE
FILING METHOD
Business records give the decision maker the right information
at the right time at the lowest possible cost.
To store records in the most efficient way possible, some type
of filing or storing method must be used.
Filing method (storage method) - describes the way in which
records are stored in a container.
RECORDS STORAGE EQUIPMENT AND
SUPPLIES
• STORAGE EQUIPMENT
• FILE CAPACITY AND SPACE REQUIREMENTS
• STORAGE SUPPLIES
• SELECTION OF STORAGE EQUIPMENT AND SUPPLIES
RECORDS STORAGE EQUIPMENT &
SUPPLIES
 “A place for everything, and everything in its place”
 What type of equipment and supplies are used most often in
offices?
 What is the specific vocabulary for RIM equipment and
supplies?
STORAGE EQUIPMENT
STORAGE EQUIPMENT
 Types of storage equipment commonly used for paper records are:
• Vertical File Cabinet
• Lateral File Cabinet
• Shelf File
• Mobile Shelving
VERTICAL FILE CABINET
VERTICAL FILE CABINETS
 Vertical file cabinet - storage equipment that is deeper than it is wide.
 Generally, the arrangement of folders in the file drawers is from front
to back.
 Folder - a container used to hold and protect the contents of a file
together and separate from other files.
VERTICAL FILE CABINETS
 Type and volume of records to
be stored will determine the
width, depth, number, and size
of drawers.
 Most common widths of vertical
file cabinet drawers -
appropriate for letters or legal-
size document.
LATERAL FILE CABINET
LATERAL FILE CABINET
 Lateral file cabinet - storage equipment that
is wider than it is deep--records are accessed
from the side (horizontally).
 Records can be arranged in the drawers from
front to back or side to side.
 Because the long (narrow) side opens, lateral
file cabinets are particularly well suited to
narrow aisle spaces. They are available in a
variety of sizes, depending on the number
and depth of the drawers.
SHELF FILE
SHELF FILE
• Shelf file - an open-shelving
equipment in which records are
accessed horizontally from the
open side.
ROTARY SHELF FILE
Shelf files may be an open style or
have roll-back or roll-down fronts.
Rotary shelf files have bank of
shelves so that records can be stored
and accessed from both sides of the
shelves.
MOBILE SHELVING
MOBILE SHELVING
 Mobile shelving - a series of units that move on tracks attached to the
floor for access to files in some movable shelving equipment, the
shelves slides from side to side.
 The units may operate with electric power or may be moved manually
by the operator.
Side-to-Side Mobile Shelving Mobile Aisle System
 MOTORIZED ROTARY STORAGE
 Motorized rotary storage - a unit that rotates shelves in
the unit around a central hub to bring the files to the
operator.
 Figure shows correspondence power files that have an
automated keypad-driven retrieval system.
 Uses overhead storage with the rotation of the files
moving horizontally around a central core to bring files to
the operator, and it provides access at a height that can
accommodate persons with disability requiring a
wheelchair.
FILE CAPACITY AND SPACE
REQUIREMENT
FILE CAPACITY AND SPACE
REQUIREMENT
 How to choose storage cabinets or shelves?
 A comparison of file capacity and floor space requirements helps
determine cost effectiveness.
 Shelf files save filer time as well as floor space because there are no
drawers to open.
 3-4 inches of space should be left as working space at the end of a file
drawer or shelf section to allow easy removal and replacement of file
folders
FILE CAPACITY AND SPACE
REQUIREMENT
 Open-shelf filing for confidential or vital records must be placed in a
records vault for security
 File drawers and closed-front cabinets can be purchased with locks
 Fire protection is a safety consideration
 Vital records can be duplicated and kept in off-site storage
 Fireproof storage cabinets can be purchased for important records;
these cabinets are heavier and higher in cost than standard file
cabinets
STORAGE SUPPLIES
STORAGE SUPPLIES

• GUIDES
• FOLDERS
• CARE OF FOLDERS
• TYPES OF FOLDERS FOR MANUAL RECORDS
• FOLLOWER BLOCKS COMPRESSORS
• OUT INDICATORS
• LABELS
• SORTERS
 STORAGE SUPPLIES

 Efficient storage and retrieval requires the use of the right

equipment and the right supplies
 The principal supplies used in manual storage of paper records are

• Guides • Follower blocks compressors

• Folders • Out indicators
• Care of folders • Labels
• Types of folders for manual • Sorters
records
1. GUIDES
 GUIDES
 A guide is a rigid divider used to identify a section in a file and to
facilitate reference to a particular record location
 Guides are made of heavy material such as pressboard, manila, or
plastic
 A tab is a projection for a caption on a folder or guide that extends
above the regular height or beyond the regular width of the folder or
guide
 Some guides have reinforced tabs of metal or acetate to give added
strength for long wear
 GUIDES
 The proper placement of guides eliminates the need to spend time
searching through similar names to find the part of the alphabet
needed.
 The same set of guides may be used year after year with no change,
or they may be added to or changed as the quantity of records
increases
 Because of their thickness and sturdy construction, guides also serve
to keep the contents of a container (drawer or box) upright.
 Keeping contents upright promotes efficient storage and retrieval
 GUIDES
 Guides serves as signposts and speed location of records
 Too few guides result in unnecessary time spent looking for the
correct place to store and find a records
 Too many guides that are unevenly distributed throughout the files
can slow storage and retrieval because the eye must look at so many
tabs to find the right storage section
 Using about 20 guides for each file drawer or for each 28 linear inches
of stored records will facilitate efficient storage and retrieval in a
typical system
TYPES OF GUIDES
PRIMARY GUIDES SPECIAL GUIDES
 a divider that identifies a main  a divider used to lead the eye
division or section of a file and quickly to a specific place in a
always precedes all other file.
material in a section.
PRIMARY GUIDES
 a divider that identifies a main division or section of a file and always
precedes all other material in a section.
 The NAMES WITH NUMBERS, A and B guides in first position at the
left is the primary guides
 BUSINESS NAMES beginning with numbers, numbers are filed before
letters of the alphabet; the NAMES WITH NUMBERS guide and NAME
WITH NUMBERS folders are filed before the A guide
PRIMARY GUIDES
 A small number of stored correspondence with many individuals or
firms requires only primary guides to indicate the alphabetic sections
 Systems that use colour extensively may use only primary guides with
the letters of the alphabet because blocks of coloured folders act as a
visual guide to a section of the alphabet
 Guides sets that divide the alphabet into many different segments are
available from manufacturers of filing subjects
PRIMARY GUIDES
 The simplest set is 23 – 25 – division set, the latter having a tab for
each letter from A to W, a tab labelled Mc, and a last tab with the
combination XYZ
 The number of alphabetic guides furnished by different
manufacturers can vary even though each plan may divide the
alphabetic into 40 subdivisions
 Manufacturers may elect to omit Mc, subdivide letters differently, or
combine different letters
PRIMARY GUIDES
 Before purchasing a set of guides, the record manager should
examine the manufacturer’s alphabetic subdivisions to see if the
subdivisions fit specific office requirements
 Alphabetic guides can be purchased with pre-printed tabs or tabs with
slotted holders for the insertion of labels
COMPARISON OF GUIDE SETS FOR A TO Z INDEXES
RECORDS STORAGE
SUPPLIES

 Guides
 Folders
 Out indicators
 Labels
 Sorters

*Guides with slotted

holders
SPECIAL GUIDES
 A special (auxiliary) guide is a divider used to lead the eye quickly
to a specific place in a file
 SPECIAL GUIDES
 Indicate the location of an
individual or a company
folder with a high volume
of correspondence
 Example: BENNET and
BOSWORTH are special
(auxiliary) name guides
 SPECIAL GUIDES
 Introduce a special section of
subjects, such as Application,
Bids, Conferences, Exhibits,
Projects or Speeches
 Example: Special Subject Guide,
APPLICATIONS, place in alphabetic
order in the A section.
Correspondence concerning
applications for positions in
accounting and office support
behind APPLICATIONS in properly
labelled folders.
 SPECIAL GUIDES
 Identify a section reserved for
names with the same first
indexing unit
 Example: the BAILEY special
name guide leads the eye to
the section with numerous
folders labelled with BAILEY as
the first indexing unit
GUIDES USED IN DRAWER CABINETS
AND OPEN SHELF FILES
 The tabs on guides for open-shelf equipment are at the side
 Because materials stored in open-shelf equipment are visible at one
edge instead of across the top (as is true in drawer files) the
alphabetic or other divisions must extend from the side of the guide
so that they can be seen easily
 The printing on these side-guide tabs may be read from either side
GUIDES USED IN DRAWER CABINETS
AND OPEN SHELF FILES
2. FOLDERS
FOLDERS
 a container used to hold and protect the contents of a file together
and separate from other files.
 Folders are usually made of heavy material such as manila, plastic, or
pressboard and have either top or side tabs in varying sizes
TABS
 A tab is a projection for a caption on a folder or guide that extends
above the regular height or beyond the regular width of the folder or
guide
 A tab cut is the length of the tab expressed as a proportion of the
width or height of the folder or guide
 A straight cut tab extends across the complete width of a folder
 A one-third cut tab extends only one-third the width of a folder and
may be in any of the three positions
POSITION
 Position refers to the location of the tab across the top or down one
side of a guide or folder
 First position means the tab is at the left; second position means the
tab is second from the left, and so on
 Straight-line arrangement is a system that aligns folder tabs in one
position; for example all folder tabs are third position
 Staggered arrangement is a system that follows a series of several
different positions of folder tabs from left to right according to a set
pattern
STRAIGHT LINE ARRANGEMENT
POSITION
POSITION
 Straight line position is preferred because of ease in reading label
captions; the eye travel faster in a straight line than when it jumps
back and forth from left to right
 The most efficient position is third, with third cut tabs; and the most
efficient position for guides is either first or second with fifth-cut tabs
FOLDER CUTS AND TAB POSITION
FOR OPEN SHELF FILES
FOLDER CUTS AND TAB POSITIONS

File Drawer

Open-Shelf
Files
TYPES OF FOLDERS
 A general folder holds records to and from correspondents with a
small volume of records.
 A individual folder holds records for an individual correspondent.
 A special folder follows a special guide.
GENERAL FOLDERS
 CARE OF FOLDER
 Score marks are indented or raised line or series of marks along
the bottom edge of a folder to allow for expansion
NEW FOLDERS MAY BE NEEDED
BECAUSE
 A new group of names is to be added to a file
 Older folders have become full, and additional ones must be added to take care
of the overload
 Enough records have accumulated for certain correspondence so that their
records can be removed from the general folders and put into individual folders
 Folders have worn out from heavy use and must be replaced
 The scheduled time has arrived for replacing folders and transferring infrequently
used folders to inactive storage
TYPES OF FOLDERS FOR MANUAL
RECORDS
 Suspension (hanging) folder is a folder with built-in hooks on each
side that hang from parallel metal rails on each side of a file drawer or
other storage equipment
 A below (expansion) folder is a folder that has a top flap and sides to
enclose records in a case with creases along its bottom and sides that
allow it to expand
 A pocket folder is a folder with partially enclosed sides and more
expansion at the bottom than an ordinary folder
FOLLOWER BLOCKS COMPRESSOR
 A follower blocks compressor is a device at the back of a file
drawer that can be moved to allow contraction or expansion of
the drawer contents
3. OUT INDICATOR
 OUT INDICATORS
 Out indicators is a control device that shows the location of borrowed
record
 These indicators contain a form for recording the name of the person
borrowing the record, the date it was borrowed, a brief statement of
the contents of the record, and the due date for return to storage
 When a borrowed record is returned to storage, the OUT indicator is
removed, to be reused thrown away, or saved and later used to check
the activity at the files to determine which records are active or
inactive
COMMON USED INDICATORS
• OUT Guides
• OUT Folders
• OUT Sheets
OUT GUIDES
 OUT guides is a special guide used to replace any record that has been
removed from storage and to indicate what was taken and by whom
 When the borrowed record is returned, the filer can quickly find the
exact place from which the record was taken
 An OUT guide is made of the same sturdy material as other guides
with the word OUT printed on its tab in large letters and a distinctive
colour.
OUT GUIDES
OUT FOLDERS
 An OUT folder is a special folder used to replace a complete folder
that has been removed from storage
 This folder has a pocket or slot into which a small card is placed
bearing the same information concerning who took the folder, the
date it was taken, its contents, and the date the folder should be
returned to storage
 The OUT folder remains in the file as a temporary storage place for
records that will be transferred to the permanent folder when it is
returned to storage
OUT FOLDERS
OUT SHEETS
 An OUT sheets is a form that is inserted in place of a record removed
from a folder
 An OUT sheet is often the same size and colour as an OUT guide, but
its thickness is that of a sheet of paper
 An OUT sheet remains in the file folder until replaced with the
returned record
4. LABELS
LABELS
 Label—device containing the name of the contents of a folder,
drawer, or container.
 Caption—a title, heading, or description of a record(s) printed on a
label.
 Container labels
 Guide labels
 Folder labels
CONTAINER LABELS
 the labels on drawers, shelf files, or other storage containers should
be clearly but briefly worded and inclusive enough to represent the
contents
 the containers usually have holders on the outside where card stock
labels can be inserted
 various colours are available on perforated card stock sheets
GUIDE LABELS
 labels on guides consists of words, letters, or numbers (or some
combination of these items)
 the guides have window tabs into which keyed captions have been
inserted example (NAMES WITH NUMBERS, A, APPLICATIONS, B,
BAILEY, BENNET, BOSWORTH)
 some guides (alphabetic or numeric guides) are available with pre-
printed information
FOLDER LABELS
 folder labels come as pressure-sensitive adhesive labels n continuous
folder strips or on sheets that can  be prepared with computer
software and affixed to folders
 a coloured stripe across the top is often used on a white or buff
coloured label
 sheets of labels for computer generation usually have columns of
labels across an 8 1/2 by 11-inch sheet
 many vendors have computer software programs that generate labels
or they provide a service for custom-printed labels
FOLDER LABELS
 bar codes can be generated along with a name on a label
 use of a bar code tracking system keeps a record of a file location at
all times
 when a file is checked out, a scanner reads the bar code
 information about the file and who checked it out is then updated
and recorded in a computer program
LABELS
5. SORTERS
SORTERS
 A sorter is a device used to arrange records into alphabetic or numeric
categories and to hold records temporarily prior to storage
 The records are organized alphabetically in the order they will be
stored to improve the speed and accuracy of actual storage in the
records system
 The type of sorter used depends on the volume of records in the
office
SORTERS
SELECTION OF STORAGE EQUIPMENT
AND SUPPLIES
SELECTION OF STORAGE EQUIPMENT
AND SUPPLIES
 Type and volume of records to be stored and retrieved
 Degree of required protection of records
 Efficiency and ease of use of equipment and systems
 Space considerations
 Cost
1. TYPE AND VOLUME OF RECORDS TO
BE STORED AND RETRIEVED
 An inventory of what is to be stored is a basic step in making the best
choice of storage equipment and supplies
 Records in different formats or media such as papers, cards, books,
computer disks, microfilm, videos, architectural drawings, or
computer printouts have special storage needs
 A record inventory also show the current volume of stored records
 Future volume and needs must be forecast
2. DEGREE OF REQUIRED PROTECTION
OF RECORDS
 Confidential or classified records require equipment with locks or
location in a records vault
 Records vital to the operation of the business need fireproof or fire-
resistant storage equipment
3. EFFICIENCY AND EASE OF USE OF
EQUIPMENT AND SYSTEMS
 The ease with which records can be found is a major consideration
 The simpler the system is to understand, the easier it is to use
 Also, less training of new employees is needed when the system is a simple one
 Time saved by personnel who store and retrieve records means dollars saved
 The ease of expansion or modification of a system or the addition of compatible
equipment will be important to meet the changing needs of an organization
4. SPACE CONSIDERATIONS
 Floor-weight restrictions, use of space to the ceiling air space or the
advisability of counter-type equipment or something in between and
the possibility of transferring part of the records to off-site storage
facilities affect space which in an office is costly
 Lateral, shelf, or rotary equipment can house more square feet of
record than conventional drawer file cabinet in the same square
footage of floor space
COST CONSIDERATIONS
 Cost of personnel needed to work with the records
 Compatibility of supplies and equipment
 Benefits of using the right type and quality of storage equipment and
supplies
 Cost of new storage equipment and supplies that must be purchased
 Advisability of using local vendors rather than purchasing from out-of-
town vendors
 Possibility of discounts for quantity purchases
2.5 CORRESPONDENCE STORAGE
PROCEDURES
ADVANTAGES OF ALPHABETIC
RECORDS MANAGEMENT
 Alphabetic storage does not require an index and is, therefore, a
direct access storage method.
 All records for correspondent names that begin with numbers written
as digits are filed before all alphabetic names according to alphabetic
indexing Rule 7.
 Storage is easy if standard procedures are followed.
 The alphabetic dictionary (A to Z) order of arrangement is simple to
understand.
DISADVANTAGES OF ALPHABETIC
RECORDS MANAGEMENT
 Misfiling is prevalent if rules for alphabetic storage are not established and followed.
 Similar names may cause confusion, especially when spellings are not precise.
 Transposition of some letters of the alphabet is easy, causing filing sequence to be out of
order.
 Names on folders are seen instantly by anyone who happens to glance at an open
storage container. Consequently, confidential or classified records are not secure.
 Filing under the wrong name can result in lost records.
 Related records with different correspondent names are filed in more than one place.
SELECTION AND DESIGN OF AN ALPHABETIC
RECORDS MANAGEMENT SYSTEM
 The total volume of records to be stored.
 The number of records in each alphabetic section and which letters of the
alphabet contain a large number of records.
 The expected activity in the files--an estimate of how many times records may be
requested.
 The length of time, records are to be kept.
 The efficiency of the filing personnel.
 The time and resources available for training personnel.
EXAMPLES OF RECORDS STORAGE
SYSTEMS
 The use of colour enhances the effectiveness of a records storage
system
 Example: all key units that begin with A are stored in white folders
with red labels
 If you see a yellow folder among the white folders, you know that
something is misfiled, and you can immediately place the white folder
with other white folders
 The use of colour has two meanings: Colour Coding & Colour
Accenting
COLOUR CODING
 Colour coding is using colour as an identifying aid in a filing system
 For example, different colours might be used to divide the alphabetic
sections in the storage system
COLOUR ACCENTING
 Colour accenting is the consistent use of different colours for
different supplies in the storage system
 One colour for guides, various colour for folders, one colour for OUT
indicators, and specific colour of labels or stripes on labels
COLOUR CODED FILING SYSTEM
PROCEDURES FOR STORING
CORRESPONDENCE RECORDS

 Records must be:

 Inspected
 Indexed
 Coded
 Cross–referenced (if necessary)
 Sorted
 Stored
 Storage Procedures
Inspect Check for release mark
Index Read content to determine filing
segment
Code Mark filing units on record
Cross-Reference Indicate record location under
alternate filing segments
Sort Arrange records alphabetically by
filing segment
Store Place record in appropriate folder
Retrieve Locate record by filing segment
INSPECTING
INSPECTING
 Inspecting - checking a record to determine whether it is ready to be
filed.
 A business records must not be stored until someone with authority
marks it to be released for filing.
 Whatever action the records requires, must be taken or noted prior to
storage.
 Anyone storing records must be certain that action has been taken or
noted in a reminder system such as a tickler file.
INSPECTING
 The copy of an outgoing letter would appear ready to be stored when
it is received by the filer for storage.
 However, in most offices, every original (or incoming) record to be
stored must bear a release mark.
 Release mark - an agreed-upon mark such as initials or a symbol
placed on a record to show that the record is ready for storage (“JJ”)
INSPECTIN
G
INDEXING
INDEXING
 Subject indexing - the act of describing or classifying a document
by index terms or other symbols in order to indicate what the
document is about, to summarize its content or to increase its
findability.
 It is about identifying and describing the subject of documents.
INDEXING
• Indexing - mental process of
determining the filing segment
(or name) by which a record is to
be stored and the placing or
listing of items in an order that
follows a particular system.
RULES IN INDEXING INCOMING
CORRESPONDENCE
1. On incoming correspondence, the name for storage purposes is
usually in the letterhead.
2. If a letterhead has no relationship with the contents of the letter,
the writer’s name or the writer’s business connection is used. The
letterhead name is disregarded for filing purposes. An example is a
letter written on hotel stationary by a person who is out of town on
a business trip.
RULES IN INDEXING INCOMING
CORRESPONDENCE
3. Incoming correspondence on plain paper (paper without a
letterhead-usually personal) most likely will be called for by the name
in the signature line, so this name is the one used for storage.
4. When both the company name and the name of the writer seem to
be of equal importance, the company name is used.
RULES IN INDEXING OUTGOING
CORRESPONDENCE
1. On the file copy of an outgoing letter, the most important name is
usually the one contained in the letter address.
2. When both the company name and the name of an individual are
contained in the letter address of the file copy of an outgoing letter,
the company name is used for filing unless the letter is personal or
unless a name in the body is the correct name to index.
3. On a copy of a personal letter, the writer’s name is usually the most
important and should be used for storage.
INDEXING
 If a special subject is used in an alphabetic arrangement (such as
Applications), the subject is given precedence over both the company and
individual names appearing in the correspondence.
 Often, the subject name is written on the correspondence at the top right.
 Sometimes two names seem equally important. One name is selected as
the name by which the record is to stored and the other name is cross-
referenced according to the rules
 In case of real doubt about the most important name, request clarification
from the records supervisor or the department from which the record
came.
CODING
CODING

Coding saves time when

refiling is necessary.
An un-coded record that is
removed from storage and
then returned at a later date
to be refiled, must be
indexed and coded.
CROSS-REFERENCE (IF NECESSARY)
CROSS-REFERENCING (IF NECESSARY)
 At times, a permanent cross-reference replaces an individual folder
to direct the filer to the correct storage place.
 Permanent cross-reference – a guide with a tab in the same position
as the tabs on the individual folders and is placed in a location that
is frequently assumed to be the location of that folder.
 The caption on the tab of the permanent cross-reference consists of
the name by which the cross-reference is filed, the word SEE, and
the name by which the correspondence folder may be found.
SORTING
SORTING
Sorting - arranging records in the sequence in which they are to be
filed or stored.
A sorting step precedes the actual storing.
Sorting should be done as soon as possible after coding and cross-
referencing, especially if storage must be delayed.
ROUGH SORTING
Rough sorting - arranging records in approximately the same
order as the filing system in which they will be placed.
After each record has been coded it should be rough sorted into a
pile of like pieces--all As, Bs, Cs are together, all Ds, Es, Fs are
together, and so on.
Records having fling segments that are numbers written as digits
are rough sorted into 100s, 200s, and so on.
FINE SORTING
Fine sorting - arranging records in exact order of the filing system in
which they will be placed.
Fine sorting records with numeric key units arranges them in numeric
order prior to storing.
Then the records are removed in sequence from all divisions of the
sorter and taken to the files for storage.
STORING
STORING

Storing - placing records into

storage containers.
Storing records correctly is very
important.
A misfile record is often a lost
record; and a lost record means
loss of time, money, and peace of
mind while searching for the record
TO STORE RECORDS, FILER MUST
REMEMBER THIS:
1. Remove paper clips from records to be stored.
2. Staple records together (if they belong together) in the upper right
corner so that other records kept in the folder will not be inserted
between them by mistake.
3. Mend torn records.
4. Unfold folded records to conserve storage space unless the folded
records fits the container better than when unfolded.
BEFORE PLACING THE RECORD INTO ITS
STORAGE LOCATION, THE FILER SHOULD:
1. Glance quickly at the container label to locate the place to begin
storage.
2. Scan the guides until the proper file section is located.
3. Pull the guides forward with one hand, while searching for the
correct folder. If none if these folder is in the file, locate the general
folder.
4. Check for an individual or a special folder for the filing segment.
BEFORE PLACING THE RECORD INTO ITS
STORAGE LOCATION, THE FILER SHOULD:
5. Slightly raise the folder into which the record is to be placed. Avoid
pulling the folder up by its tab, however, as continual pulling will
separate the tab from its folder. Raising the folder ensures that the
record will be inserted into the folder and not in front of or behind it.
6. Determine the correct placement of the document in the folder
because all records in the folder will bear the same coded name.
BEFORE PLACING THE RECORD INTO ITS
STORAGE LOCATION, THE FILER SHOULD:
7. Place each record into the folder with its top to the left. When the
folder is removed from storage and placed on a desk to be used, the
folder is opened like a book with the tab edge to the right. All records
in it are then in proper reading position.
8. Jog the folder to straighten the records if they are uneven before
replacing the folder.
SPECIAL POINTS TO REMEMBER:
 Never open more than one drawer in a cabinet at a time. A cabinet
can fall forward when overbalanced by having two or three loaded
drawers.
 The most recently dated record in an individual folder is always placed
at the front and therefore is on top when the folder is opened. The
record bearing the oldest date is the one at the back of the folder.
SPECIAL POINTS TO REMEMBER:
 Records that removed from a folder and later refiled, must be placed
in their correct chronologic sequence, not on top of the contents of
the folder.
 Records within a general folder are arranged first alphabetically by
correspondence’s names and then by date within each
correspondence’s records. The most recently dated records is
therefore, on top of each group.
USING TICKLER FILE
USING A TICKLER FILE
 Tickler file - a date-sequenced file by which matters pending are
flagged for attention on the proper date.
 A chronologic arrangement of information “tickles" the memory and
serves as a reminder that specific action must be taken on a specific
date.
 Other names sometimes used to describe such a fit are suspense file
and pending file.
 Basic arrangement of a tickler file is always the same: chronologic by
current month and day.
MANUAL TICKLER FILE
TICKLER DATABASE OUT FILE
MISFILED AND LOST RECORDS
MISFILED AND LOST RECORDS
MISFILED AND LOST RECORDS
 Look in the folders immediately in front of and behind the
correct folder.
 Look between folders and under all folders in the drawer or shelf
(records may have slipped to the bottom of the drawer or shelf).
 Look completely through the correct folder because alphabetic
order of sequence may have been neglected due to carelessness
or haste.
MISFILED AND LOST RECORDS
 Look in the general folder in addition to searching in the
individual folder.
 Check for transposition of names (DAVID MILLER instead of
MILLER DAVID) and alternate spellings JON, JOHN).
 Look for the second, third, or succeeding units of a filing segment
rather than for the key unit.
MISFILED AND LOST RECORDS
Look in the year preceding or following the one in question.
Look in related subject if the subject method is used.
Look in the sorter.
Be aware that the record may be en route to storage.
Ask the person in whose desk or briefcase the record may be to
search for it!
END OF CHAPTER 2