Chapter 1: Filing Systems

Overview

This chapter is a thorough introduction to filing systems. It is important that students are aware of the rationale behind choosing methods and equipment before utilizing a new system. Use this opportunity to emphasize the importance of managing information effectively with an appropriate filing system.

Lecture Notes

A. Analyzing Records and Records Systems

Records are official documents that should be stored for later use. Nonrecords are temporary and destroyed after usefulness passes.

1.    Classifying Records is done by their activity or by their importance, or both

a.    Record activity or use refers to a record being active or inactive.

b.    Importance of records can be broken down into vital, important, useful, or nonessential.

2.    The Records Cycle extends from the moment the record is created until it is disposed of. Refer to figure 1-1 to see the cycle in a flow chart format.

a.    Creation of records is taken care of by people who have the authority to do so. Review the list of considerations on p. 3.

b.    Utilization of records should be handled efficiently so that usage, storage, and retrieval follow specific procedures.

c.    Retention of records is based on each record’s value. Retention schedules are based on value that is determined by an appraisal.

d.    Transfer of records from inactive to active storage (and the reverse) can happen multiple times during a record’s life. Transfers take place with the perpetual or periodic transfer methods.

e.    Disposal of records is done once a record is no longer needed; procedures for purging or destroying records should be followed.

B. Records, Creation, Design, and Control

Records must be controlled throughout the cycle for efficiency and security; control in the creation and design phase makes for higher quality, improved productivity, reduced costs, and more effective storage and retrieval.

    1.        Conventional Records Formats should be formatted appropriately to make control of the information easier.

a.    Correspondence includes letters, memos, and emails.

b.    Business forms include constant information and variables.

c.    Business reports summarize an activity.

d.    Card systems are used as a means of filing 3x5 or 4x6 cards that reference other items.

e.    Other conventional records include engineering documents, maps, charts, catalogs, manuals, etc.

    2.        Nonconventional Records Formats have increased in use because of automation in offices. Point out the different spellings in disk and disc; this was discussed in the Office Systems Technology Text.

a.    Microforms are records that are stored on film and include microfilm, fiche, and aperture cards. Microforms can be packaged in cartridges, cassettes, or jackets. The microfilming process is summarized in figure 1-2 on p. 13.

b.    Audiovisual media includes photos, slides, and CD or cassette recordings.

c.    Electronic media includes information on magnetic disks, tapes, and CDs

C. Records Management Equipment Systems

Storage equipment is used to keep records safe during their useful life; costs represent 20% of the cost of maintaining a records storage and retrieval system.

    1.        Filing Equipment for Paper Storage is available in a variety of types.

a.    Vertical file cabinets are used to store paper documents in a vertical fashion; they can be designed for letter-size or legal-size paper and may contain two to six drawers.

b.    Lateral file cabinets are two to five drawers tall; they are similar to vertical files except the drawers are wider and open only 16 inches.

c.    Stationary shelving units are a form of lateral file with an open view of the files.

d.    High-density mobile storage includes sets of storage units on wheels that slide on tracks that are attached to the floor.

e.    Rotary file is also known as a carousel system; it is available in horizontal and vertical formats. The operator can use a rotary file to bring a file to the point of use by turning the file.

f.     Automated filing system has an operator that enters a code to let the system know what file is needed; a conveyor moves to the location of that file.

g.    Card file equipment is determined by the size of the cards used; equipment may be vertical, visible, wheel, or rotary style.

h.    Filing equipment for non-correspondence storage is determined by the type of system necessary to keep the record safe.

    2.        Equipment for Microforms Preparation and Storage is necessary to produce and use the microforms once they are developed.

a.    Microform cameras record the image; three types are available: rotary, planetary, and step-and-repeat.

b.    A processor is used for developing in a darkroom.

c.    A microform reader displays images on a viewing screen.

d.    A fiche reader helps locate images; a zoom lens allows enlargement and reduction of the image.

e.    A microform reader-printer does both; it allows you to view images and also print them.

f.     Microform storage equipment allows easy access while keeping the microforms safe.

g.    Automated microform retrieval equipment is used to store and retrieve microforms; they are available as self-contained units or remote-controlled.

    3.        Equipment for Optical Disc Preparation and Storage is necessary for transferring images to disc.

a.    Optical character recognition (OCR) scanners convert documents into digital images.

b.    Glass discs are heavier, cost more, and do not spin as fast; polymer discs have a faster access speed and the same life span as glass.

c.    Storage for optical discs is in “jukeboxes.”

d.    Intelligent retrieval methods are used to access information from the computer.

    4.        Equipment for Digital Storage is also necessary.

a.    The computer is the vital link between users and information in files and records.

b.    Office systems software is used to prepare records; file management is a critical issue because of the need to keep certain documents and purge others.

c.    OCR systems read typewritten, printed, or handwritten information and convert them into a digital form for processing.

d.    Optical discs can be used to store all types of documents.

    5.        Non-computer Assisted Storage/Retrieval Systems refer to those systems used with paper documents or records on microform that don’t need computer retrieval.

a.    Paper storage and retrieval systems have a variety of benefits, including:

·         File security

·         Space-saving system

·         Automatic charge-out features

·         Standardized filing procedures

b.    Microform storage and retrieval units require the following equipment:

·         A reader-printer

·         A microfilm camera

·         An indexing system

    6.        Computer Assisted Storage/Retrieval Systems are especially helpful because of the file management tools. Review figure 1-3 on p. 24 to further explain this type of system.

a.    Automatic indexing utilizes a file inventory, records usage, file management, and bar code indexes.

b.    Electronic filing uses a combination of word processing, information processing, and micrographics technology. It includes:

·         Storage of incoming documents

·         Storage of in-house documents

·         Document imaging

·         Database management

c.    Electronic mail messages should be stored, managed, and purged as necessary.

D. Utilizing Filing Classification Systems

Classification systems are used so records will be stored according to a set of rules; this makes retrieval systematic.

    1.        Needs Analysis for Filing Systems will assist in determining the best classification system.

a.    Identification of records problems might include overcrowding, misfiling, or lack of tracking system.

b.    Identification of records and their use will help trace their use throughout the organization.

c.    Retrieval of records helps determine a good filing arrangement.

d.    The number of records maintained will help determine the filing arrangement.

e.    The size of the organization will impact the number of users needing access to the records and the number of people needed to maintain the records.

f.     Users of the records must be able to work well with the classification system.

g.    The possibility of expansion will provide insight on the possibility of expanding the filing system.

    2.        Types of Filing Arrangements

a.    Alphabetic systems file by the name of the correspondent or document.

b.    Numeric systems code items with numbers.

c.    Alphanumeric systems code items with letters and numbers.

d.    Subject systems file by topic.

e.    Geographic systems file by location.

f.     Classification systems should be standardized and consistent.

    3.        Standardization of Classification Systems allows for consistency in setting up files and records and an effective records management program.

a.    Standardization of filing terms should be enacted throughout the organization; be sure everyone in the company is familiar with them.

b.      Documentation of filing procedures is important so that everyone is following the same rules. Discuss the problems that can occur if the standardization is not complete.

    4.        Identification Aids and Supplies

a.    File folders store documents pertaining to one correspondent, case, or account. Define Individual, miscellaneous, and out folders.

b.    Folder tabs are used for captions; various tab placements are available.

c.    Guides form an outline of the classification system.

·         Primary, secondary, out, and special guides are used.

d.    Color coding is used in an open-shelf system to show the starting and ending points for various sections.

E. Electronic Records Systems

    1.        Collection of Data Files are found in a database; the size and design of databases will vary.

a.    Data entry has to be done only once for each piece of information.

b.    Volume of information that can be stored in a database is very large; different storage devices may have to be explored.

    2.        Databases for a Variety of Topics allow for data to be combined and avoids duplication of data.

    3.        Quick Access to Data as information is needed from the database.

    4.        Records Tracking Systems automatically track in-and-out activity.

a.    Types of systems include database management software, commercial CBRM systems, and in-house developed software.

b.    Considerations in CBRM system selection are many. Be sure to review the list on p. 30.

    5.        Integration with Other Systems is useful with optical disc and micrographics technology. Examples include:

a.    CAR system with off-line indexes and off-line reader

b.    CAR system with online index and off-line reader

c.    CAR system with online index and online reader

d.    CAR system with online reader and minicomputer

Additional Resources for Students

Recommended readings (no texts should be more than two years old):

·         Kallaus, Norman and Judith Read Smith. Records Management.

·         Keeling, B. Lewis and Norman F. Kallaus. Administrative Office Management. South-Western Publishing Co.

·         Oliverio and Pasewark. The Office: Procedures and Technology. South-Western Publishing Co.

·         Quible, Zane K. Administrative Office Management – An Introduction. Prentice-Hall, Inc.

·         Ricks, B., A. Swafford, and K. Gow. Information and Image Management. South-Western Publishing Co.

·         Robek, Brown, and Stephens. Information and Records Management.

·         Scriven, Kozell, Myers, and Hapke. Professional Office Procedures. Glencoe/McGraw-Hill.

Current issues of periodicals or business publications are also an excellent resource. Some of the following periodicals have an accompanying Web site.

Current Periodical	Web Address
Gregg Reference Manual
IAAP Complete Office Handbook	http://www.iaap-hq.org/products/handbook.htm
Modern Office Technology
OfficePro	http://www.iaap-hq.org/officepro/toc.htm
The Office