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RECORDS MANAGEMENT © Thomson/South-Western
CHAPTER 6
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RECORDS MANAGEMENT © Thomson/South-Western
CHAPTER 6
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Alphabetic Records Management
Alphabetic Records Management—
a method of storing and arranging
records according to letters of the
alphabet
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Terms
Records management—the
systematic control of all records from
their creation, or receipt, through their
processing, distribution, organization,
storage, and retrieval to their ultimate
disposition
Storage—placement of records, on a
shelf, or in a file drawer Continued on next slide
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Terms
Storage method—a systematic way of
storing records according to an
alphabetic, subject, numeric,
geographic, or chronologic plan
Storage procedures—a series of
steps for the orderly arrangement of
records as required by a specific
storage method or system Continued from previous slide
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Storage Equipment
Storage equipment commonly used for
paper records
Vertical file cabinets
Lateral file cabinets
Shelf files
Mobile shelving
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Storage Capacity
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Comparison of Floor Space
(does not include aisle space)
Vertical file Lateral file Shelf files
Floor space 2.9 sq. ft 4.5 sq. ft. 3 sq. ft.
Drawer-pull space 2.0 sq. ft 1.0 sq. ft. 0 sq. ft.
Total 4.9 sq ft. 5.5 sq. ft. 3 sq. ft.
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Storage Supplies
Supplies
commonly used
for paper records
Guides
Folders
OUT indicators
Labels
Sorters
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Guides
A guide is a rigid divider used to
identify a section in a file an to facilitate
reference to a particular location.
Primary guide identifies a main file section
Special guide identifies an individual,
company, or subject
Continued on next slide
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Examples of Guides
Continued from previous slide
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Folder
Folders are containers used to hold
and protect records.
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.
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Folder Cuts and Tab Positions
File Drawer
Open-Shelf
Files
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OUT Indicator
Control device showing the location of
borrowed records
OUT guide or sheet replaces a borrowed
record
OUT folder replaces a borrowed folder
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Storage Supplies
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
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Selection Considerations
Type and volume of records
Degree of required protection of
records
Efficiency and ease of use of
equipment and systems
Space considerations
Cost
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Alphabetic System Advantages
System does not require an index.
All records for correspondent names that
begin with numbers written as digits are filed
before all alphabetic names.
The alphabetic dictionary (A to Z) order of
arrangement is simple to understand.
Storage is easy if standard procedures are
followed.
Continued on next slide
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Alphabetic System Advantages
Misfiles are easily checked by examining
alphabetic sequence.
The direct access feature can save time and,
thus, reduce costs of operation.
Related records from one name, either a
company or an individual, are grouped
together.
Continued from previous slide
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Alphabetic System Disadvantages
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.
Filing under the wrong name can result in
lost records. Continued on next slide
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Alphabetic System Disadvantages
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.
Related records with different correspondent
names are filed in more than one place.
Continued from previous slide
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Alphabetic System Design
Considerations
Total volume of records to be stored
Number of records in each alphabetic
section
Expected activity (use) of the files
Length of time records are to be kept
Efficiency of the filing personnel
Time and resources available for training
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Color
Color enhances the effectiveness of a
records storage system
Color coding is the use of color as an
identifying aid in a filing system
Color accenting is the consistent use of
different colors for different supplies in the
storage system
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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
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Tips for Indexing
On incoming correspondence, the name for
storage purposes is usually in the letterhead
On an outgoing letter, the most important
name is usually in the letter address
When both the company and the name of the
individual are shown, use the company name
On a personal letter, the writer’s name
usually should be used for storage
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Coded Letter
Release Mark
Letterhead on
incoming document
coded for storage
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Tickler File
A date-sequenced file
Provides reminders that specific action
must be taken on specific dates
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Misfiled and Lost Records
Result from improper indexing, coding,
and storage of records
Often delay or affect the work of
employees
Reduce an organization’s effectiveness
in serving customers