Filing systems

UNIT FOUR

RECORD STORAGE AND ORGANIZATION

4.1. Introduction

Record storage refers the equipment and system used to file records during their useful life time in an organization. For records which have value and worthy for the organization should be stored systematically so that records will be kept safely and maintained properly. Records management practices encompasses from controlling their creation up until their disposition and establishing effective and efficient filling system.Filling constitutes the following activities:

Developing and maintaining well-controlled file organization and protection procedures

Selecting proper storage equipment and supplies and

Providing classification and coding systems for record storage

Those records created in the creation phase should be kept properly in order to locate, retrieve and access as easily and quickly as possible. Records should also be secured from unauthorized access, theft and damage.

This section is devoted to discuss the storage phase of a records management program.

Objectives:

At the end of this unit trainees will be able:

Identify the different types of filling organization

Identify the different types of filling equipments and supplies

Select appropriate filling equipments and supplies for a record management program

Identify the different filling systems

Select and implement a filling system for a record management program

4.2. Organizational set-up of Records Management

There are several decisions that need to be made when you're setting up your records management program. One of the hardest decisions, and sometimes the most controversial, is whether or not your records should be "centralized" or "decentralized."

There are several issues to consider when making the decision on where your records should be located. One of the best ways to approach it is to review the advantages and disadvantages of each system and choose the one, or combination, that has the most advantages for your situation.

Centralized filing locations usually come in the form of a file room that serves the entire department or division. There are many benefits to having a centralized filing location:

In a centralized control model, one person or one group of people looks after the records management program. This person keeps track of which records are being created and where the records are stored. He or she also manages the scheduling and disposition of the records.

To pin point

A centralized filing system is:

One in which the records for several people or units are located in one, central location; and,

Generally, under the control of a records staff person or in the case of large centralized filing systems, several people.

Advantages: Responsibility is easily placed.

Effective use of equipment, supplies and space.

All related data kept together.

Reduces duplication.

Uniform service provided to all users.

Improved security.

Disadvantages: Records may be too distant from staff for adequate service.

Can result in increased personal filing systems.

Requires full-time staffing.

May require investment in more efficient filing equipment and/or automation.

Decentralized System

A decentralized filing system is:

One in which the files are located throughout the office, generally at individual work stations; and,

Usually controlled by the person who creates and/or receives them.

Advantages: Records located near staff creating and using them.

Does not require "extra" space needed for centralized files.

Does not require full-time staffing.

Staff feels more comfortable knowing they are in control of their own filing and retrieving.

Disadvantages: Confusion as to where information can be found, especially if staff member is absent.

Can result in "fragmented" documentation - information related to the same topic or subject filed in multiple places.

Individual staff members may not know how to properly maintain their files.

Lack of uniformity or consistency.

Combination /Mixed/ or Network system There are also ways to structure your program using a combination, or centralized/decentralized system, of these two approaches. Centralized control is established through a "records liaison" or "records manager" who is the centralized point of contact for records management in the office and who has responsibility for maintaining the office file plan and ensuring established procedures are followed.

Here are some examples where specific types of records are maintained in a central location while the rest of the records are maintained at individual work stations:

A centralized reference collection of documents;

A file room for files which are inactive but which are not ready to be sent to the archives

A public reference room for files which are accessed by the public.

Those records which are maintained at individual work stations are also part of the organization's filing system and included in the office file plan so that everyone in the office knows where the records are located and who is responsible for maintaining them.

4.3. Filing Equipments and SuppliesRecord storage equipment and supplies for a record management varies according to size and type of records as well as price and need of a company. Each organization should analyze different factors and reach at a decision as to what type of equipment and supplies should be acquired.

Under this section the different types of filling equipment and supplies along with the factors used to evaluate them are discussed.

Objective:At the end of this section, trainees will be able to:

Identify and justify the need for proper filling equipment and supplies Identify and grasp the different factors used to evaluate filling equipments

Identify the different types of filling equipments and supplies

Select proper filling equipment and supplies for a specific record management program

4.3.1. Filing Equipment

The filing equipment in your office has a significant impact on the efficiency and the effectiveness of your record keeping systems. The space in your office which is devoted to filing equipment is extremely valuable and is more costly than you might imagine. Determining the specialized storage equipment needed to adequately contain a collection is fundamental to planning your collection storage space. Properly contained museum objects are afforded basic preservation. Proper containment in specialized storage equipment also contributes to organizing, accessing, and securing the collection. Knowledge of equipment needs will help determine the space needed to store your collectionThe cost estimate cited above demonstrates the high cost of maintaining files in an office. However, it can also be used to show the high cost of using inefficient and costly filing equipment in office space. Almost all types of filing equipment are in use on every organization. Each type of equipment has advantages and disadvantages and its own degree of cost efficiency (see table below).

Filing efficiency may be determined by dividing the equipment's floor space (access space required) by its linear-filing feet capacity. The resulting number is the efficiency rating. A higher number denotes greater efficiency.

4.3.1.1 Selecting filing Equipments

There are several things that you should consider when buying filing cabinets. They also apply to other records storage equipment, such as map cabinets and microfilm cabinets

I) Measurements for filing cabinet:

1) Size of the cabinet

2) Drawer extension (does not apply to open shelf)

3) Space to stand in front of cabinet

II) Space Restrictions:

Office space is expensive, so you should try to choose filing cabinets that make the best use of your space. When you measure for filing cabinets, remember to include the space that you need to pull out a drawer and to stand in front of the cabinet.

III) Storage Requirements/Need/:

To figure out how much storage space you need, first inventory your active records. Then figure out your future needs by looking at how fast the volume of files grows each year. For example, if you expect that the volume of active files will grow by ten percent per year over the next five years, you will need 50 percent more storage space than you have now. It is a good idea to include an extra 15 percent more storage space for contingencies.

IV) Security Requirements:

You may have certain groups of records that require a higher degree of security. These records should be stored in locking cabinets. You may want to store vital or essential records in equipment that has a high fire rating. Secure and fire safe cabinets are more expensive, so they should only be purchased to meet a specific need.

V) Equipment Costs:

You should figure out your departments storage, space, and security requirements before you begin to look how much the filing cabinets will cost. Different types of cabinets have different storage capacities. When you compare prices, adjust the figures so that you are comparing costs for equal amounts of file storage space. Its affordability for the organization should be assessed carefully.

VI) Operational Costs:

The main ongoing operational cost is for the supplies. Legal-sized and letter-sized file folders do not cost the same amount. Likewise, end-tab and top-tab file folders are different prices.

VII) Physical Aspects of Records:

In some cases, the physical format of the records will make your purchasing decisions for you. Special media, like maps, drawings, videos, films, microfilm, and diskettes, may require special storage equipment.

VIII) Retrieval Efficiency:

You should also think about how many people will be using the cabinets, and how they will retrieve records from it. Open shelf filing cabinets lets a large number of people access the files at the same time. Vertical, lateral, and mobile cabinets work best if only one or two people are accessing the files at the same time. You may also need to take someones physical abilities into consideration. For example, a person in a wheelchair may not be able to reach files that are in the top drawer of a tall cabinet.4.3.1.2. Types of Filling equipments

Filing equipment is produced in a variety of styles and each style has inherent advantages and disadvantages. There are trade-offs between filing convenience and protection and cost efficiency. Purchasing filing equipment is a complex matter and input from the users is invaluable. The staff of the records management of a certain organization can obtain guidance and advice in the purchase of filing equipment that meets the need of your office with the greatest cost efficiency from producers etc.Some of the most popular types of filing equipment used by most organizations are cabinets, shelves, lateral files and drawers. They are discussed here in detail.

A) File Cabinets: There are four commonly types of filing cabinets which can be used for storing paper records.

1. Vertical File often referred to as standard cabinets, are commonly used in small offices. They have either four or five drawers and can be locked for file security. Vertical filing cabinets are the most common type of filing equipment used in individual offices on an organization. They are available in a variety of materials and a number of sizes. The larger legal size cabinets are significantly less space efficient than the more common letter size cabinets. The more drawers a unit has the more space and cost efficient it is; two-drawer or three-drawer legal size vertical filing cabinets are among the least efficient records alternatives available.

Vertical filing cabinets in general require a large amount of floor space. Not only do they require several square feet of floor area to sit on, but full access to the drawers requires an average of 42 inches of aisle clearance. An advantage of vertical filing cabinets is that they can provide fire protection when units are specially insulated, and they do provide controlled access when equipped with locks. Locks on vertical filing cabinets are generally not of sufficient quality to actually provide security, but they can provide controlled access. Vertical filing cabinets are most suitable for small record series that are not accessed frequently and contain files in either alphabetic or topical arrangements.

2) Lateral File Cabinets Often referred to as horizontal files or open-sided cabinets, also are popular in small offices. They allow files to be accessed horizontally instead of vertically, and come in four or five drawer sizes. They can be locked for file security. Lateral filing cabinets primarily come in 32-, 36-, and 42-inch lengths and in 15-inch depths. The lateral filing system holds side tab folders or top tab file folders which are normally filed from left to right, much the same way as in the shelf file arrangement.

Most popular units have pull-out units which permit top tab or side tab file folders to be used. The pull-out drawer features generally require about 30 inches of aisle clearance space for full access.

These cabinets are among the most versatile of all filing units and can be used equally well for legal and letter size files. However, they are not very economical in terms of cost or floor space requirements. The cost of lateral cabinets and the space that they occupy is greater per filing inch than either vertical cabinets or shelves. Moreover, it requires a space for the person who accesses the files. Like vertical files, lateral cabinets offer the advantages of controlled access with locks and some fire resistance.

3) Shelf File Cabinets

Shelf filing systems store records on open horizontal shelves rather than in closed drawers. File folders of either legal or letter size are stored in rows with side tabs facing outside for ease of reading and retrieval. While a few units of this type do have doors, the vast majority are sold without doors; therefore, files are protected neither from fire nor unauthorized access. Equipping shelf files with doors adds significantly to their cost and negates many of the advantages of easy access by many users.

Shelf files are ideal for large record series and work equally well for numeric or alphabetic filing systems. It is a system which works best when entire case files are pulled and not individual documents within a file folder. Color coding of file folders adds to the increased filing accuracy which can be achieved with open shelf filing systems.

The open shelf file unit is the most economical of all available filing systems and can provide answers to problems originating from rising file costs, lack of office space, and file retrieval difficulties.

4. Mobile Filing Systems: Mobile filing systems are designed to maximize storage space and minimize retrieval times. They are most commonly used in central filing rooms.

Each type of cabinet has good and bad points. If you choose your filing cabinets carefully, you will increase the efficiency and cost-effectiveness of your departments records management program.

File equipment and its advantages of space compaction should be very carefully analyzed before it is adopted over more conventional file storage systems. 4.3.2. Filling SuppliesFilling supplies are components of a filling system designed and used for efficient and effective storage and retrieval of records. The following are the main filling supplies used in a record management program:A. Guides

B. File folders

C. Labels

A. Guides Guides are heavy cardboard sheets that are the same size as the folders. They have tabs which indicate the notation or the mark that the guide provides information which is named as a caption. Guides serve as "signposts" to lead the searcher to specific portions of the file or folder. Guides may be used within a drawer to highlight a primary classification, to identify a record series, to highlight a specific year, or may be used within a record series to identify portions of the file as required.There are three types of guides

A) Primary guides: These guides highlights the major divisions and subdivisions of records contained in each drawer of a file cabinet or on each shelf. B) Secondary Guides/Auxiliary or special name guides/: are subdivisions of the primary guides so that they are used to show the exact position of each specific record in a folder or drawer. C) Out Guides: It is a guide placed in a folder or drawer in place of a record taken out for some purpose. In other words, it is a reminder for the inexistence of a record at its right place so that the record officer will aware the record is not misfiled and lost rather it is on loan. All type of guides are illustrated on the following picture

B) Folders: A file folder / folder is constructed from heavy paper sheets used to hold individual files or records together for organization and protection. File folders usually consist of a sheet of heavy paper stock or other thin, but stiff, material which is folded in half, and are used to keep paper documents

C. Labels: For paper files, identification and labeling allows an office to maintain physical control over current files as well as manage growth of new files. Labeling serves as a visual aid by identifying individual record series and by identifying folders within each series.For electronic files, identification and labeling allows an office to maintain intellectual control over current files as well as to manage growth of new files. Labeling serves as an access tool which allows individual documents to be retrieved in an efficient manner.

When working with paper files three levels of file identification and labeling help simplify and facilitate filing and retrieval:

drawer or shelf labels

file guide labels (guide cards)

file folder labels

Drawer or shelf labels

Labels should be typed in uppercase and include:

primary classification secondary classification (record series)

dates

File guide labels/Tabs

As it has been said guides provide information about the content of a drawer, folder etc. These pieces of information are expressed using labels. Type labels in uppercase and show: primary classification (as appropriate)

secondary classification (record series)

File folder labels

File folder labels should include:

file code (if used) or full record series title folder title

date(s), usually inclusive dates, of the file contents

Electronic files

Electronic files follow many of the same file identification and labeling guidelines as paper files. Records are organized by directories which act as the primary classification. Each directory contains folders which act as record series. Finally, each folder contains individual documents whose names should represent their subject matter. 4.4. Filling SystemRecords management is the science of determining how files will be arranged, categorized, accessed and stored, and in what format. Proper filing practices ensure that the right information will be in the right order, at the right time, at the right place, to be retrieved for the lowest possible cost.

The Records Officer of an office is the "architect" of the filing system in use in that organizational unit. Establishing an efficient filing system involves planning the design of the system to ensure productive workflow. This includes deciding how files will be arranged, type of access, the classification system to be used, coding and indexing schemes, and selecting the proper equipment and supplies

If the proper records are not kept and filed so that they can be retrieved when they are needed, then they serve no useful function. Filing can be an extremely complex task with very intricate systems. Filing systems may be direct or indirect and require an intervening index to be accessedUnder this section we will discuss those concepts which are related with the filling of records of an organization.

Objectives:

At the end of this unit, you will be able to:

Familiarized with the different types of filling systems

Explain the advantages and disadvantages of different types of filling system Describe the criterions to be considered in selecting a filling system

Select and implement appropriate filling system for a record management program 4.4.1. Classification of RecordsClassification is defined as the systematic identification and arrangement of business activities and/or records in to categories according to logically structured conventions, methods and procedural rules represented in a classification system.A classification is a grouping of records with common characteristics or which document similar functions. The point of having a classification system is to keep all like records together, which, in turn, expedites records retrieval and maintains file integrity.The prime purpose of a classification scheme is to provide control and consistency over the vocabulary used for titling of files and indexing records. It does so by providing listing of approved terms for file titling and indexing. Knowing which terms to search on means that searches will be more efficient and retrieval of the right records is facilitated.

Information created, received, and maintained as evidence and information by an organization or person, in pursuance of legal obligations or in the transaction of business.

It is clear that classification is a valuable records management tool that can be used for a variety of different activities. By applying classification schemes based on business functions, records can be indexed and titled and we can determine how they should be kept, how they should be stored, who should have access to them and how long they need to be retained.

The file classification Scheme is a starting point for the creation of files across an organization, it is not meant to be a complete tool to meet every file title need and therefore does not try and provide for every file title across curtail. The classification Scheme is not an index of file titles but simply a tool to assist staff to consistently title files and build the areas file index.

Generally, if the volume of records exceeds two file cabinets and consists of multiple records series, then a files classification system should be considered. Classification systems sort records by major headings and subdivisions. The major heading name usually is decided by the major function or main purpose of the records; the subdivision would be a small component of the major function. For example:

Major Heading: Human Resources Department Sub-Heading: Payroll Section Tertiary Heading: Payroll Timesheets

This filing system is often called encyclopedic, because the arrangement is the same as that used in encyclopedias.

A dictionary classification system is straight alphabetic, and many records managers find it easier to use a dictionary rather than invent one. Of the two classification systems, the dictionary system is simpler to operate.

A classification system is usually considered when:

The current filing system produces excessive misfiles.

Various subjects are filed by the same name.

The method for filing documents varies from user to user.

The volume of records is so large that an index is necessary to locate a file quickly. 4.4.2. Filling SystemAll written records have one thing in common: If something is written down, then what is written is important enough either to be filed in a place where it can be retrieved, or a conscious decision to destroy it needs to be made. If there were no need to return to information, there would be no need to write it down. Both official records and grocery lists have life cycles, whether we file them in drawers or in our wallets.

The first step in creating a filing system is to develop a file plan. It specifies the logical order of documents or files and the arrangement or scheme by which documents may be identified, stored and retrieved. The plan consists of:

Selecting the file arrangement (e.g. alphabetical, numerical, alphanumeric, etc.)

Developing an index

Planning file system maintenance 4.4.2.1. Types of Filling SystemWhat is filling?

________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________Mention the different types of filling system

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The most common methods of arranging documents are alphabetical, numerical, alpha-numeric, chronological, subject and geographical. The file arrangement should be based on how the information will be retrieved.

I) Alphabetical FilingThese may be topical or classified arrangements. Topical filing arranges files in straight alphabetical order. For example, subject correspondence would be arranged from A-Z, based on the name of the subject. This method is also called the "dictionary" method because it is the method used in dictionaries.

Classified filing places related documents under a major sub-heading. For example, customer complaint correspondence may be filed under the general heading of customer relations. An alphabetical arrangement also is appropriate for filing records that are arranged by geographical locations, such as cities, towns or counties. This system is also called "encyclopedic" because records are arranged first by broad categories (for example, "grants"), followed by sub-headings ("2001"), followed by still other sub-headings ("records" or "security").

Advantages of Alphabetical Filing

An index to records may not be needed.

Can be effective, if everyone adheres to filing rules.

Permits browsing through files.

Disadvantages of Alphabetical Filing

More misfiling occurrences than in numerical systems. Misfiles occur frequently with alphabetical filing due to different interpretations of order. For example, the prefix "Mac" and "Mc" may be filed in various positions if users are not adhering to the same rules of alphabetical filing.

Name changes can cause problems with retrieval.

It becomes inefficient and cumbersome in large systems.

Unauthorized persons can easily find records.

II) Numerical FilingA numerical arrangement places records in order from the lowest number to the highest. This method also often tells the searcher which files are the oldest (the lowest numbered files) and which are the newest (the higher numbered files). A numerical scheme is easier to comprehend than alphabetical filing and may have fewer misfiles. Numerical filing by file number, social security number, chronologically or by patient or case number is common. Records that have preprinted numbers on them such as checks, invoices, purchase orders, and vouchers also are suited for this filing arrangement.

Advantages of Numerical Filing

Users understand straight numerical sequences (1,2,3,4,5,6, etc.) quicker than some alphabetical schemes.

Filing expansion is easier, because new numbers may be assigned without disturbing the arrangement of existing folders.

Misfiles can be quickly identified because the number out of sequence is easily detected if color-coding is used.

Disadvantages of Numerical Filing It is what is called an "indirect method" because if a requestor asks for a file, it is asked for by its name. If the system is numeric, then the researcher must first look at an index which cross-references the number with the name.

The file system is always growing in one direction at the end. When new files are created and old ones are retired, file personnel must continually shift the files backwards to make room for new files at the highest number end of the system.

III) Alpha-Numeric FilingAn alpha-numeric arrangement uses a combination of numeric digits and alphabet characters to create a flexible filing system. Subjects may be substituted with alphabetical or numerical codes. An index is needed to use the system effectively. For example, ADM-001 could be a code for Administrative files, Director's Correspondence. All records that relate to this subject would be filed under that particular code.

Advantages of Alpha-Numeric Filing

Codes eliminate the need for long titles.

File security is increased because a user must know, as in a purely numerical system, the meaning of codes before accessing files.

Disadvantages of Alpha-Numeric Filing

Users must first consult an index before accessing files.

Users must be trained, and, even then, one user may interpret where to file a document differently than another, leading to confusion and a breakdown of the filing order.

Misfiles are common and are difficult to detect. IV) Subject filling system: it is the one which files records according to the subject, theme, idea and topic of records

V) Geographic Filling: Uses the location of the files in filling them. Filling depends on the place where they are received or where they were created VI) Chorological Filling: the date in which the record is created or received is taken in to consideration to file records. 4.4.2.2. Access Mechanism Another aspect of creating a file plan is deciding how files will be accessed. The two methods of access are direct access and indirect access.

Direct AccessA direct access plan allows the user to access the file without first referring to an index. Direct access may be ideal for small offices that produce a low volume of records. (Example: If it is easier to find information by a person's name, the system would be alphabetical. One looks for the file directly by the name.)

Advantages of a Direct Access System

Eliminates the need for an index.

Allows users to browse through files.

Time associated with filing and records retrieval is reduced.

Users require little or no training to access the system.

Disadvantages of a Direct Access System Filing for large systems becomes cumbersome.

Selecting terminology names may be difficult with subject files.

File captions may be longer than codes; filing is tedious.

Indirect AccessAn indirect access system requires the use of an index or codes to locate a file, such as assigning a number to a file (e.g., case number, project numbers, patient numbers). An indirect access system generally is used for large or complex filing systems. It may require the use of automated equipment to locate the files, as well as knowledge of the coding system. (Example: If a person comes to look for his/her file, but the system is numeric, the clerk assisting the individual must first look up the person's name in order to find the number of their file.)Advantages of an Indirect Access System

Codes are easier to note and refer to on a document or folder than word captions.

Sorting is easier.

Greater accuracy in filing and retrieving is achieved with the use of codes.

Security of the files is enhanced because users unfamiliar with the system will have difficulty accessing documents.

Disadvantages of an Indirect Access System User access is dependent on the accuracy of the index.

Coding and indexing are time consuming.

Browsing is not feasible.

4.5. INDEXINGWhat is and index?

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What about indexing?

____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________Thank you for trying the question, now read the description given below.

An index is a listing of files arranged alphabetically or numerically that is used to determine where files are located. If you have an indirect access filing system (like one that is arranged numerically), you must have an index in order to find the file. The most common type of index is called a relative index. It alphabetically lists the various combinations of how records might be requested. If one is looking for property deeds, for instance, one might look under "Deeds, property." If one is looking for the Department of Highways Maps, one might search for "Maps, Department of Highways." Both the headings (Deeds, Maps) and sub-headings (property, Department of Highways) will be arranged in alphabetical order. This type of index is used in most published material such as books or periodicals. Any reference book or textbook can be used to see an example of this.

Whenever multiple terms can be applied to the same records, a cross-reference is created to the indexed topic. The cross-reference acts as a pointer to redirect the user to another location where the file can be found. For example, patient records can be cross-referenced by patient number, name and Social Security number. However cumbersome it may seem to do this at the outset, if those responsible for creating individual files are taught to index those three parameters each time a file is created, the process becomes routine and easy very quickly.

If a computer database is available, or the software to create a spreadsheet can be bought (many can be bought off the shelf from office supply stores), that's ideal. Through keywords or descriptors, documents and their locations can be accessed in a matter of seconds. For those who are not able to do this and must budget for it in the future, the time to set up the index manually is not wasted. Any system that is created electronically must have first created an index manually.4.6. Records Management and SecurityWhat do you understand by the term security?

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Why we need a security for our valuable records?

_______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________What are the possible threats `for valuable records?

______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________Have you tried the questions? Thank you! Proceed to the discussion given below.

Caring for your historical and valuable records involves both managing your records collection and managing the environment that your records are in. Your building and storage areas dont have to be part of a specially designed facility in order to provide adequate protection for your records collection.

In this lesson we have discussed several aspects of the physical environment--from leaking roofs to different levels of shelving. The outside shell of your building ultimately needs good routine maintenance and care in order to adequately protect your records. The storage areas need to be the best that you can provide and I haveprovided good, better, and best scenarios for you to consider. Do the best you can with what you have, and work to meet the good standard in order to provide the minimal amount of protection for your historical records collections.

Building security refers to the measures that are taken to address the physical safety of the building and the collections housed within it.

When addressing security issues, you address the

Physical security of the facility

Management of your Records

Management of your users

Physical Security

Your building, and in particular your storage areas, must be secure during and after normal working hours. Security measures need to prevent unauthorized entrance to the building as well as unauthorized removal of collections from the building. There are six practical things to consider about the security of your facility.

1. Doors: They should be strong and well constructed, as should their frames. Did you know that in most burglaries the door is broken down?

Security measures should protect both your building and your collections. Security measures should protect both your Security measures should protect both your building and your collections building and your collections.

2. Locks: A lock is a must for records storage and for reference and workspace. Deadbolt locks that have a bolt separate from the knob are vital.

3. Windows: They should always be locked and secured. Depending on your location, you may also want to consider gates and grills as an extra security precaution.

4. Alarms: These are recommended to detect after hours entry, although they may not be feasible for every program. If you dont have alarms, work with your local police to see if they will drive by your facility on a regular basis.

5. Keys:These should be carefully issued and tracked.

6. Box labels: Box labels can actually be a security measure. Labeling the boxes with as little information as is necessary for staff to retrieve collections will make it much harder for an unauthorized person to find items of value.

Security systems may be beyond the ability of many historical records programs to implement. However, modern alarm systems are becoming more common and less expensive. If you have, or are planning to install, a security system, dont rely on it as your only security measure most thefts of and vandalism to collections occur during working hours and as a result of human error. A security system wont protect your facility and collections against such actsManaging Records Effectively Collection security means making sure that historical records dont disappear. Anyoneincluding staff, users, maintenance and housekeeping staffcould be the source of a security problem. Managing your collections well is a vital component of security. You wont know if something is missing from a collection if you dont know what you have and where it is!

Some collection management activities that will increase the security of your collections are to:

Periodically inventory all your collections so you know what you have and where it is.

Organize storage areas for quick and easy inspections. Staff should be able to notice quickly if something is missing or out of place. Boxes should be clearly labeled and in an obvious order, so missing items are noticed easily.

Create procedures to check collections before and after researchers have used them to make sure collections are intact. Staff should look at the collections before use to make sure the collection is complete and again after use, to make sure nothing is missing. Use call slips, sign-out sheets, and other records to track the use of collections.

Never allow researchers unsupervised use of any materials.

Keep backup copies of all your finding aids. Finding aids provide detailed information about the collection, helpful both to staff and researchers, but they may be at risk for theft or loss.

Record a description and possibly an image of particularly valuable materials to help with identification and recovery if a theft occurs. If possible, provide insurance coverage for particularly valuable materials

Patron Management

Patron theft and vandalism can also be a problem. There are many reported incidents of users stealing historical items. Some precautions you should take are to:

Require researchers to present a valid photo identification card before using collections; some programs make copies of the identification and add it to the users file.

Enforce rules for researchers, such as leaving all personal belongings in a particular area, limiting the number of items from a collection a researcher can use at one time, and rechecking collections when the researcher is finished with them.

Close the storage areas to researchers; have staff retrieve the items and deliver them to the researcher.

Control access to the area the researchers use; have only one exit that requires users to walk past a reference desk or other staffed area.

Supervise researchers; always have someone in the room who can see researchers clearly.

Know whats in your collection so you can tell when something is missing.

Use and retain call slips so you can track what a particular researcher used.

Implementing Security PrecautionsDraft Some Regulations!If you dont already have them, you should draft security regulations for your historical records program. Many programs choose to use two sets of regulations--one for staff and another for users. However you do it, security concerns should be built into all your policies and procedures.

Staff related security regulations should include:

A statement about the importance of ensuring the security of the collections

A statement of an appointed staff person who is in charge of security

Rules for staff access to storage areas

Rules governing key distribution

Rules for staff requesting and using collections for their own research

Information about existing security systems

Procedures that detail what staff should do if there is a suspected or real security issue

Post Your PolicyPatron security regulations should include the precautions we discussed above in the precautions list. Patrons should be made overtly aware of your security policy. Give them a copy of it; post it in an obvious place; and, most importantly, dont allow exceptions to the policy.

INCLUDEPICTURE "http://www.cslib.org/archivesbasics/IntroArch04/notice.gif" \* MERGEFORMATINET Aaaaaasecurity policy. Require Users to Sign InNo matter how small or understaffed your program may be, you must require your users to sign in and you must keep a record of the materials they use. Provide an area for users to work in that is visible to staff (paid or volunteer) and where it is difficult for them to leave the room or building unobserved.

Check Users' BelongingsIf supervision of researchers isnt always possible, it is VITAL that collections are checked after being used. Some programs ask users to have their belongings checked when they exit the building. Certainly this can be awkward, but most users will be cooperative if the reasons for the precautions are clearly explained to them. Do not search anyones belongings without their consent; and, if you choose this method, obtain some legal counsel before deciding upon how to implement it.

Responding to Security Problems

Put Someone In Charge Appoint someone on your staff to be in charge of security issues. This person should be responsible for conducting assessments of existing security measures and making recommendations for changes that need to be made. Your security manager should also create guidelines for responding to security incidents. This person should work with the local police department on how to handle security incidents.

Train StaffStaff should be trained in dealing with security incidents. Be sure to contact your local police department, who can help you understand the legal parameters of dealing with security incidents. You must clearly understand what your staff can lawfully do when security incidents occur. Some basic guidelines are below:

Staff should not take any action unless the incident was witnessed or material is proven missing. (If the materials being used were inspected before AND after patron use and materials were undoubtedly missing after use by this specific patron.)

Invite the patron into an office or another area, with a second staff member present.

Dont provoke, touch, or coerce the patron.

If the patron agrees to be detained, contact the local police and await their arrival.

If the patron insists on leaving, one staff person should notify the authorities while a second staff member carefully escorts the patron out of the building (and records the plate number of the patrons automobile!).

As soon as the incident is over, document all the pertinent information about the incident.

When You Discover a Loss After the FactMost security incidents are noticed after the fact, making it harder to identify the perpetrator. In these cases, you should:

Determine exactly what is missing.

Contact the police.

Contact your insurance company.

Document all your actions thoroughly.

Summary

For future reference, records should be stored well. However, in storing files, they should be organized so that locating, retrieving and accessing them will be very easy.The first task in filling system is selecting organizational set-up of the system. There are three major filling systems: centralized, decentralized and mixed filling system. Each of them has their own advantages and disadvantages. However, the mixed system used in most offices. In addition, appropriate filling equipments and supplies should be selected. Each type of filling equipment has its own advantages and disadvantages based on the criterion that we employ to evaluate them such as cost, access speed, and security. Guides, folders and labels are the main types of supplies. After selecting appropriate equipments and supplies, the next task is classifying records properly so that they can be stored and accessed easily. There are five major classification systems. These are alphabetical, numerical, alpha-numeric, subject and geographic classification system. Each of them takes different mechanisms to classify records. For example, the alphabetical classification system uses alphabets to classify. Indexing is also the other major activity done in organizing records. It makes storage and access very convenient for the user. Direct and In-direct access can be made for records organization.

Security is the other issue that should be considered in designing and implementing filling system. It should protect records from unauthorized reference, loss and theft. Other mechanisms should also be set-up to do so such as educating patrons, locking etc. PAGE 28