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 Supplies

Record 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 collection
The 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.

[Link] 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:

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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,

11

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.

[Link]. 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

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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.

13

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.

14

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;

15

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:

16

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 Supplies

Filling 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

17

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.

18

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

19

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)

20

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

21

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 System

Records 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 accessed

22

Under 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 Records

Classification 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

23

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.

24

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 System

25

All 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

[Link]. Types of Filling System

What is filling?

____________________________________________________________
____________________________________________________________
____________________________________________________________
____________________________________________________________

26

Mention the different types of filling system

_________________________________________________________________________
_________________________________________________________________________
_________________________________________________________________________
_________________________________________________________________________
_________________________________________________________________________
_________________________________________________________________________
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 Filing
These 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"

27

because records are arranged first by broad categories (for example,

"grants"), followed by sub-headings ("2001"), followed by still other subheadings ("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 Filing

A 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

28

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 Filing

An alpha-numeric arrangement uses a combination of numeric digits and
alphabet characters to create a flexible filing system. Subjects may be

29

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.

30

[Link]. 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 Access
A 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 Access

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An 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. INDEXING

What 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.

33

Whenever multiple terms can be applied to the same records, a crossreference 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 Security

What 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.

35

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 have provided 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

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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.

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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.

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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 acts

Managing 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!

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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

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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.

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 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 Precautions
Draft 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

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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 Policy

Patron 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.

Aaaaaasecurity policy.
Require Users to Sign In

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No 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' Belongings
If 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.

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Train Staff
Staff 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!).

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As soon as the incident is over, document all the pertinent

information about the incident.

When You Discover a Loss After the Fact

Most 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.

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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.

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