Chapter 1

The Managerial Process

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by Zane Quible Pearson Prentice Hall
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 Responsibilities of the
Administrative Office Manager

Planning

Controlling Organizing
Directing Staffing

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 Challenges Affecting the Administrative
Office Manager
Coping with governmental regulations
Coping with new technology
Enhancing organizational productivity
Accommodating diversity

Serving as change agent

Accommodating globalization
Dealing with office systems that
fail to perform as expected
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Qualifications of Administrative Office Managers

1. Completion of relevant courses.

2. Specialized knowledge of pertinent areas.
3. Capable of leading.
4. Commitment to ethical behavior.
5. Capable of delegating.

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Roles Defined as a set of behavior and job
tasks employees are expected to
perform, including:

Decision-making roles

Information-management roles

Interpersonal roles
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Skills Defined as abilities individuals possess
that enable them to carry out their
specified roles well.

Technical skills

Conceptual skills

Human skills

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 Enable the manager to
Conceptual Skills perceive quickly how one
phenomenon may impact
on another.
•Help managers determine the full impact of a
change or a variety of changes.
•Often seen as possessing a “fifth” sense in
dealing with organizational matters.
•Some conceptual skills are learned; others are
intuitive.

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by Zane Quible Pearson Prentice Hall
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 Enable a manager to
Human Skills maximize cooperation of
subordinates, motivating
them, or maintaining
their loyalty.
•Skills give the manager greater insight into
working effectively with each subordinate in each
situation.
•Can be learned through on-the-job training or
through courses.
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 Are often important in
Technical Skills selecting an individual
for his or her first
managerial job.

•Nature of skills needed is determined by the

manager’s areas of responsibility.
•Skills are typically acquired through training.

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 The combination of technical skills,
conceptual skills, and human skills
used by an administrative office
manager varies from situation to situation.

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 Evolution of Management Theory

Scientific
Management

Modern Administrative
Movement Movement

Human Relations
Movement

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by Zane Quible Pearson Prentice Hall
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 Scientific Management

Popular during the Conceptualized by

late 1800s and Frederick W.
early 1900s Taylor

Goals

1. Increase output of employees.

2. Improve operating efficiency of management.
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 Scientific Management:
Based on Time Study and Motion Study

Concerned with amount of time

Time Study task completion takes.

Concerned with efficiency of

Motion Study motion involved in task
performance.
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 Administrative Movement

Popular during the Conceptualized by

1930s Henri Fayol

Concepts

1. Focused on whole firm.

2. Management functions were identified during
this era.
3. Comprised of a group of universal principles
involving management.
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 Human Relations Movement

Emerged during the Elton Mayo was a

1940s and 1950s proponent

Concepts

1. Emerged because of a failure of organizations

to treat their employees in a humane manner.
2. Believed that the human element had a greater
impact on determining output and reaction
to change than did the technical factor.
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 Modern Movement

Began in the early

1950s

Quantitative Nonquantitative
Two Approaches
Approach Approach

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Quantitative Known as the operations
Approach Approach.

Nonquantitative Known as the behavioral

Approach sciences approach.

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 The modern movement is currently heading
toward the systems approach.

The organization is considered to be

comprised of a number of
interdependent parts.

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 Operations Approach

1. Is concerned with decisions about which operations

should be undertaken.

2. Is concerned about how they should be carried out.

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 Behavioral Sciences Approach

Is concerned with the scientific study of observable

and verifiable human behavior.

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 Contingency Management

Other
Management
Concepts

Theory Z Total Quality

Management (TQM)
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 Contingency Management

Recognizes that no one best way

exists in all situations.

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 Total Quality Management (TQM)
(1 of 2)
Puts emphasis on teamwork, empowerment of
employees, and organization-wide recognition.
Common Elements
1. Focus on customer satisfaction.
2. Ongoing improvement of the organization’s
products and/or services.
3. Work teams based on empowerment,
trust, and cooperation.
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 Total Quality Management (TQM)
(2 of 2)

Puts emphasis on teamwork, empowerment of

employees, and organization-wide recognition.

Common Elements
4. Statistical measurement techniques designed to
identify causes of production problems and to
provide benchmark data.

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 Theory Z

Assumptions

1. Employees have lifetime employment.

2. Employees are hired for their specific talents.
3. Decision making uses a consensus process.
4. Managers and employees trust one another.
5. Managers are concerned about employees’
well-being.
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 Chapter 4

Office Layout

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by Zane Quible Pearson Prentice Hall
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 Benefits of Efficient Layout

1. Provides effective allocation and use of floor

space.
2. Creates a pleasant working environment.
3. Has a positive impact on clients.
4. Facilitates efficient work flow.
5. Provides efficient, productive work areas.
6. Facilitates future expansion when needed.
7. Facilitates employee supervision.
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 New Work-Arrangement Concepts Impacting
Office Layout and Design

Telecommuting

Work-Based Teams

Hoteling
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 A work arrangement that
Telecommuting allows employees to perform
some or all of their work
off the premises.

Layout Impact

Employees will not need

a full-fledged office on
the premises.
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 A work arrangement in which
Work-Based Teams employees do much of their
work in a team environment.

Layout Impact

Requires an open environment that

facilitates ready communication
and a greater number of small
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 A work arrangement that
Hoteling involves employees who spend
a significant amount of their
time off premises.

Layout Impact

These employees can often

function using a work carrel
when on the premises.
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 Factors to Consider in Undertaking Preliminary
Planning for Layout
(1 of 7)

Tasks The work employees perform has

a significant role in determining
the type of office facilities they
need.
Work flow The flow of work through an
office affects the placement of
employees and the equipment they
use to carry out their work.
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Factors to Consider in Undertaking Preliminary
Planning for Layout
(2 of 7)
Organization It is used to assess the lines of
Chart authority in the organization as
well as to identify the job
relationships among
employees.
Projection of This helps determine the type and
Employees amount of additional office
Needed in the space that will be needed in the
Future future because of growth.
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 Factors to Consider in Undertaking Preliminary
Planning for Layout
(3 of 7)

Communication The nature of telephone, e-

Network mail, and face-to-face contact
between individuals.

Departmental The location of departments in

Organization relation to each other and within
the organization affects
organizational efficiency.
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 Factors to Consider in Undertaking Preliminary
Planning for Layout
(4 of 7)
Private and Installing more private offices
General and fewer general offices
Offices presents greater challenges for
designing layout.
Space The space requirements of
Requirements individuals and/or departments
help determine the total amount
of office space to provide.
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Factors to Consider in Undertaking Preliminary
Planning for Layout
(5 of 7)

Specialized A variety of specialized areas

Areas within the organization have
their own layout requirements.

Safety The layout needs to facilitate the

Requirements efficient movement of employees
from one area to another.
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 Factors to Consider in Undertaking Preliminary
Planning for Layout
(6 of 7)
Barrier-Free Use of federal funds in office
Construction building projects requires that
they be accessible to
individuals with disabilities.

Expansion Because organizations generally

expand in size, the ability to
accommodate this growth must
be planned for in designing
layout.
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 Factors to Consider in Undertaking Preliminary
Planning for Layout
(7 of 7)

Environmental Such conditions as color,

Conditions lighting, air conditioning, and
noise control must be
considered.
Equipment Because equipment and furniture
and Furniture consume space and affect work
efficiency, they must be
considered in designing layout.
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 Open Office Is based on the nature of the
Concept relationship between the
employee and his or her job
duties.

Involves Ergonomics Involves Cybernetics

Helps ensure that Means information flow

employees’ tasks, tools or processes are con-
and equipment, and the sidered when designing
physical environment layout.
closely match needs.
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 Benefits of Open Office Concept
(1 of 2)

1. Cost of changing layout is much less than

changing conventional layout.
2. Initial cost of installing open office layout is
much less than conventional layout.
3. Elimination of permanent walls and private
offices increases amount of usable floor space
by as much as 15-20 percent.
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 Benefits of Open Office Concept
(2 of 2)
4. Improves office productivity by
-increasing efficiency of work flow.
-improving communications.
-improving worker morale.
-enhancing feeling of worker involvement.
-creating a more comfortable work environ-
ment.
5. Helps conserve energy because systems are
not impeded by permanent walls.
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 Modular Work Station Approach

Uses panel-hung furniture components to create

individual work areas.

Is especially suited to situations that require

considerable storage space.

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 Cluster Workstation Approach

Uses clustering of work areas around a common core,

such as a set of panels that extends from a hub.

Is especially suited to situations in which employees

spend a portion of their work day away from their
work area.
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 Landscape Approach

To a certain extent, is a blend between the modular

and cluster workstation approaches.

Makes abundant use of plants and foliage and uses

a minimum of private offices.

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 Tools Used in Preparing Layout

Templates
Magnetic Board

Computer-Aided Design (CAD)

Cutouts
Plastic Models
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 Chapter 5

Office Environment

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by Zane Quible Pearson Prentice Hall
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 Elements of the Office Environment

Lighting Acoustics

Condition of the
Color Scheme
Air

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 Study of the relationship of
Ergonomics employees to their physical
environment.
Integrates several
disciplines

Psychology
Physiology
Sociology
Communication theories
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 Impact of Not Paying Attention to
the Office Environment

Employee productivity decreases.

Employee morale decreases.
Absenteeism and tardiness increase.
Error rates increase.
Physical well-being of employees may be jeopardized.

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 Repetitive motion injuries are becoming
more common

Carpal tunnel syndrome is most

prevalent of these injuries.

CTS results from the long-term

irritation of the tendons connecting
one’s hands and arm.

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 Electromagnetic radiation is caused by video
display terminals

Is thought to cause a higher-than-average

rate of miscarriage, cancer, birth
defects, and heart disease.

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 Computer vision syndrome is a result of
video display terminals

Occurs when the viewing requirements of the task

being performed exceed the visual capabilities
of the person performing the task.

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 Indoor air pollution results from improperly
designed building ventilation systems

Often results from a ventilation system

that has outgrown its capability.

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 Lighting
Physically Affects Psychologically
Employees

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 Characteristics of Lighting Systems

Equivalent Spherical Measures the effective-

Illumination ness of lighting systems.

Visual Comfort Is a direct-brightness

Probability ratio.
Measures the quantity
Task Illumination of light at the work
surface.
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 Equivalent Spherical Illumination

Is influenced negatively by glares and reflections.

Is affected by the degree of contrast between the
work surface and the materials with which the
employee works.
Provides a measure of lighting uniformity.
An ESI of 40 or higher is recommended.

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 Visual Comfort Probability

Is affected negatively by visible bright light or

visible reflectors.
Should be at least .70 for routine office work and
.90 when computers are used extensively in
the area.

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 Task Illumination

Is expressed in raw foot-candles, which is the

amount of light produced one foot from a
candle.
Most office work requires 100 to 150 foot-candles of
light.

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 Types of Lighting Systems

Direct

General diffuse Semi-direct

Semi-indirect Indirect

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 Direct Lighting

90-100 percent of the illumination is

directed downward to work surface.

Creates glares, reflections, and shadows.

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 Semi-direct Lighting

60-90 percent of light is directed down-

ward, with remainder directed upward
and then reflected back downward.

Shadows are less of a problem with

direct lighting systems.

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 Indirect Lighting

90-100 percent of light is directed upward,

which then is diffused and is reflected
downward.

Eliminates most shadows and glares.

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 Semi-indirect Lighting

60-90 percent of the light is directed up-

ward and then reflected downward.

Remainder of light is directed downward.

Shadows and glare are more problematic

than with indirect lighting.
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 General Diffuse

40-60 percent of light is directed to work

surface with remainder reflected down-
ward.

Shadows and glare are more noticeable

than with semi-indirect.

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 Task/ambient Uses lighting fixtures mounted
Lighting in the furniture.

Illuminates the work Task Is frequently

surface. directed downward.

Illuminates the area Ambient Is frequently

surrounding the work directed upward.
surface.
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 Kinds of Lighting

Natural Not very dependable.

Continues to be the most common
Fluorescent type of lighting system.

Incandescent Is not as efficient as fluorescent

lighting.
High-intensity
Sometimes distorts colors.
discharge
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 Kinds of Automatic Light Control Systems

Measures the amount of illumina-

Photocell tion in an area and adjusts
accordingly.
Senses the presence of people
Sensor in an area and turns lights on
automatically.

Computer Technology turns lights on and

off at predetermined times.
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 Has both a physical and
Color psychological impact on humans.

Psychologically, color
affects

Productivity
Fatigue
Morale
Attitudes
Tension
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 In designing a suitable
color scheme, consider

Color combinations
Effect of light on color
Reflectance value of color
Impact of color

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 Acceptable Color Coordination Schemes

Opposite each other on

Complimentary
the color chart.

Split Colors on either side of a

Complimentary complementary color.
Three colors equally
Triad distant from one another
on the color chart.
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 Effect of Light on Color

Different types of artificial lighting have

different color spectrums.
Fluorescent lighting does not enhance reds and
oranges.
Incandescent lighting does not enhance purple
and blue schemes.

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 Reflectance Value of Color

Various colors possess different reflectance

values.
Lighter colors tend to reflect a greater percentage
of light than do darker colors.

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 Impact of Color

Colors tend Cool colors create calm and

retiring moods.
to create
Warm colors create warm and
different moods cheerful moods.
Natural tints are mildly
stimulating.
Deep purple and pale violet can
create depressing moods.
Gray has a sleep-inducing
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 Is the unit measure of sound and
Decibel is the smallest change in sound
detectable by the human ear.

Maximum decibel in an
office should be 90.

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 Ways to Control Office Noise

Proper Includes controlling airborne and

Construction structural sounds.
Includes proper use of ceiling,
Sound-absorbing floor, wall, and window-covering
Materials materials.
Sound-absorbing Includes putting covers on
equipment that creates consider-
Devices able noise.
Masking Includes blending office noise that
Technique creates considerable noise.
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 Conditioning of the Air Considerations

Air Ideal working temperature is

Temperature 68 degrees F.

Humidity Optimum level is 50 percent.

Level
Circulation of Adequate exchange rate is 25
cubic feet of air per minute per
the Air person.
Cleanliness of Involves installing air purification
systems that remove germs, dust
the Air and dirt.
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 Benefits of Music

1. Helps increase job satisfaction and

productivity.
2. Helps reduce boredom and monotony.
3. Helps relieve mental and physical fatigue.
4. Helps reduce nervous tension and strain.

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Components of an Energy Conservation Program

Energy Conservation
Committee
Energy Efficiency
Study
Conservation
Goals

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 Office Security Dimensions

Protection of the Protection of the

organization’s organization’s
physical property. vital information.

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 Chapter 6

Office Equipment and Furniture

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 Equipment Considerations to Assess in
Selecting Office Equipment
(1 of 2)
1. Purpose of the equipment.
2. Determination of appropriate equipment.
3. Dependability of equipment.
4. Specifications of the equipment.
5. Cost of the equipment.
6. Operational processes of the equipment.
7. Safety features.
8. Flexibility of the equipment.
9. Ease of equipment operations.
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 Equipment Considerations to Assess in
Selecting Office Equipment
(2 of 2)
10. Speed of equipment operation.
11. Cost of equipment operation.
12. Equipment operator input.
13. Standardization of equipment.

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 Vendor Considerations to Assess in Selecting
Office Equipment

1. Reputation of the equipment vendor.

2. Training provided by the manufacturer or
equipment vendor.
3. Purchasing option.
4. Delivery of the new equipment.

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 Maintenance Considerations to Assess in
Selecting Office Equipment

1. Servicing the equipment.

2. Equipment maintenance.

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 Comparative Is useful to compare
Analysis Form the various features
of various brands of
equipment.

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 Leasing Options

Lease with option

True lease
to purchase

Also known as a tax, Also known as a

operating, or fair capital lease, con-
market value lease. ditional sales lease, or
buyout lease.
Can be obtained for At end of lease, lessee
short-term or long- has option of pur-
term. chasing equipment.
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by Zane Quible Pearson Prentice Hall
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 Sale Leaseback

An arrangement in which the organization

purchases the equipment, sells it to the
lessor, who then provides the organization
with a long-term lease.

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by Zane Quible Pearson Prentice Hall
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 Questions that Help Determine Which
Leasing Alternative to Use
1. What will the organization want to do with
the equipment at the end of the lease period?
2. What is the status of the organization’s cash
flow situation?
3. What is the organization’s tax liability
situation?
4. How long will the organization likely want to
use the equipment?
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 Advantages of Leasing Office Equipment

1. Leasing conserves working capital that may be

needed for other purposes.
2. The organization is able to obtain up-to-date
equipment.
3. True lease payments are tax deductible.
4. Lease equipment enables an organization to use
its financial resources more efficiently.
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 Disadvantages of Leasing Office Equipment

1. Leased office equipment is frequently more

costly than purchased equipment.
2. The lease may stipulate that the lessee is
responsible for equipment maintenance and
repairs.
3. Most leases stipulate that the lessee keep detailed
records on the leased equipment.
4. If the lease gives the lessee an opportunity to
purchase the equipment, the lease payments are
not tax deductible.
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 Difference Between Equipment Leasing
and Equipment Rental

Typically involves a contract that

Leasing stipulates the length of time the
lease is in effect.

Generally does not require

that the equipment be used a Rental
specified length of time.
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Questions to Consider When Deciding Whether
to Lease or Purchase Office Equipment
(1of 2)
1. How rapidly are new technological developments
occurring in the type of equipment being
considered?
2. What is the purchase cost of the equipment?
3. What leasing arrangements are equipment
vendors willing to provide?
4. What special provisions become available when
leasing equipment?
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Questions to Consider When Deciding Whether
to Lease or Purchase Office Equipment
(2 of 2)

5. How stable are the various work processes for

which the equipment is needed?
6. What is the per unit cost of work when
leasing equipment and when purchasing
equipment?
7. What are the results of break-even analysis?
8. What is the length of the payback period?
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 Equipment Maintenance Options

Service
Contract
In-House
Call Basis
Service

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by Zane Quible Pearson Prentice Hall
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 Factors to Consider When Deciding
on Equipment Maintenance Method
(1 of 2)
1. Cost and provisions of a service contract.
2. Frequency of equipment repair.
3. Impact of preventive maintenance on increasing
the life of equipment.
4. Availability of, and expense incurred in,
employing training service personnel.

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by Zane Quible Pearson Prentice Hall
16 Upper Saddle River, NJ 07458
 Factors to Consider When Deciding
on Equipment Maintenance Method
(2 of 2)
5. Number of different brands of office equipment
owned by the organization.
6. Type of equipment to be maintained.
7. Cost of paperwork associated with equipment
maintenance.
8. Speed with which the equipment must be
repaired.

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by Zane Quible Pearson Prentice Hall
17 Upper Saddle River, NJ 07458
 Factors to Consider in Selecting
Office Furniture
1. Intended use of the furniture.
2. Appropriateness of furniture in relation to
décor of office.
3. Suitability of furniture for its users.
4. Versatility of furniture.
5. Durability of furniture.
6. Hierarchical level of furniture user.
7. Size of furniture in relation to room or area size.
8. Fire-retardant value of furniture.
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 Modular Design

Consists of such components as a desk or

working space, storage space, file space,
and shelf space.

Employee’s job responsibilities are considered

in determining the components needed and
their configuration.

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 Portable Design

Facilitates easy office rearrangement in open

space planning.

Makes extensive use of movable panels and

screens.

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 Functional Design

Design of office furniture is based on

employee needs.

Takes into consideration how furniture use

can be maximized given employee’s job
duties.

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 Ergonomics Design

Takes into consideration the relationship

between employees and their physical
environment in the design of their furniture.
Ergonomics design is especially considered
in chair design.

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 Standards to be Reflected in Chair Design

1. The chair should enable the user to sit flat

on the chair with knees bent and feet flat
on the floor.
2. The chair should support the user’s back in
an upright position.
3. The user should be able to hang his or her arms
straight down from the shoulders with the
elbows bent.
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 Chapter 17

Systems Analysis

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by Zane Quible Pearson Prentice Hall
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 Integrated Systems

Are used by many organizations to control office

costs and improve their operating efficiency.
Areas typically incorporated into integrated systems
include these:
Sales

Finance Production

Purchasing Marketing
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 Are often comprised
Integrated
of several subsystems,
Systems
which commonly
encompass the
organization’s
functional areas.

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by Zane Quible Pearson Prentice Hall
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 Functional Systems and Subsystems
Incorporate Several Components:

Employees Equipment

Forms/
Materials

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by Zane Quible Pearson Prentice Hall
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 Is a series of subsystems
System comprised of interrelated
procedures to help achieve a
well-defined goal.

Consist of related methods

necessary to complete various
Procedures
work processes.

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by Zane Quible Pearson Prentice Hall
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 Objectives for Developing and Using Systems

1. To maximize the efficient utilization of the

organizational resources.
2. To control operating costs.
3. To improve operating efficiency.
4. To help achieve the objectives of the organization.
5. To help carry out the various functions of the
organization.
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 Advantages of Systems

1. Various functions of the organization are better

coordinated.
2. Wasteful, unproductive, and uneconomical
activities are eliminated.
3. The operating efficiency of the organization is
improved.
4. More effective control can be exerted over various
activities and functions.
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by Zane Quible Pearson Prentice Hall
7 Upper Saddle River, NJ 07458
 Disadvantages of Systems

1. A certain amount of operating flexibility may be

destroyed when using a system.
2. Any inefficiency that is built into the system likely
will disproportionately increase as work flows
through the system.
3. A totally integrated system may be affected
somewhat when changes are made in one of its
subsystems.
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by Zane Quible Pearson Prentice Hall
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 Characteristics of Well-Designed Systems

Flexible
Adaptable

Systematic
Functional

Simple
Resourceful
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 Elements of Systems
(1 of 2)
Flow of work through a system
Input begins with the input of some
type of resource.
The transformation of input into
desired output takes place during
Processing the processing element, which
is composed of methods and
procedures.

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 Elements of Systems
(2 of 2)
Interaction between the input
Output and processing elements
produces output.
Enables the system to determine
Feedback whether results are meeting
expectations.
Has both internal and external
Controlling
dimensions.
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 Knowledge Is the result of increasing the
Management amount of technological
integration used in designing
operating systems and
procedures.
1. Is emerging from what used to be known as
document management.
2. Involves capturing and communicating
information to those who seek it or who need
it.
3. Involves providing information to the right
person at the right time.
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by Zane Quible Pearson Prentice Hall
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 Systems and Procedures Staffing Alternatives

Outside consultants

Part-time Full-time
Systems Staff Systems Staff
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by Zane Quible Pearson Prentice Hall
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 Factors That Determine Which
Staffing Alternative To Use

1. Size of the organization.

2. Type of the organization.
3. Organization’s commitment to the total or
integrated systems approach.
4. Philosophy of top management toward the
systems and procedures function.
5. Type and extent of technology incorporated into
the system.
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 Outside Consultants

Frequently are hired on a retainer basis.

Advantages
Provide expertise that may not be available with the
other alternatives.
Can be more objective in their recommendations.
Are able to keep the system up to date.
Disadvantage
Are a costly alternative.
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 Full-time Systems Staff

Enables the organization to develop and improve on

a continual basis all of its systems and work processes.

Advantages
Help is available when needed.

Disadvantage

Potential conflict between line managers

and the systems staff.
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 Part-time Systems Staff

When an organization cannot afford the other

alternatives, a part-time staff is usually used.

Advantages
Least costly alternative.

Disadvantage

Staff may not have time nor expertise to carry

out needed assistance.
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 Steps Used in Designing or Modifying Systems

1. Clearly define the process to be studied.

2. Outline the details of the present process.
3. Analyze the present process.
4. Outline the improved process.
5. Install the new process.

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 Systems and Procedures Tools

Workload Chart
Flow Process Chart
Office Layout Chart
Right- and Left-Hand Chart
Operator-Machine Process Chart
Horizontal Flow Process Chart
EDP Block Diagram

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 Workload Chart

Is also referred to as work distribution chart.

Identifies
1. Major activities performed by a given work
unit.
2. Amount of time a work unit as a whole spends on
each activity.
3. Activities performed by each employee and the
amount of time he/she spends performing the
activities.
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 Workload Chart Provides Answers
To These Questions
(1 of 2)
1. Is the work unit performing the work it is
intended to perform?
2. Are employees performing too many duplicate
operations?
3. Are the tasks that each employee performs of a
related nature?
4. Are the special skills and talents of the
employees being used to the fullest extent?
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 Workload Chart Provides Answers
To These Questions
(2 of 2)

5. Are the major functions of the work unit

actually consuming the greatest amount of
work time and effort?
6. Are the employees’ workloads evenly
distributed?
7. Are the employees productive?
8. Is the flow of work efficient?
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 Documents Used in Workload Chart Method

Used by employees to keep

Daily Log track of their daily activities.
Identifies the tasks per-
Summary Log formed by employees over
a longer period of time.

Activity List Provides a composite list

of departmental activities
listed in descending order.
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 Flow Process Chart

Is especially useful for identifying each

step in a specific work process.
Various steps comprising a process are
categorized as:
Operation
Transportation
Inspection
Delay
Storage
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Each operation step is classified as a get ready, do,
or put away step.

Special attention should be focused on the

do steps because if they can be eliminated,
then the get ready and the put away steps can
probably be eliminated as well.

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by Zane Quible Pearson Prentice Hall
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 Office Layout Chart

Is frequently used in conjunction with the flow

process chart.
Is well-suited for visualizing workflow.
Is used to identify backtracking, criss-crossing,
and inefficient workflow patterns.
Is completed by charting flow of work through the
premises.

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by Zane Quible Pearson Prentice Hall
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 Right- and Left-Hand Chart

Is used to identify hand movements in a

particular work process.
Categories of movement:
Operation
Transportation
Hold
Delay
Contains space to summarize the present and
proposed processes and differences between them.
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 Operator-Machine Process Chart

Is used to study the relationship between an operator

and the machine he or she uses.

Focuses on the opportunities to eliminate, simplify,

or combine as many steps as possible.

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by Zane Quible Pearson Prentice Hall
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 Horizontal Flow Process Chart

Is useful for illustrating work processes that involve

multicopy forms.

Chart follows the movement of each copy of the

form through a given work area.

Is useful for outlining various procedures in each

subsystem.
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by Zane Quible Pearson Prentice Hall
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 EDP Block Diagram

Is used in working with a variety of computer-

based processes.

Involves a series of well-defined symbols that

are interconnected with lines.

Involves a series of steps for which a “yes” or

“no” response is required.
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 Chapter 21

Records Management

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by Zane Quible Pearson Prentice Hall
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 Records

Refer to informational documents in both paper

and electronic formats that are used to carry out
various functions.
Includes forms, letters, e-mail messages,
memoranda, reports, and manuals.

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 Records Management

Refers to the activities involved in controlling the

life cycle of a record, beginning with its creation
and ending with its final disposition.

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 Filing

Refers to the activities involved in rough sorting

of paper-based documents, locating the proper
folder for the document, and placing the
document in the folder.

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 Advantages of an Effective
Records Management Program
(1 of 2)

1. It better serves its clients or customers.

2. It increases employee productivity.
3. It accomplishes its workload with fewer
employees.
4. It centralizes its records and information,
thus making them readily available to all
employees who need them.
5. It eliminates duplicate records and information.
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 Advantages of an Effective
Records Management Program
(2 of 2)

6. It reduces its records storage space.

7. It complies with reporting regulations at the
federal, state, and local levels.
8. It keeps better track of and control over its
records and information.
9. It avoids costly litigation and liability issues.

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by Zane Quible Pearson Prentice Hall
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 Image Processing

Refers to storing information electronically on a

magnetic medium or an optical disk.

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by Zane Quible Pearson Prentice Hall
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 Micrographics

Refers to the process of making miniature film

images of paper documents.

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by Zane Quible Pearson Prentice Hall
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 Situations that Contribute to the
Vulnerability of an Organization’s Records
1. Failure to provide data backup.
2. Failure to store backup copies of vital records off
site.
3. Failure to maintain information security or system
access.
4. Failure to maintain physical security where needed.
5. Failure to provide adequate fire protection and
suppression system.
6. Failure to provide adequate managerial control over
the program.
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 Steps in the Life Cycle of a Record

Creation
Utilization
Storage
Retrieval
Disposition

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 Creation

Is concerned with developing efficient methods of

entering data on documents as well as determining
the length of time that records should be used
before they are destroyed.

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 Utilization

Is concerned with developing efficient procedures

for use in retrieving and delivering desired records
to their desired location at the desired time.

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 Storage

Is concerned with developing efficient procedures

for using filing equipment and the space occupied
by the filing equipment as well as protecting
records against disaster.

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 Retrieval

Is concerned with locating requested records and

making them available to the individual who
requested them.

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 Disposition

Involves preserving valuable documents,

transferring records to low-cost storage areas,
properly destroying records, and microrecording.

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 Components Involved in Organizing a
Records Management Program
1. Objectives
2. Policies
3. Organization of the program
4. Filing systems
5. Personnel
6. Records retention
7. Storage and retrieval of records
8. Records retrieval
9. Disposition of records
10. Program evaluation
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 Objectives of the Program
(1 of 2)

1. To provide control over the records cycle; that

is the creation, utilization, storage, retrieval,
and disposition of records.
2. To develop efficient procedures for each stage
of the cycle.
3. To eliminate needless storage of duplicate
records.
4. To reduce costs in each stage of the cycle.
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 Objectives of the Program
(2 of 2)

5. To develop realistic standards for employee

performance and program evaluation.
6. To develop employee appreciation for the
value of a records management program.
7. To standardize procedures and equipment used
in the records management program.

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 Policies of the Records
Management Program
(1 of 2)

Policies are designed to guide decision making

about various program aspects.
Kinds of policies typically include:
1. The records management program, which has
management’s support, is considered to be an
integral organizational function.
2. Each record created in the organization comes
under the jurisdiction of the records management
program and is subject to centralized control.
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 Policies of the Records
Management Program
(2 of 2)

3. The records management program shall operate

under the procedures outlined in the records manage-
ment manual.
4. Records must receive adequate protection at all
times.
5. The administrative office manager has primary
responsibility for the records management program.
6. Efficiency will have precedence over cost when
making decisions about workflow.
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 Organization of the Program

1. Centralized control

2. Decentralized control

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 Centralized Control

Overall authority and responsibility for the program are

vested in one person.
Records can be stored centrally or decentrally.

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 Advantages of Centralized Control
(1 of 2)

1. The number of duplicate records that are stored

is reduced considerably.
2. The equipment is used more efficiently, resulting
in the need for fewer file storage units.
3. The organization can take advantage of the cost
savings that accrue from the use of standardized
equipment and procedures.
4. The program uses trained employees who file
documents accurately.
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 Advantages of Centralized Control
(2 of 2)

5. The retrieval, retention, and transfer of records are

better controlled.
6. The records pertaining to a particular subject are
stored in one place.
7. The program operates continuously and is not
hampered by employee absence.
8. Obscure records are obtained more quickly because
their whereabouts are known.
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 Disadvantages of Centralized Control

1. The records may be more vulnerable because they

are stored in one central location.
2. The time spent transporting frequently used
records to and from the central storage area may
delay their immediate use.
3. If records cannot be immediately obtained, those
who need them may be inconvenienced.
4. The confidentiality of records may be more
difficult to maintain.
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 Decentralized Storage

Involves storing records within the various work units

until the time has arrived to transfer or destroy them.

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 Advantages of Decentralized Storage

1. Confidential records are stored in work units

throughout the organization and, therefore, are
less vulnerable.
2. Because the records are stored on site, valuable time
is not consumed in transporting records.
3. Because each work unit is primarily responsible for
the storage of its own records, flexible procedures
should be developed.

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 Disadvantages of Decentralized Storage

1. Some work units are likely to develop their own

procedures rather than using those of the system.
2. Duplicate filing equipment may be required.
3. Filing equipment may not be efficiently used.

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 Factors to Consider in Deciding Whether to
Store Records Centrally or Decentrally

1. Attitude of top management regarding records

storage.
2. Competence of personnel.
3. Size and type of organization.
4. Philosophy of organization with regard to
centralization and decentralization.
5. Number of different kinds of records stored.

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 Decentralized Control

Gives each work unit responsibility for the management

of its own records.
Generally results in duplication of equipment,
records, and personnel effort.
Also results in lack of consistency of procedures used
in maintaining records.

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 Filing System

Involves classifying, coding, arranging, and placing

records in storage, and facilitating their quick and
easy retrieval.
Two types of systems:
1. Alphabetic
2. Nonalphabetic

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 Alphabetic Filing Systems

Name
Subject
Geographical area

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 Nonalphabetic Filing Systems

Numerical
Chronological

Administrative Office Management, 8/e ©2005 Pearson Education, Inc.

by Zane Quible Pearson Prentice Hall
33 Upper Saddle River, NJ 07458
 Personnel

Personnel needs are determined by the type of

program structure used and the size of the
organization.
Centralized storage-uses employees who work
full time with records management.

Decentralized storage-likely uses employees

who work part-time with records management.
Administrative Office Management, 8/e ©2005 Pearson Education, Inc.
by Zane Quible Pearson Prentice Hall
34 Upper Saddle River, NJ 07458
 Job Titles of Employees Who
Work in Records Management

File Clerk

Records Requisitions
Manager Clerk

File Supervisor Messenger

Administrative Office Management, 8/e ©2005 Pearson Education, Inc.

by Zane Quible Pearson Prentice Hall
35 Upper Saddle River, NJ 07458
 Certified Records Manager

Is a certification program.
Program involves:
Passage of a 5-part test.
3 years’ experience.
Bachelor’s degree.
Recommendation from a CRM.

Administrative Office Management, 8/e ©2005 Pearson Education, Inc.

by Zane Quible Pearson Prentice Hall
36 Upper Saddle River, NJ 07458
 Records Retention

Refers to the length of time records must be

kept by the organization.
Records retention schedule specifies the length
of time specific records are to be kept.

Administrative Office Management, 8/e ©2005 Pearson Education, Inc.

by Zane Quible Pearson Prentice Hall
37 Upper Saddle River, NJ 07458
 Benefits of Records Retention

1. Considerable cost and space savings result from

transferring inactive records to low-cost storage
areas, and from ultimately destroying records no
longer useful to the organization.
2. Retrieval of records is simplified because fewer
active-status records are stored.
3. Systematic destruction of records prevents their
being destroyed prematurely.
4. Equipment for storing records-both active status
and inactive status-is more efficiently used.
Administrative Office Management, 8/e ©2005 Pearson Education, Inc.
by Zane Quible Pearson Prentice Hall
38 Upper Saddle River, NJ 07458
 Records Inventory

Determines the nature and volume of all records

created.
Is done prior to developing a records retention
schedule.
Involves classifying records.

Administrative Office Management, 8/e ©2005 Pearson Education, Inc.

by Zane Quible Pearson Prentice Hall
39 Upper Saddle River, NJ 07458
 Records Retention Schedule

Steps involved in designing an effective program:

1. Get authorization to develop the schedule.
2. Conduct an inventory to determine the kinds,
volume, and location of records.
3. Develop a classification scheme to determine the
value of each kind of record.
4. Develop a tentative retention schedule.
5. Secure top management’s approval of the schedule.
6. Distribute the approved schedules to appropriate
individuals.
Administrative Office Management, 8/e ©2005 Pearson Education, Inc.
by Zane Quible Pearson Prentice Hall
40 Upper Saddle River, NJ 07458
 Records Retention Schedule

Is generally developed by a committee.

Uses input from The Guide to Records
Retention Requirements, which is published
annually by the U. S. Government Printing
Office.
Committee is also responsible for keeping the
schedule updated.
Administrative Office Management, 8/e ©2005 Pearson Education, Inc.
by Zane Quible Pearson Prentice Hall
41 Upper Saddle River, NJ 07458
 Storage and Retrieval of Records

Are another determinant of the success of a

records management program.
Storage equipment is critical to program’s
success.

Administrative Office Management, 8/e ©2005 Pearson Education, Inc.

by Zane Quible Pearson Prentice Hall
42 Upper Saddle River, NJ 07458
 Factors to Consider in Deciding Upon a
Particular Kind of Storage Equipment
(1 of 2)
1. Nature of the records being stored,
including size, quantity, weight, physical
composition, and value.
2. Frequency with which records are retrieved.
3. Length of time that records are stored in both
active and inactive status.
4. Location of storage facilities (centralized and
decentralized.)
Administrative Office Management, 8/e ©2005 Pearson Education, Inc.
by Zane Quible Pearson Prentice Hall
43 Upper Saddle River, NJ 07458
 Factors to Consider in Deciding Upon a
Particular Kind of Storage Equipment
(2 of 2)
5. Amount of space allocated for storage and
the possibilities for expansion.
6. Type and location of storage facilities for
inactive records.
7. Layout of the organization.
8. Degree to which stored records must be
protected.

Administrative Office Management, 8/e ©2005 Pearson Education, Inc.

by Zane Quible Pearson Prentice Hall
44 Upper Saddle River, NJ 07458
 Categories of Storage Equipment

Vertical
Lateral
Power

Administrative Office Management, 8/e ©2005 Pearson Education, Inc.

by Zane Quible Pearson Prentice Hall
45 Upper Saddle River, NJ 07458
 Vertical Equipment

Is the most commonly used category of equipment.

Administrative Office Management, 8/e ©2005 Pearson Education, Inc.

by Zane Quible Pearson Prentice Hall
46 Upper Saddle River, NJ 07458
 Types of Vertical Equipment

Four-, five-, and six-drawer cabinets continue to

be the most commonly used.
Open-self files are another type of widely used
equipment.
Vertical rotary files facilitate fast and easy
retrieval of documents.

Administrative Office Management, 8/e ©2005 Pearson Education, Inc.

by Zane Quible Pearson Prentice Hall
47 Upper Saddle River, NJ 07458
 Types of Lateral Equipment

Drawers in lateral equipment pull out by their side

rather than by their end.

Administrative Office Management, 8/e ©2005 Pearson Education, Inc.

by Zane Quible Pearson Prentice Hall
48 Upper Saddle River, NJ 07458
 Power Files

Use power assist in records retrieval.

Types of power files:
Rotary power files.
Structural power files.
Mobile files.

Administrative Office Management, 8/e ©2005 Pearson Education, Inc.

by Zane Quible Pearson Prentice Hall
49 Upper Saddle River, NJ 07458
 Records Retrieval

Refers to the activities involved in locating and

removing tangible records from the files.
Steps:
1. A request slip is completed.
2. Retrieval is approved by the requisition clerk,
and the record is retrieved by the file clerk.
3. Record is transmitted to individual who
requested it.
4. Record is returned to central storage area
when no longer needed.
Administrative Office Management, 8/e ©2005 Pearson Education, Inc.
by Zane Quible Pearson Prentice Hall
50 Upper Saddle River, NJ 07458
 Retrieval Uses a Charge-Out System

An inventory of all checked-out records is

maintained on a desktop computer.
Inventory identifies:
1. Who checked the record out.
2. Date the record was checked out.
3. Names of individuals waiting to use the
record upon its return.

Administrative Office Management, 8/e ©2005 Pearson Education, Inc.

by Zane Quible Pearson Prentice Hall
51 Upper Saddle River, NJ 07458
 Disposition of Records

Refers to the ultimate fate of records.

Some records are stored permanently.
Others are stored for a certain length of time
and then are destroyed.
Some are destroyed immediately.

Administrative Office Management, 8/e ©2005 Pearson Education, Inc.

by Zane Quible Pearson Prentice Hall
52 Upper Saddle River, NJ 07458
 Types of Disposition

Protection
Transfer
Microrecording
Digitizing
Destruction

Administrative Office Management, 8/e ©2005 Pearson Education, Inc.

by Zane Quible Pearson Prentice Hall
53 Upper Saddle River, NJ 07458
 Protection

Value attached to a record determines

what type of protection it receives.
Vital records are stored in fire-proof safes
or vaults.
Off-site storage is also a possibility.

Administrative Office Management, 8/e ©2005 Pearson Education, Inc.

by Zane Quible Pearson Prentice Hall
54 Upper Saddle River, NJ 07458
 Transfer

Involves transferring the status of a

record from active to inactive status.
Then they are transferred from high-
cost to low-cost storage.
Frequency of records’ use determines
when to transfer records.

Administrative Office Management, 8/e ©2005 Pearson Education, Inc.

by Zane Quible Pearson Prentice Hall
55 Upper Saddle River, NJ 07458
 Transfer Methods

Perpetual-records are transferred

continuously.
Periodic-records are transferred on an
occasional basis.

Administrative Office Management, 8/e ©2005 Pearson Education, Inc.

by Zane Quible Pearson Prentice Hall
56 Upper Saddle River, NJ 07458
 Microrecording

Is a useful disposition technique

because:
1. It significantly reduces amount of
storage space needed.
2. It allows the preparation of a duplicate
set of records.

Administrative Office Management, 8/e ©2005 Pearson Education, Inc.

by Zane Quible Pearson Prentice Hall
57 Upper Saddle River, NJ 07458
 Digitizing

Involves scanning documents and “burning”

the output onto a CD-ROM or a DVD.

Administrative Office Management, 8/e ©2005 Pearson Education, Inc.

by Zane Quible Pearson Prentice Hall
58 Upper Saddle River, NJ 07458
 Destruction

When a record has outlived its life, it is

ready for destruction.
Several destruction methods are used.

Administrative Office Management, 8/e ©2005 Pearson Education, Inc.

by Zane Quible Pearson Prentice Hall
59 Upper Saddle River, NJ 07458
 Methods Used to Evaluate the
Records Management Program

Finding ratio
Use ratio
Performance ratio

Administrative Office Management, 8/e ©2005 Pearson Education, Inc.

by Zane Quible Pearson Prentice Hall
60 Upper Saddle River, NJ 07458
 Finding Ratio

Used to determine how many requested records

are actually found.
A ratio less than 97 percent can signal a problem.
Possible problems:
1. Records are misfiled.
2. Records are not properly indexed or coded.
3. Records are not properly returned for refiling.
4. Whereabouts of records are not known because
of improper charge-out procedures.
Administrative Office Management, 8/e ©2005 Pearson Education, Inc.
by Zane Quible Pearson Prentice Hall
61 Upper Saddle River, NJ 07458
 Use Ratio

Used to assess the frequency of record use as well

as to determine whether too many unused records
are filed.
A ratio higher than 20 percent is generally considered
satisfactory.
Low ratios may signal these concerns:
1. Too many records are maintained in active
status when they should be transferred to
inactive status.
2. Individuals are using personal copies of
duplicate records rather than obtaining records
from the central records area.
Administrative Office Management, 8/e ©2005 Pearson Education, Inc.
by Zane Quible Pearson Prentice Hall
62 Upper Saddle River, NJ 07458
 Performance Standards

Used to apply program cost and employee

performance against generally accepted
standards.

Administrative Office Management, 8/e ©2005 Pearson Education, Inc.

by Zane Quible Pearson Prentice Hall
63 Upper Saddle River, NJ 07458
 Records Management Manual

Is a vital document in the program.

Should be updated periodically.

Administrative Office Management, 8/e ©2005 Pearson Education, Inc.

by Zane Quible Pearson Prentice Hall
64 Upper Saddle River, NJ 07458
 Appropriate Content Sections
(1 of 2)

1. Objectives of the program.

2. Statement of policy of the program.
3. Organizational structure of the program.
4. Filing systems used and types of records
filed under each system.
5. Personnel structure of the program.
6. Records retention schedule.

Administrative Office Management, 8/e ©2005 Pearson Education, Inc.

by Zane Quible Pearson Prentice Hall
65 Upper Saddle River, NJ 07458
 Appropriate Content Sections
(1 of 2)

7. Procedures for retrieving records and

information.
8. Disposition of records, including
protection, transfer, microrecording, and
destruction.
9. Procedures for evaluating the program.
10. Document management systems (if used.)
11. Image systems (if used.)

Administrative Office Management, 8/e ©2005 Pearson Education, Inc.

by Zane Quible Pearson Prentice Hall
66 Upper Saddle River, NJ 07458
 Document Management Systems

Involves giving records an identification

(such as a bar code) that aids in their
management.
Helps in tracing the movement of records
in and out of the depository.
An integral part of document management
is indexing of documents and/or key
words within documents.

Administrative Office Management, 8/e ©2005 Pearson Education, Inc.

by Zane Quible Pearson Prentice Hall
67 Upper Saddle River, NJ 07458
 Imaging Systems

Refers to scanned images, micrographics, and

digital images.
Before “burning” electronic files onto CD-ROM, a
backup copy is often maintained on a RAID
(Redundant Array of Independent Disks.)
Some organizations are now contracting with a
SSP (Storage Service Provider) to facilitate
storing and accessing documents using the
Web.
Administrative Office Management, 8/e ©2005 Pearson Education, Inc.
by Zane Quible Pearson Prentice Hall
68 Upper Saddle River, NJ 07458
 Scanned Images

Are prepared using optical scanning

equipment that scans paper documents.
Once scanned, a digital image is
available.
The digital image can then be stored
electronically.

Administrative Office Management, 8/e ©2005 Pearson Education, Inc.

by Zane Quible Pearson Prentice Hall
69 Upper Saddle River, NJ 07458
 Micrographics

Results in significant space savings.

Contents of 100 standard file drawers can
be reduced to two drawers when stored as
microimages.

Administrative Office Management, 8/e ©2005 Pearson Education, Inc.

by Zane Quible Pearson Prentice Hall
70 Upper Saddle River, NJ 07458
 Factors to Consider in Determining
the Feasibility of a Micrographics System

1. Size of documents.
2. Physical condition of documents.
3. Readability of documents.
4. Financial feasibility of installing a system.
5. Convenience of using a system.

Administrative Office Management, 8/e ©2005 Pearson Education, Inc.

by Zane Quible Pearson Prentice Hall
71 Upper Saddle River, NJ 07458
 Microimage Formats

Roll film
Aperture cards
Jacketed film
Microfiche
Film strips

Administrative Office Management, 8/e ©2005 Pearson Education, Inc.

by Zane Quible Pearson Prentice Hall
72 Upper Saddle River, NJ 07458
 Computer-Assisted Retrieval (CAR)

Refers to the retrieval of microimages using

computer technology.

Administrative Office Management, 8/e ©2005 Pearson Education, Inc.

by Zane Quible Pearson Prentice Hall
73 Upper Saddle River, NJ 07458
 Computer Output Microfilm (COM)

Generates microfilm rather than paper as the

output of computer processing of data.

Administrative Office Management, 8/e ©2005 Pearson Education, Inc.

by Zane Quible Pearson Prentice Hall
74 Upper Saddle River, NJ 07458
 Computer Output to Laser Disk (C.O.L.D.)

Output to laser disks.

Administrative Office Management, 8/e ©2005 Pearson Education, Inc.

by Zane Quible Pearson Prentice Hall
75 Upper Saddle River, NJ 07458
 Equipment Used in Micrographics

1. Rotary camera
2. Planetary camera
3. Processor camera
4. Record processor
5. Front-projection readers
6. Rear-projection readers

Administrative Office Management, 8/e ©2005 Pearson Education, Inc.

by Zane Quible Pearson Prentice Hall
76 Upper Saddle River, NJ 07458
 Factors to Consider in Determining
Which Records to Microrecord

1. How long is the record to be kept?

2. Will the physical characteristics of certain
records prevent their being microrecorded?
3. Will the microimage be admissible as evidence
in legal courts?
4. Does a sufficient volume of certain records
exist to warrant their being microrecorded?
5. Considering the frequency of use, would the
original record be more convenient to use than
a microimage?
Administrative Office Management, 8/e ©2005 Pearson Education, Inc.
by Zane Quible Pearson Prentice Hall
77 Upper Saddle River, NJ 07458