OFFICE Topic: Records Management

II lecturer:
ADMINISTRATION Date:
AT THE END OF THIS LESSON,
YOU WOULD BE ABLE TO:
Identify the duties of a Records Management Clerk
Maintain a Record Management System
▪ Classifications of Record Management Systems
MAINTAINING RECORDS
MANAGEMENT SYSTEMS
Manual and electronic records management systems
Every organisation has paperwork that it needs to keep for future
reference. Some businesses have a manual system and store
documents in folders in lockable filing cabinets. Other business
scan documents that they receive into an electronic records
management system. This reduces the amount of paper that they
need to keep and so cuts down the space required for the filing
system.
DUTIES OF A RECORDS
MANAGEMENT CLERK
The records/ information management clerk is responsible for maintaining the
storage and retrieval systems by manual or electronic means. The clerk usually
reports to the administrator or head of records department.
Duties include:
Preparing Records
Processing data
Managing records
Retrieving information
PREPARING DOCUMENTS
Manual System
Checking multi-page
documents are complete and in
the right order
Removing paper clips and
stapling documents
Electronic System
Scanning received documents
into the system
Adjusting, changing or
enhancing the image as
required
PROCESSING DATA
Manual System
Indexing documents and
classifying these according
to the system used
Securing documents into
the correct folder
Electronic System
Entering key indexing
words so that the document
can be found easily
Selecting access levels for
each document
MANAGING RECORDS
Manual System
Making out cross-reference
cards
Controlling access to the
files
Ensuring the borrowed files
are returned promptly
Identifying inactive files and
arranging for disposal or
archiving
Electronic System
Ensuring documents are
scanned into the system
promptly
Processing the paper document
after scanning
Ensuring the system is backed
up every day
RETRIEVING DOCUMENTS
Manual System Electronic System
Obtaining records as Locating documents as
requested for authorized requested
users Printing or emailing
Tracking and obtaining documents as requested
borrowed files that are Assisting users who need
overdue for return help to retrieve documents
CLASSIFICATIONS OF RECORD
MANAGEMENT SYSTEMS
Records can be classified for storage through the use of various systems. The
most common of these are:
Alphabetical
Numerical
Chronological
Geographical
Subject
ALPHABETICAL
When classifying files alphabetically, all materials are stored in
order of the alphabet (A to Z).
This is the most commonly used system and it is applicable to both
paper-based and electronic systems.
Your first task is to put each name into its correct indexing
order.

Note: Alphabetical filing is also applied in both geographical and

subject filing.
 INDEXING
Indexing is the arrangement of the parts of a name, subject or place in the
order in which they are to be filed. Each part of a name, subject or place is
called a unit.
Names Indexing Order
Unit 1 Unit 2 Unit 3
Louisa Laurel Walker Walker Louisa Laurel
J. Eric Peterson Peterson J. Eric
Kellie Alleyne Alleyne Kellie
RULES FOR FILING NAMES IN
ALPHABETICAL ORDER:
Names are filed in alphabetical order by surname. Example:

Names Indexing Order Filing Order

George Patterson Patterson, George Ali, Rohit
Micheal Glen Glen, Micheal Glen, Micheal
Rohit Ali Ali, Rohit James, H. B
H. B. James James, H. B. Mitchell, F. Allan

F. Allan Mitchell Mitchell, F. Allan Patterson, George

PEOPLE WITH THE SAME
SURNAME:
The sorting must be done in alphabetical order of first names, second names
and so on.
Names Filing Order
Rosalind S. Nurse Forte, Gary
Oliver Romesh Gobin Gobin, Oliver Ramesh
Gary Forte Gobin, Oliver Romesh
Patrick Gobin Gobin, Patrick
Jennifer K. Lee Lee, Jennifer K.
Oliver Ramesh Gobin Nurse, Rosalind S.
Rosalind U. Nurse Nurse, Rosalind, U.
Micheal Edwards St Paul St Paul, Micheal Edward
NAME AND INITIALS:
An initial or single letter goes before a name or word beginning with the same
letter. The principle of ‘nothing comes before something’ applies.

Name Filing Order

Williams, T. Williams, (Mr)

Williams, Travis Williams, T.

Williams, (Mr) Williams, Travis

NAMES BEGINNING WITH MAC
AND MC:
Names that begin with Mc, Mac, or M are filed as ‘Mac’. Disregard the
apostrophe.
Name Filing Order

Peter McPherson MacPherson, Peter

Peter MacPherson McPherson, Peter

Peter M’Pherson M’Pherson, Peter

NAMES WITH TITLES:
Titles e.g. Prof., Dr., Mr., Ms., are always placed at the end of a file name.
Mr., Mrs., Ms., & Miss are placed in parentheses/ brackets.

Name Filing Order

Dr. Paul Flament Flament, Paul Dr
Ms. Heather Y. Skinner Rose, Helen Sister
Sister Helen Rose Rue, Rita Senora
Senora Rita Rue Skinner Heather Y. (Ms)
Miss Betty- Chong F. Stye Stye, Betty-Chong F. (Miss)
HYPHENS AND
PUNCTUATIONS:
Hyphens and other punctuation marks e.g. commas, apostrophes, in a name
are ignored. Hyphenated names are treated as one.

Name Filing Order

Barbara O’Keller Hart-Paul, Delia Marie
Delia Marie Hart-Paul O’Keller, Barbara
BUSINESS NAMES
If the name of the firm includes a personal name, the same rules are followed
as described earlier: the surname is considered first
E.g. Brian Lawrence & Co. = Lawrence, Brian & Co.

When the company title includes two or more surnames, the filing point is
taken from the first and then the second, irrespective of alphabetical position.
E.g. Harvey & Edwards is filed under Harvey.
IMPERSONAL COMPANY
NAMES
Impersonal company names are placed in the order in which they are written
in the tittle, ignoring ‘The’.
E.g.
Arts Designs Ltd. = Arts Designs Ltd.
The United Juice Place = United Juice Place
NAMES AS NUMBERS
Any name that is shown as a number is filed as if the number were printed in
full.
E.g.
1st Choice = First Choice
2nd Hand = Second Hand
3rd Degree = Third Degree
INITIALS AS TITLES
Where a company name includes initials, these are placed before full names
(ignore ‘and’ and ‘&’)
E.g.
KPMG (St Lucia)
K & Z Constructions
Kentucky Fried Chicken (St Lucia) Ltd.
NAMES BEGINNING WITH
‘SAINT’ AND ‘ST’
Where names begin with ‘Saint’ or ‘St’, they are both regarded as ‘Saint’.
E.g.
Sagicor Financial Corporation
St James Hotel
Sea Freight Services Ltd
FILING PUBLIC BODIES
Public bodies should be indexed then filed under name, or place if the names
are identical.
E.g.
Ministry of Education Guyana indexed as Education, Ministry of, Guyana
Ministry of Education Jamaica indexed as Education , Ministry of, Jamaica
Filing order:
Education, Ministry of, Guyana
Education, Ministry of, Jamaica
EXERCISE 1
Place the following list of names in the correct alphabetical order for
filing.
Names Indexing Order Filing Order
Trevon R. Smith
Travis S. Spencer
Kellon T. Moore
K. Moore
Mr Roinel Smith
Theresa James-Smith
Mr Leon Thomas
Dr Joseph McKenzie
Ministry of Education
EXERCISE 2
Place the following list of names in the correct alphabetical order for filing.

Names Indexing Order Filing Order

Mrs Jessica Thom-Jackson
Professor Jeremy Wills

Dr Trevor MacPherson

Ministry of Education
Stacey Edgar

Rachel Thomas
Samuel Mac Cloud

S. Allicock
NUMERICAL
With the numerical method of classification, each name, document or folder is
given a number and they are then placed in a file in consecutive order
numerically.
E.g. Document 1012 would be placed after document 1011 and before
document 1013
Numerical filing is easily extended by continually adding more files to the
system without rearranging existing files. For this reason numerical filing is
often used in large organisations such as hospitals, insurance companies and
banks, where there is a need to add to the files indefinitely.
CHRONOLOGICAL
This means filing in some sort of time sequence. This usually means arranging
files according to date, but can also be applied to the time of the day.
E.g. Top of
file

January February March April May

Bottom
of file
GEOGRAPHICAL
This form of filing system places paper in order to their place of origin
or destination, or according to some other location.
E.g.
A company with marketing outlets in many overseas countries might
have a file for each country, and place them in alphabetical order.
Antigua
Barbados
Jamaica
St. Kitts
St. Lucia
SUBJECT
Business sometimes find it useful to group information or papers by subject.
This system will incorporate both subject and alphabetical ordering.
E.g.
Agents
Artists
Campaign
Media
Regulations
Research
INDEXING: METHODS &
PROCEDURES FOR
CROSS-REFERENCING
Cross-referencing is used when a file is identified by more than one name. A
card is prepared for the name under which the file will be placed. Cross
reference cards are then prepared for each of the names under which the file
may be found.
Kellie Baxter changed her name to Kellie Alleyne
Example of Card Record Example of Cross- reference card
Alleyne, Kellie 10346 Baxter, Kellie
Lecturer, The University of the West
Lecturer, The University of the West Indies
Indies
Refer to: Alleyne, Kellie- file 10346
Out sheets (or cards) are forms that are kept at the front of a file
folder. Documents that are on loan from a file folder are recorded
on the out sheet. They enable the records management clerk to
monitor the frequency with which files are borrowed, where they
have gone, when they are due back and whether they are overdue
to return.

Example of an Out Sheet/Card

Name of Borrower’s Borrower’s Date Date Returned
Document Name Department Borrowed
SL Partners Ria Bradshaw H. R. Dept November 11, November 15,
2011 2011
Tickler Files are known as follow-up files which are reminder systems
arranged by dates. It serves to remind users of specific actions that must be
taken on specific dates. Each time a file is borrowed, a card is placed in the
system under the date the file is due to come back. It is then easy to check the
cards and chase up any overdue files.
Colour Coding refers to the use of colours in information management
systems to make it easier to find files and to enable misplaced files to be
traced easily. E.g. Files A-C (Blue); D-F (Yellow); G-I (Red) and so on.
Example of colour coding:
Shared database refers to the creation of a database that can be
accessed and shared out by other users. It makes it easier for
people to get information and eliminates the creation of duplicate
documents.

Example: Different departments within a business may require the

same information from each customer. As such, instead of
collecting this information twice, it can be collected by one
department and stored to a database that can be accessed and
shared with other departments.
INACTIVE FILES
METHODS & PROCEDURES FOR
DEALING WITH INACTIVE
FILES
What are inactive files?
A file is said to be inactive if they are rarely referred to.
They consist of paperwork and other information that is no longer
required to conduct daily business, so they are furthest away from
the main filing area.
 MICROFILMING
Microfilming is a process that creates very small images of records for
storage called micro records. These are packed on rolls of film, called
microfilm. These are done on special cameras, that photographs and creates
the micro-record.
RETENTION PERIODS
In most organizations, management makes the decision to retain,
transfer or destroy a file.

Retention Period therefore refers to the length of time that a record

must be kept before it can be destroyed.
The legal retention period for most documents is 5 to 6 years. This
may also depend on the type of file being retained.
ARCHIVING
If it is felt that the information in the inactive files may be required at
sometime in the future and that they should not be destroyed, they are
archived.
Archiving involves storing in boxes and
placed in a warehouse or specially
prepared vaults.
 DISPOSAL OF FILES
When it has been established that inactive files will no longer be used,
management may decide that they can be destroyed. The most common method
of destroying files is to shred the contents. This can be done in the office or if
there are large number of files a specialist company can be employed.