OFFICE ADMINISTRSTION

RECORDS AND INFOMATON MANAGEMENT HANDOUT 4

Main duties of a Records management clerks are as follows:

● Classify, code, cross-reference, log and store records

● Maintain indexes for classification systems

● Operate information retrieval systems and respond to requests for

records

● Review files periodically to ensure they are complete and correctly

classified

● Label files according to retention and disposal schedules and prepare

files for disposal

● Maintain access lists for security classified records

● Compile statistics and reports on activities within records services.

Filing clerks perform some or all of the following duties:

Sort material that is to be filed according to particular filing systems

File material in drawers, cabinets and storage boxes

Locate and remove materials from files when requested

Keep records of materials filed and removed.

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What is the process for filing?

1. Classifying – determining where the document should be filed

2. Storing – The process of placing documents in folders using an agreed
format eg alphabetical, geographical, subject, chronological, numerical or
electronic
3. Retrieving- withdrawing documents from the files

There are six basic systems of filing:

1. Alphabetical
2. Geographical
3. Subject
4. Chronological
5. Numerical
6. Electronic

a. Alphabetical geographical
Names Correct filing order

Guyana Dominica

Montego Bay Guyana

Trelawny Montego Bay

New York New York

Dominica Trelawny

b. Alphabetical by subject
Names Correct Filing order

Accounts Documents Accounts Documents

Employment card Applications

Reports Employment card

Purchase Requisitions Invoices

Invoices Purchase Requisitions

Applications Reports

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 c. Chronological [by date]
Dates Sorted chronologically and alphabetically

7 October 1990 8 March 1984

20 December 2000 7 October 1990

12 September 2003 30 July 1997

30 July 1997 20 December 2000

8 March 1984 12 September 2003

d. Numerical
Names Sorted numerically

468- Spanish 130- Law

201- Mathematics 134 - Geography

134 – Geography 201- Mathematics

130 – Law 468- Spanish

Rules for filing business names

1. If a business name contains the name of person, this must be considered

first.

Names Correct filing order

S Jack Copper Co Cotts, W E Ltd

W E Cotts Ltd S Jacks Copper Co

2. Prepositions, conjunctions, articles

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 a. If a business name contains no personal names, words in it are considered in
the order in which they occur.
b. When T occurs at the beginning of name, it is placed at the end in brackets.

3. Symbols in a business name

Symbols such as the ampersand $#% are indexed as if spelled in full

4. Hyphens an punctuation marks

Hyphens and punctuation marks are ignored in indexing

5. Single Letter and abbreviations

Single letters in business names are indexed as written. When there are spaces
between each single letter, each letter is treated as for a word when sorting
alphabet.

6. Prefixes in business names

A prefix in a business name is filed as part of the word that follows it

El Pasco Pizza Parlor

St Rose Travel Agency

7. Titles in business names

Titles in business names are filed as they are written

Father Green’s Toy Shop

Professor Nutty’s Bar

8. Numbers in business names

Numbers written as figures are regarded as one word

25 Year Novelties

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Numbers spelled out are indexed as written and arranged in alphabetical order.

Ten Plus Dress Shop

Twenty Something Bar

Steps in filing

Before a document can be filed it must go through several stages:

a. Releasing – when a document has been read and is ready to be filed, it

should be stamped or initialed in the upper right corner.
b. Indexing – This is the process of deciding the name or heading under
which the document is to be filed
c. Coding – The name, name or subject under which the correspondence
is to be filed is underlined or circled.
d. Sorting – All correspondence is placed in alphabetical or numerical
order according to the names or headings that have been underlined or
circled
e. Filing – Documents are placed in relevant folders and their respective
storage areas.

Electronic File Management

Windows Explorer

Windows Explorer is an application that is part of modern versions of the

Microsoft Windows operating system that provides a graphical user interface for
accessing the file systems. In layman’s terms: Windows Explorer is your
computer’s filing cabinet.

Electronic Documents

An electronic document is any document that can be created, stored, manipulated

or accessed electronically. Examples of electronic documents include:

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 ● Microsoft word, Excel CD/DVD

● Images or photos

● Audio or Video

● Flash drives

BENEFITS of Electronic Filing

1. Easier and quicker to find

2. Easier to send
3. Readily portable, easy to save
4. Uses less Paper

Disadvantages

1. Cost of the equipment, its set-up and amount of daily usage

2. It is costly in terms of training staff to use software
3. Formatting issues
4. Storage issues

How to Organize an Electronic Filing System

Organization is key for business as well as personal use. No matter who you are, it
is important to have good organizational skills, especially when dealing with
documents - which all of us do at some point. In today's world, organization is
made simple for us through the use of computers and electronic filing systems.
Although this tool is available to us, we may still need a little help using it to the
greatest benefit. If this describes your relationship with electronic filing, the
following guidelines might prove beneficial.

Steps in electronic Filing

1. Decide what information you want to organize electronically.

2. Create one main electronic folder that will hold all others related to the set of
information you wish to organize. You may choose to label this folder whatever
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 you like, however, most computers will have a basic default setup of folders
including My Documents, My Pictures, My Music, etc. that may be useful for
this purpose. Hint - when labeling folders, try to be as concise as possible, using
the least amount of words that will clearly convey what the folder contains.
3. Depending on the amount of information that you wish to organize, you may
also need to create subfolders within the main folder. For example, if you were
trying to organize your taxes electronically, you might label the main folder
"Taxes" and each subfolder by year. This type of folder-subfolder organization
will keep your files in quick and easy access.
4. Within the folders, it is best to include dates on all documents, and arrange them
chronologically by such. You may want to include the date of the document in its
file name as well.
5. Be sure to continue backing up your files to a disk, preferably every three to four
weeks.
6. As your electronic filing system grows, you will need to keep it current by
moving documents to a disk that are no longer accessed regularly. By
eliminating this clutter, it will be easier for you to use the filing system more
efficiently.

Cross – referencing is used when a company changes its name, or a female

member of staff get married. The filing clerk has to be able to find the particular
file. direction to reader to look elsewhere: a note, especially one printed in a book,
index, or library catalog, that tells a reader to look in another specified place for
information

Bell, Mary

Lecturer, The University of the West Indies

Refer to: Allen, Mary – File 18PH 27

Cross-referencing card

Cross-referencing examples

● Names of married women using their husbands name

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 Name Correct filing order

Mrs. Mary B. Lawson Lawson, Mary B (Mrs.)

Mrs. Inez V. Pink Pink Inez V (Mrs.)

Crossed reference as

● Hyphenated surnames
Name Correcting filing Order

Maria Parkes-Brown Parkes-Brown, Maria

Crossed reference as

● Names of Organization
Name Correct filing Order

The University of the West Indies, Jamaica University West Indies, Jamaica

Cross referenced as Jamaica, West Indies University

● Names indicated by initials

UWI should be indexed as The University of the West Indies and Cross-referenced
as UWI

Out Sheet

An out sheet is a form that is kept in the front of a file to record any file or
document that has been removed from the file such as the date when the person
barrow the file, the name and also the borrowers initials and the date and time of
return.

Name of Document Borrower’s Borrower’s Date Date Returned

Name Department Borrowed

John Smith Application Steve Shaw Finance November 5, November 10, 2009
letter and resume 2009

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 Out card

Tickler file

A tickler file is a collection of date-labeled file folders organized in a way that

allows time-sensitive documents to be filed according to the future date on which
each document needs action. Documents within the folders of a tickler file can be
to-do lists, pending bills, unpaid invoices, travel tickets, hotel reservations, meeting
information, birthday reminders, coupons, claim tickets, call-back notes, follow-up
reminders, maintenance reminders, or any other papers that require future action.
Each day, the folder having the current date is retrieved from the tickler file so that
any documents within it may be acted on. Essentially, a tickler file provides a way
to send a reminder to oneself in the future—"tickling" one's memory.

Tickler files are often used in newsrooms by editing, journalists, and reporters, as
well as by many other groups, including sales representatives and professional
offices in medicine, law, non-profit, government, and accounting.

A tickler file system also has other applications such as museum guides,
specialized fact books, time management software, or any organized arrangement
of information to which a person may want quick access.

Colours as signals

Colours as signals or colour coding refer to the use of colours information

management systems to make it easier to find files and enable misplaced files
easily. Example A-C (Yellow) D-H (Red) I-L (Green)

Inactive files

Files that are not longer required are described as inactive or dead. When hard
copy documents are unlikely to be needed again, but cannot be destroyed for legal
reasons, they can be stored in an archive. This is a normal filing system where
documents can still be accessed if necessary.

A shredding machine is used to disposed of dead files. The shredder cuts paper
into thin strips that makes the paper unreadable. This shredded paper can be used
to protect fragile items for transport.

Microfilming

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Microfilming provides a way of retaining documents for a longer period but the
file storage space reduced. Microfilming is the process of photographing papers on
a strip of film to record them in miniature form. It is estimated that at least 90% of
filing space can be saved using this process. The microfilm can be stored in a
variety of ways – on reels, in strips on aperture cards or on a microfiche, which is
single sheet containing many pictures of pages of documents.

Centralized and decentralized filing

Centralized filing means that a single department is responsible for the filing of all
the organization’s documents. The various departments of the organization brings
all their documents in one central room to be handled by one person.

Advantages of centralized system

● It reduces filing space by avoiding duplication of equipment

● All records are kept in one place

● It assist confidentiality and reduces over-handling of documents

Decentralized filing

All departments carry out their own filing.

Advantages

● Papers can often be found more quickly.

● Files can be referred to while the person is one the phone

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Legal issues affecting records management

This handout contains six issues affecting records management

Nature and limitations of the right of access

Personnel files

The industrial relations laws of many countries ensure that current and former
employees have a right to access to information in their personnel file at reasonable
time and intervals. Therefore, employers should ensure that at least one of the
following is facilitated:

▪ Keep a copy of each employee’s records.

▪ Make the records available at the place of work within a reasonable amount
of time

▪ Allow the employee to inspect the records where they are stored, with no
loss of earnings to the employee.

Government records

A significant number of countries have laws that regulate the right to access
information. For example, Jamaica’s Access to Information Act which gives the
public the right of access to official government information. The principle of these
laws is that individuals and organizations have a right to get information about the
government’s activities and policies, including free access to many of its
documents and records. Documents and records include:

▪ Written documents

▪ Graphs, plans, maps or drawings

▪ Photographs

▪ Discs, tapes, soundtracks or other sound recordings

▪ Films, including microfilm

However, official documents are exempt under certain circumstances such as if:

▪ The access would adversely affect the defence, security or international

relations of the country

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 ▪ The document contains confidential information that was provided by a
foreign government or international organization

▪ Disclosure of the records could endanger a person’s life or allow a person to

avoid being prosecuted by law

▪ Access would have a negative impact on the country’s economy

▪ Disclosure would infringe the privileges of parliament

Parliamentary privilege

This is the protection granted to members of parliament to ensure that they have
freedom of speech.

This means that legislators are granted protection from lawsuits and criminal
charges for statements made during debates or proceedings in parliament.
Parliamentary privilege implies that:

▪ Members of parliament are able to debate matters of importance

▪ Members may not be sued if they make defamatory statements when

participating in debates

▪ Members are able to raise issue that they may have otherwise avoided
because of fear of prosecution.

However, the speech and actions of members are governed by the standing
orders of parliament. These standing orders prohibit members from:

▪ Making statements that are deliberately intended to mislead the

parliament

▪ Using offensive or insulting language

Infringement of copyright

Copyright is the right to control the reproduction or adaptation of creative and

artistic works for a certain period of time. Copyright protects works such as music,
books, software, movies, paintings and photographs. Copyright infringement
occurs when a work is reproduced, displayed or distributed without permission of
the copyright holder. Copyright holders may prohibit the following:

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 ▪ Making copies by any means, including typing, photocopying, scanning into
a computer, and copying CDs or DVDs

▪ Issuing copies of the work to the public

▪ Publishing the work on the internet or making it available online for

download to a computer

▪ Broadcasting or performing the work in public.

Defamation

Defamation is any false accusation or malicious misrepresentation of words or

actions of an individual, designed to damage the individual’s reputation or good
name. The laws of many countries also protect organizations from defamation.
There are two aspects of defamation:

▪ Slander – spoken words

▪ Libel – written or broadcast communication, including items published

electronically.

Breach of confidence

This occurs if sensitive information is disclosed to a third party, such as someone’s

medical condition or financial details. Organizations that deal with personal
information, such as banks, hospitals and schools must ensure that only authorized
individuals can access this. HR departments are responsible for ensuring that staff
details remain private. The law varies from one country to another; however, may
countries allow the victim to sue the offender if such a breach occurs. Therefore,
an organization must ensure that personnel files are kept secure and access is
strictly controlled.

Secrecy provisions

Many organizations have ‘trade secrets’ or future business plans that they want to
keep to themselves. Employees who know about these are usually asked to sign a
non-disclosure clause in their contract to prevent them talking about this to anyone.
Some suppliers may also have to sign special contracts.

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 CENTRALISED AND DECENTRALISED RECORDS MANAGEMENT
SYSTEM

Organizations that have a choice whether to allow each department to maintain its
own files (a decentralized system) or whether to set up a central department that is
responsible for all aspects of records management (a centralized system).

To select a filing system the following should be considered:

▪ The size of the business

▪ The number and type of records that it needs to keep and maintain

▪ Whether the business is situated in one central location or in several small

offices

▪ The number of people who need to access different records

Advantages of a centralized system

▪ Specialist staff can be employed and trained to operate the system

▪ Specialist equipment and supplies can be purchased

▪ Major decisions about archiving, retention and access levels can be made
and enforce

▪ Procedures are the same for everyone to follow

▪ All documents are kept in one place which reduces duplication.

Disadvantages of a centralized filing system

▪ It may be more expensive, in terms of staff and space requirements

▪ It may be difficult to obtain a file quickly, even in a emergency

▪ The equipment and methods of storage may not be appropriate for specialist
department
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 ▪ Highly confidential files may still need to be kept in a separate location

▪ If a file is lost, there may be no backup or alternative records available.

Advantages of a decentralized filing system

▪ Records can accessed quickly because they are close at hand

▪ Equipment and procedures can be appropriate to the type of documents

stored, and their use

▪ Departmental staff will automatically update their knowledge as they file

and retrieve papers in the system

▪ Confidential matters remain within the department.

Disadvantages of a decentralized system

▪ Some departments may keep records efficiently, others may not

▪ There may be duplication of paperwork and records between departments

▪ If a file goes missing, everyone may deny responsibility

▪ Filing procedures and policies about archiving, retention and access

▪ Levels may vary from one department to another

▪ More equipment and storage space is likely to be needed.

Small and large-scale businesses

Small businesses

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Small business will hold a limited number of records and these will be needed by
the majority of staff. Therefore they should be easily accessible. The usual method
is to locate filing cabinets near to the staff that need access to the files they contain.

Large-scale businesses

Large-scale businesses may refer to introduce a centralized system as this will give
better control and accountability. Some large organizations are choosing to
introduce electronic document management systems. The latest systems enable
staff from all departments and locations to access any document quickly via the
company intranet or even using a web-based system.

FILING EQUIPMENT AND SUPPLIES

Research the use of the following filing equipment and supplies:

a. filing cabinets and folders; index cards;

b. minute sheets;
c. charge-out cards;
d. dividers;
e. treasury tags;
f. fasteners;
g. microfilm, microfiche;
h. external storage media

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