Records and Information Management – Chapter 4

Records and Information Management is a system of maintaining information so that it is easily referred
to in the future. Records management ensures that records are systematically and efficiently:

• created, captured and described

• secured, stored and preserved for as long as they are needed

• destroyed or transferred once they no longer have any residual business value.

What is a Record?

A record is all information created, sent and received in the course of your job is potentially a record.
Records provide evidence of your agency's business. Whether something is a record depends on the
information it contains and the context. Records can be in paper, digital or other formats. It is also any
information (text, data, image or voice) kept for future reference.

Importance of Records Management

Records are an important and unique source of evidence and information. They provide specific
information about a business. Managing information and records effectively makes your job easier and
helps your colleagues.

If you regularly make records and keep them in the right places, it will be easier to:

• locate emails, documents or information when needed

• reuse valuable work that you or someone has done in the past

• determine the most recent version of a document

• produce evidence as to why a particular decision was made

• protect yourself, your clients, citizens and the Government

• support cultural, social and historical values, helping future generations understand history,
society, culture and people

Characteristics of an information management system:

• Data input – entering the information in the system

• Data storage – holding the information in the system

• Processing data – changing the information in some way to allow its retrieval

• Archiving - long term storage/preservation of information

• Real time processing – carrying out the processing of information manually

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 • Batch processing – setting up of a computer programme so that files can be completed
automatically

• Retrieval of information – this is finding the information quickly and easily from wherever it is
stored

• Compressing (zipping) files for storage – this means that the files will become smaller and takes
up less space (can be done by putting the files in a folder)

Characteristics of an Effective Records Management System:

• Access protocols – The levels of access to files determine which level of staff can obtain files.
Only some files will be available to some persons such as HR records and sensitive financial
documents. Access to confidential files is controlled by the use of passwords that are only
known by certain persons

• Security: physical and password – Records should be safely stored. In the case of physical filing,
records should be stored within lockable, fireproof and waterproof devices or archives. If they
are stored electronically, they should be secured with a backup system and password

• Accountability – this means that someone must be responsible for the system to ensure it
operates in good order. The rules/guidelines must be followed by the person (s) responsible for
the system in order to prevent unauthorised access. The system should also protect the privacy
of the persons whose data/information is being stored and also observance of the relevant laws
that apply (e.g. privacy, data protection, and identity theft).

• Expansion – The system used should be able to be expanded without a major over
haul/disruption.

Duties of a Records Management Clerk

A Records Management Clerk is a person who is responsible for both physical and electronic records and
is normally placed in the centralised records management department of large organisations. Where
record keeping is done in a decentralised manner (small organisation)

a) Preparing documents – It would be wise to organise records, whether hard copies or electronic
records. For example, for physical records (documents) they should be sorted
(alphabetical/numerical/chronological) before they are filed. This helps to avoid time wasting.
Preparing the documents include: checking documents are in the right order/complete;
removing paper clips/staples; repairing torn papers; scanning received documents into the
system; adjusting or changing the image as required. Documents can be placed in filing racks or
concertina files to be dealt with at a later time

Other preparations include repairing torn/damaged documents; checking staples; clipping

documents to go into the correct file

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 Concertina file File Rack

b) Processing data - This refers to changing the data in some way by scanning received documents
into the system, adjusting or enhancing images as required. Processing also involves the
indexing and/or classifying of documents according to the system, and securing documents into
the correct folder (this is done for electronic data). Data processing include entering the data,
summarising the information and converting the data into usable information. Processing also
involves recording, analysing; sorting; calculating and disseminating information

c) Managing Records - This is an important part of the duties of a Records Management Clerk.
Whichever system is used must be carefully organised in order for the quick and easy access and
retrieval of information. Managing records involves making out cross reference cards,
controlling access to files; ensuring borrowed files are returned promptly and inactive files are
identified. Documents should be scanned into the system promptly and ensuring the system
(electronic) is backed up every day.

d) Retrieving information/records – Records must be obtained as requested for authorised

personnel and documents should be tracked to ensure borrowed files are returned. Persons
should be assisted when help is needed to retrieve documents

Classification of Records Management Systems

Classification refers to the system by which information (record) is stored. It is the process of devising
and applying schemes based (order) on business activities whereby records are categorized in a
systematic and consistent way to facilitate their capture, retrieval, maintenance and disposal.
Classification of records includes determining documents or file names, user permission and security
restriction on records.

The order chosen to store records will depend upon the type of record and which aspects of it are most
important. There are a number of forms and combinations of classification. The most common method
is alphabetical but there are others such as, numerical, geographical, chronological and subject filing.

Alphabetical Classification Method – This involves arranging records in alphabetical order especially
when the name is the most important factor. For example, human resource records (staff files) or

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customer files. There are a number of rules however, which have to be understood in order to operate
this method of classification.

1. In the case of personal names these are listed by the surname first, eg. Adams, P; Brown, ET;
Curtis R; Davis, J; Edwards, W; Felder, K. If there is more than one person with the same
surname the first name or initial is considered and the rule ‘short before long’ applies, eg. J
Smith would be listed before John Smith. When there are several identical names the addresses
may be taken into account to place the names in order, eg. Adams A, 8 Amity Lane; Adams, A 18
Browns Road; Adams, A 12 Crown Hill etc.

2. Prefixes –Prefixes such as De, Du, O, Van etc. are considered part of the name they prefix eg.
O’Connor is filed as Oconnor. Other prefixes also require observance of the special consistent
rules. M, Mc and Max are all treated as ‘Mac’. The next letter in the name determines the
position as to how it will be filed, eg. McBride, J; MacCallum, P; McDuff, CF; McEwan, S; Macey,
V. Names beginning with St. or Saint are all treated as if St was spelt Saint. Titles and hyphens
are ignored (Dr. Rev. Mr. Mrs. Etc.) when using this classification method. Hyphenated names
eg. Campbell-Brown are filed as if the hyphen is not there. Names that sound alike but spelt
differently can create a challenge; however, the spelling of these names should be thoroughly
checked, eg. Read, D; Reade P; Reede, J; Reid, R; Reed, V; Reide T

3. Business names – if the name of a business is a personal name, the same rules apply as in 1
above eg. Brian Adams & Co would be filed as Adams, Brian & Co. If a company name includes
two or more surnames, then the first surname then the second would be used to file the record.
For example, Heffer & Edwards would be filed under Heffer (H).

4. Impersonal company names – these are placed in the order in which they are written in the
title, eg. The United Juice Company would be United Juice Company, The

5. Names as numbers – a name that is shown as a number would be filed as if the number was
printed in full, eg. 1st choice Supermarket would be First Choice

6. Initials as titles – where a company name includes initials, these are list at the beginning of each
letter of the filing system and before surnames and longer titles eg. AAA Auto; ABC Electrical;
AVS Travel would be listed before Abraham, J.

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Advantages

 Simple and easy to understand

 Doesn’t need separate index
 It is flexible

Disadvantages

 Time consuming
 Difficult to arrange files
 Difficult to locate in case of common names

 Numerical Classification Method – This method uses numbers to classify records and placed in a file in
consecutive order numerically. For example, 1014 would be placed after 1013 and before 1015. A
numerical system requires an alphabetical index as shown in the index section of a book. It is easily
extended by adding more files to the system without the need to rearrange existing files. It is used in
institutions such as hospitals, doctors’ offices, banks and insurance companies due to the need to add
files indefinitely.

Advantages

 Suitable for large offices having large number if files and folders
 Accurate method of filing
 It is flexible
 Separate index can be easily developed using numbers

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Disadvantages
 It is expensive to operate
 It is time consuming
 Not suitable for small organizations
 It is not easy to operate
 Separate alphabetical index is required

Chronological Classification Method – This is the storage of files and documents in sequence according
to their date of receipt, or date and time of creation (date order) and is only suitable for certain types of
documents such as bank statement or petty cash vouchers, where the identifying feature is the date.
The most recent papers are filed on top for easy access and older papers are filed towards the back of
the file. The tickler file system is also a chronological system, which acts as a memory jogger.

Advantages

 Simple to understand and easy to operate

 Quickly located if their dates are known.
 Less expensive

Disadvantages

 Not suitable for large offices

 When clear dates are not mentioned then there can be difficulty.

Geographical Classification Method – With this method, files are grouped according to the geographical
location of an organization or individual. The names of places are written in a file and are arranged in filing
cabinet, either in alphabetical or numerical order whichever is suitable for the organization. It used in

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multinational companies or those organizations whose business and branches are located in many parts of
the country or across the world.

Advantages

 Easy to understand and use

 Can be arranged in alphabetical and numerical order
 It used in those organizations whose business is engaged in correspondence with the businesses all over
the globe or the nation.

 Disadvantages

 It is expensive to set up
 Not suitable for small scale organization
 It is time consuming
 There is no need for the use of card or index

Subject Classification Method – this filing method classifies records according to their subject.
Letters and documents are classified and arranged in files and folders into subjects or sub-
subjects. Subjects must be arranged alphabetically; it is widely used in cases where the subject
is more important than the name of the person or organization. All documents relating to the
same subject are filed together in one file.

Advantages
 Simple to operate
 Flexible
 Convenient
 Files/records are easily located

Disadvantages
 Not applicable for filing miscellaneous subject matter
 It is time consuming
 Difficult to locate when the subject matter is not properly understood

Indexing methods and procedures for cross referencing

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1. Out Sheets/Cards – These are used to keep a check on borrowed files. The sheets
enable the records clerk to monitor the frequency with which files are borrowed, where
they have gone, when they are due to be returned and whether they are overdue for
return

2. Tickler file – this is a system that reminds you what needs to be done; eg which files are
due to be returned. Each time a file is borrowed a card is placed under the date the file
is due for return

Tickler File system

3. Card indicators – these separate cards and file folders into separate sections i.e
alphabetical or numerical so that they can be found easily. Guides used as card
indicators include drawer guides which are placed on the front of each drawer of the
cabinet eg. A-D, E-k etc. Primary guides are index tabs that stick up inside the drawers,
but are placed in between the subsections of files eg. A, B, C etc. Secondary guides are
also index tabs that are placed in between subsections of files eg. AB, AC, AD. File titles
are placed on the right hand side of each individual file

Numerical card indicator

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 Alphabet Card indicators

4. Colour coding – this is the use of colour to denote different types of files to find them
much easier. It also makes it obvious if a file is returned to the wrong place. Filing
cabinets, charge out cards, card indicators and even file folders can be purchased in
different colours.

5. Searches and shared Databases – When searching for a record ease and speed are
essential. The classification of records can help in this regard whether the record is in a
physical or electronic system. When more than one person has access to a database it is
referred to as a shared database. For example, insurance companies often share a
common database that records claims made by policy holders. This is done in order to
prevent fraudulent claims.

Records stored on a computer can be edited and retrieved easily as well as found
quickly by searching specific criteria.

Methods and procedures for dealing with inactive files

a) Use of microfilming – This provides a way of keeping physical records for a longer
period by reducing the file storage space. Microfilming is the process of photographing
records on a strip of film to record them in a miniature form. For example a sheet of A4
paper can be reduced to the size of a postage stamp using this process. The microfilm
can be stored on reels, in strips, on aperture cards or on a microfiche. Microfiche is
better in that images do not have to be viewed sequentially on a roll of film.

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 b) Retention periods – This refers to the length of time for which a record must be kept.
Retention periods take into consideration the legal requirements of certain documents
such as accounting and tax records, payroll information and accident reports, which by
law are required to be kept for a minimum number of years; 7 years for accounting
records and 6 years for tax records. It is to be noted that some personal data records
cannot be kept electronically beyond a specified period of time whilst it is retained data
protection legislation imposes specific limitations.

c) Disposal of files – This should be done when files are no longer required. However,
there are some files although inactive cannot be destroyed for legal reasons but should
be archived.

d) Archiving – This is the putting away of inactive records in long term

storage/preservation. The records must be in good condition and clearly labelled and
placed in special boxes available for this purpose. An archive is collection of records or
the place where they are kept.

e) Backing up to external storage media – Records can be backed up to external storage

devices such as compact discs (CD) or digital video discs (DVD), USB flash drives as well
as external hard drives.
Regulations related to:

a) The right of access – This affords individuals the right to find out information about them held
on files. For example, employees have the right to make a request to see their personal files
held by employers and citizens have the right to access files held by credit companies n relation
to them

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b) Limitations on the right of access – There are some information held on files that can only be
accessed by certain persons. For example, an organization may decide that only some persons
in the finance department are to have access to accounting information/data, such as those
directly involved in payroll matters. Notwithstanding, all employees should have access to
their personal files.

c) Infringement of copyright – Copyright refers to the legal ownership by persons of certain kinds
of information such as literary writing, artistic, musical and dramatic work and other original
creations. Copyright laws limit the action that can be taken with an original work that someone
else created.

d) Defamation - This refers to the injuring of a person’s good name or reputation. For example,
storing, transmitting or speaking information about someone that is not true. If this happens
the person doing it is said to have defamed the other person and can be sued for damages in a
court of law. Defamation law aims to prevent anyone writing or saying false or malicious
statements about another person or organization.

e) Breach of Confidence – This occurs when sensitive information is disclosed to a third party
which has been told in strict confidence. For example, being told personal information about a
person applying for credit or a person’s health condition. Organizations that deal with personal
information such as banks, schools and hospitals must ensure that only authorized persons have
access to these information.

f) Secrecy Provisions – The information that a person has is sometimes deemed to be secret
information. For example, military information that is important for national security. Some
organizations have information that is also considered a secret eg. ‘trade secrets’ or future
business plans. Employees who have access to these information are usually asked to sign a
non-disclosure clause in their contract, to prevent them from speaking to anyone about it.

g) Freedom of Information Act - This act sets the rules that governs or guarantees access to data
held by the state, including central and local government. Under the Freedom of Information
Act, an individual can obtain information about government activities by requesting a copy of
certain documents. Government-held information can be received freely or at a minimal cost
with some standard exceptions.

Filing Equipment and Supplies

a) Filing cabinets – There are a number of cabinets that are used for physical filing,
usually constructed of metal and offers protection against theft, fire and pests. The
three main types of cabinets used are:

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- Vertical filing cabinets: These are most commonly found in offices; they have
between two and five drawers, which are lockable and fitted with a safety
mechanism to prevent more than one drawer being opened at once. Vertical
cabinets stand upright and file pockets hang vertically from rails inside the drawers
of the cabinet. Suspending files from the rails avoids the problem of files slipping
down from the upright position in the drawer. The contents of each file pocket are

identified by title strips or labels.

- Lateral filing – Lateral filing cabinets take up less room space than vertical cabinets
because there are no drawers to open. These cabinets are wider and not as deep.
Lateral files are kept in a cupboard like cabinet, which opens at both the front and
back to allow files to be reached from both sides of the cabinet. The file pockets are
suspended from rails (shelves) fitted across the cabinet and arranged in rows like

books on a shelf.

- Horizontal filing cabinets – These are used for documents that are very large, such
as plans, artwork, photographs, architect drawings and maps, which are stored flat
in special shallow cabinet drawers. Shallow drawers are necessary because the
documents they contain do not have individual folders but are stacked on top of
each other.

b) Folders – These are used to store papers/documents and are available in a variety of
colours. The type of folder used is dependent on the type of information being
stored.

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c) Index cards – These are used to record small items of information

d) Minute sheets - These are placed on the inside front cover of a file folder for
persons to make comments and requests or record short notes. It is also used to
record the movement of the file from one person to another.

e) Charge out cards – These are used to keep a record or check on borrowed files. They
enable the records management clerk to monitor the frequency with which files are
borrowed or where they have gone.

f) Dividers - These are used to separate files in order to make it easier for them to be
found or they may be used to separate notes and keep them neat.

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g) Treasury tags – are pieces of strings with metal or plastic bars at the ends, used to
secure papers that are hole-punched.

h) Fastners – used to temporarily secure papers eg. paper clips, bulldog clips; they
come in a variety of colours in plastic or metal.

i) Microfilm – This is a film on which paper documents are converted into tiny or
miniature images for preservation or archiving. This is used when space is an issue
for storing records.

j) Microfiche – is a card or sheet of microfilm capable of accommodating and

preserving a considerable number of pages of printed text, in reduced form.

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 k) External storage media – These are devices used to store documents electronically.
The devices include CDs, DVDs, USB flash drives as well as external hard drives and
CD-ROMs for larger systems.

Difference Between Centralised and Departmental/Decentralised Records Management

Systems
a) Centralized Records Management Systems
Centralized filing means that a single department is responsible for the filing and records of the
entire organization. All departments will pass all records to this single department for storage.

A centralized filing system will depend on several factors, which include:

 The size of the business

 The number and type of records that needs to be maintained
 Whether the business is situated in more than one location
 The number of people who need to access the records
Advantages of a Centralized Records Management System
a) Specialist staff can be employed and trained to operate the system
b) Specialist equipment and supplies can be purchased

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 c) Major decisions about archiving, retention and access levels can be made and enforced
and will be consistent throughout the organization
d) Procedures are the same for everyone to follow
e) All documents are kept in one place, which reduces duplication
Disadvantages
a) It may be more expensive in terms of staff and space requirements
b) It may be difficult to obtain a file quickly, even in an emergency
c) The equipment and methods of storage may not be appropriate for specialist
departments
d) Highly confidential files may still need to be kept in a separate location
e) If a file is lost there may be no backup or alternative records available

Departmental/Decentralized Filing System

A decentralized filing system is one in which each department of the organization carries out its
own filing and, are usually controlled by the person who creates and/or receives them.

Advantages

 Files can be more easily retrieved and referred to whilst talking to someone on the telephone
about the contents of a record
 Does not require "extra" space needed for centralized files.
 Hard copy documents can often be found quickly without the need to go to the central location
especially if it is some distance away ( on another building)
 Personnel concerned with the files are more familiar with their contents
 Staff feels more comfortable knowing they are in control of their own filing and retrieving.

Disadvantages

 Confusion as to where information can be found, especially if staff member is absent

 Can result in "fragmented" documentation - information related to the same topic or subject
filed in multiple places.
 Individual staff members may not know how to properly maintain their files.
 Lack of uniformity or consistency.
 Duplication of supplies and equipment may be costly to the organization
 There may be a number of different filing systems within departments of the organization that
make it difficult for persons to follow.

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b) Organisation and operation of records management systems for small and large-scale
businesses
The type of records management system used will depend upon the size of the business
(large, small).

A small business will have a limited number of records and should be easily accessible.
For example, financial records will be kept near to where the accounts staff works. As
the business grows the system can be maintained or changed. However, this will
depend on the nature of the business eg. a hotel will not need to keep many records as
such, it would be easier to store the records in one area.

In a large scale business the records management system may be centralised to give
better control and accountability. For example a hospital will store patient records in a
centralised area to prevent a record from going missing. Some large businesses prefer
to use an electronic document management system. This type of system enables staff
to access documents quickly via the intranet or a web-based system. This means that
staff do not need to be on the premises to gain access to files.

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