UNIT 4 RECORDS AND INFORMATION MANAGEMENT

4.1 Introduction
All businesses receive and produce information daily. This information must be stored
safely and accurately so that it can be retrieved quickly and easily whenever it is needed.
Because many people perform a wide range of tasks. it is important that the information
is managed efficiently. and that special procedures are in place so that vital information is
not lost or mislaid. Information no longer required must be dealt with in order to free up
space. Therefore, procedures for disposal of information must be strictly followed also.

Each unit of information is called a record. Records are sets of information on a

particular topic.

Examples of records:

• Business letters
• Memos
• Emails
• Contracts
• Sales invoices
• The personnel file for an employee
• A work order for the factory
• Customer record of enquiries and transactions.

Records are kept as evidence of business transactions performed. Records such as bills,
receipts, and contracts are routinely created as part of the daily activities of the business.

Records are used to analyse past performance and plan future direction of the enterprise.
For example, stock valuation, profit analysis, budgeting, and allocation of capital to name
a few.

As number of documents are legally required in line with government regulations. Not all
documents are treated as records. A document is filed as a record if it:

• Is necessary for the successful operation of the organisation

• Is required by law
• Serves as evidence of a business transaction.

Documents can accumulate very quickly and become a disorganised collection. Finding
documents may be time consuming. Documents could be lost or misplaced. Documents
should be filed as quickly as possible making their storage critical.

Every document has a lifecycle and lives only if it serves its purpose or when the retention
period has expired.

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What is record management?
Records management is the systematic planning, controlling, organising, and training
involved in the maintenance of the records of an organisation- from their creation to their
ultimate disposal. The filing and record information system is the nerve centre of any firm.

Records need to be classified based on their activity or level of importance to the business
or both.

Vital records - Records that must be protected in case of emergency or disaster and if
lost or destroyed would have serious consequences. To replace them would be costly or
time consuming. These can be active or inactive records. Examples:

Legal documents such as property deeds, leases, binding contracts, accounting records
relating to payments, copyrights etc

Essential records – records needed within 72 hours after an emergency. Although costly
and difficult to replace they can be reconstructed or replaced form other sources. For
example, a business licence certificate.

Useful records- records used in the operation of the business but if lost or destroyed
would not prevent the daily operations from taking place. For example, business reports,
letters of enquiry, letters of complaint.

Non- essential records- Records not needed for the survival of the business and have
little or no predictable value. For example, catalogues, brochures, newspapers, telephone
messages.

Important Records- Records that contribute to the smooth operations of an

organisation, documents can be replaced if damaged or lost but with considerable time
and money. For example, customer orders, case files, tax records and some legal
documents.

Importance of records management

• Retention of records needed to meet administrative and operational requirements
• Permanent retention of vital records
• Effective creation, retrieval, and maintenance of current records
• Security of vital records
• Regular, authorised destruction of obsolete records
• Efficient dissemination of information throughout an organisation.

Information management systems

Information management systems aim to ensure the efficient control of records- both
paper and electronic throughout their life. This means from the time they are created or
received until they are disposal of. These systems aim to ensure that records are kept
securely and in good conditions, and that they can be retrieved easily. When they are
longer needed, they are thrown away or archived.

Records are sets of information on a particular topic. For example, a customer record
will include all recent enquiries and transactions

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Archiving means removing inactive files from the system. These may be destroyed or
moved to long- term storage.

An information system refers to the methods and equipment used to store documents
, either manually or electronically.

Processes in information management

1. Pre-sorting – Papers are organised, and related pages stapled or linked using
treasury tags

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2. Recording – Register the information in the system by assigning a unique identity
such as a title, identification number and date.
3. Classification – Arrange records into categories based on the business activities
they document. Classification provides order and ease of access when needed.( see
notes later).
4. Indexing – a system of listing records and their matching location. Indexing makes
retrieval much easier. Indexing provides a summary of the information within the
system.
5. Storage – Storage of records either physically using paper folders, filing cabinets,
boxes, and index cards etc.) or electronically using computers or microfilm
6. Preservation – Keep records safely for as long as required by law or needed.
7. Retrieval- Making records available when needed
8. Disposal- Outdated documents not longer needed by the business or required by
law are remove form the system following a specific process. This process must
show a record of when the record was removed, who authorised its removal and
how it was disposed of or destroyed. A shredder is one of the safest and most
efficient ways of disposing unwanted documents.

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Key points:

In summary, the information management system includes:

❖ Data input
❖ Data storage
❖ Processing
❖ Retrieval of information
❖ Archiving

The Hoshi Inn in Japan is the world’s oldest hotel in operation. It began operations in 718.
Can you imagine the number of records that must have been created since then?

Characteristics of an effective records management system

Records management aims to ensure information can be found easily and that records are
kept in pristine condition. See other characteristics in below table

Characteristic Meaning
Access Level of access determine which grades of staff can obtain the files.
Some files will be available to everyone, others may be available only
to supervisors or managers such as HR records and sensitive financial
information. Access to confidential information is controlled by using
passwords that are known only to certain levels of staff.
Security Files must be stored securely from unauthorised access, alteration,
tampering or destruction of records. Use fireproof filing cabinets
should used be locked at night. Some have special combination locks
for added security. Those records used for confidential papers are
kept locked all of the time. An electronic filing system must also be
kept secure. This means ensuring it is backed up every night and
stroing the back up copy off the premises.
Reliable System must capture all necessary records, organise them
appropriately. Make them easy to follow.
Accountability Someone must be responsible for the system and following a method
of keeping evidence of use of the information and for ensuring it
operates smoothly. Users must follow the rules and procedures that
apply. This prevents unauthorised access and ensures that any files
that are borrowed can always be traced.
Expansion The system must be capable of expansion, adjusting to the growing
needs of the organisation.

Compliance Records must be handled in accordance with the legal requirement

and in keeping with sound business practices and the company policy.

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Study question

Collecting

Retrieval Indexing

Storing

1. Look at this chart

a. Which process of the information management system is missing from the cycle?
b. Where in the cycle should it be placed?
c. How important is this process in the information management system? Explain your
answer

1. Explain the meaning of the following terms

a. Record
b. Indexing
c. Classification
d. Retrieval

2. Discuss THREE factors that should be considered when designing a records management
system to ensure its effectiveness.

4.2 Maintaining records management systems

The system(s) used can be manual or electronic or even a combination.

The system (s) must be best suited to the organisation to ensure there is:

• Reliability – Provides easy authorised access to organised records appropriate to

the organisation
• Confidentiality- The security of the system provides unauthorised acess
• Cost effectiveness- reduces the cost in each stage of the record cycle

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 • Fixity- records cannot be tampered with, deleted inappropriately or altered
• Accessibility- ensure all records are available to authorised users
• Protection- documents are kept in appropriate storage to prevent damage,
destruction, alteration or removal
• Accountability- Records can be found
• Flexibility- the system can be expanded or contracted
• Comprehensiveness –The records must relate to the organisation in a logical
structure so it can be easily understood to authorised users.

Manual record mangement

Every organisation has paperwork that it needs to keep stored for future reference. Some
organisations store paperwork manually by placing documents in paper files and locking
them in cabinets.

Filing procedures

1. Collecting- collect documents for filing

2. Inspecting and releasing- inspect all documents to ensure thaey have been
released for filing. A release mark should be made to indicate that the document is
ready for filing.Use of a stamp- ’file’, a check mark, or a sign off.
3. Indexing – determine the key word or number under which the record will be filed.
Careful indexing is critical to finding documents.
4. Coding- after determining how a document should be filed the indexing caption
should be marked on the document,
5. Cross- referencing- this must be done if a document can be called for under more
than one heading.
6. Sorting- rearranging the documents in the same order in which they will be filed
this will help the file clerk to file more quickly
7. Filing- here, the documents are actually placed in the paper folder and housed in
labelled filing cabinets

Electronic record management

Influence of technology

Computers are used more and more in businesses now for a wider range of acitivties in
the office such as communication, stock control, purchases and sales. Documents are
received and sent in a wide range of electronic formats. These include:

• Word processed documents

• Digital images or scanned paper documents
• Online forms such as purchase orders from websites
• Emails
• Instant messages.

Businesses have to find ways to store and manage these types of electronic records. Also
organisations scan physical documents and store in their electronic record management
system. This reduces the amount of paper that must be kept and also cuts down on the
space required for a manually filing system ( cabinets).

An increasing number of businesses are investing in technology or integrated systems

which can store and manage documents which are generated by computers and physical
documents. This system is called an electronic records management systems.

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This type of system is now very common and businesses are required to follow certain
guidelines issued by the International Organisation for Standardisation (ISO) and the
respective government guidelines.

Benefits (advantages) of an electronic filing systems

• Saves or reduces physical space for storing documents.
• Saves on cost of additional office space or offsite storage space
• Documents are readily available online to workers or customers.
• Reduces the number of staff that must be hired for filing and record management
• Less chance of misfiling, misplacing a document
• Increases the speed with which documnts can be located and retrieved
• Passwords allow for different access levels with set up quite easy to do
• No risk of documents getting torn or tatty, lost or damaged
• Documents created by different departments can be seen by authorised users who
have been given access.
• Electronically stored documents are accepted by legal and regulatory bodies in
many countries. These must however follow guidelines set by the governments for
user records, security control, audit trails and document history.

Limitations (Disadvantages):
• Records may be lost if the computer system crashes. There must be a proper
schedule for automatic back up of the system
• Set- up costs for equipment and staff training may be quite high for a small
business
• It is less easy to flick through a set of files on a particular topic
• Documents must be shredded after scanning, or little space will be saved

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 • Documents cannot be seen without access to a computer
• Countries may not yet have laws and regulations in place to accommodate
electronically stored documents. The organisation may have to store paer
documents and maintain these physically. For example signed contracts.

Processes in electronic records management

Electronic filing systems use computer programs to handle the various processes in record
management.

Processes:

• Records capture
• Processing of data
• Storage
• Retreival
• Archiving and disposal

Record capture- Electronic or paper documents can be collected or captured. A paper

document can be captured by using a scanner to create a digital image that can be viewed
on a computer. Electronic documents are caputed by importing them into the system by
creating a copy or by creating a link to those electronic documents already in the system
and registered their location.

Processing- Data needs to be organised, sorted and indexed ( processing) This can be in
either batches or real time.

❖ Batch processing- data is gathered over time and then processed together
❖ Real – time processed as soon as they are imput into the computer system.
❖ Indexing- associating the document with search terms is called tagging.
❖ Tagging- Tag with an invoice number, date, seller’s name. customer name, item
purchased etc. Letters can be indexed by date sent, date received, sender’s name,
subject or evenits contents etc.

Storage- Keeping records securely using quality storage media. Lower cost CDs, magnetic
tapes and zip disks are not commonly used now. Today- high capacity flash drives,
external hard drives, servers and other online storage facilities are more robust and can
be accessed by authorised users via the internet. So it is important that the record
management system can permit storage to other storage mediums as technology changes.

Retreival- Accessing records that have been stored in the system. Access is by doing a
search. The users types in the record tag or search terms and the computer will locate
that document matching the search criteria. This is why processing is very important.

Archiving- Relocating documents that have become inactive or called dead file for
external storage. These can be archived using external media such as CDs, hard drives.
The system is programmed with a schedule for archiving records or even the disposal of
documents.

Disposal- When documents have become dead or no longer require retention the system
with create a list of the documents past their retention period. The records manager will
then examine the list and authorise the disposal or destruction of those records. The

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manager however may wish to keep those documents for an appropriate reason. The
system will create a record of the destruction of records.

Data Security:
Only authorised persons can have access to files. Some records may be accessed by all
staff and some records by supervisors or managers. Ensure level of access for each file is
set up and the authorised users and passwords are set before allowing access.

• Prevent tampering of files

• Prevent destrtuction of vital records
• Protect the system form viruses and malicious software
• Be able to identify hackers or persons attempting to do any of he above.
• Ensure back up of files is done regularly. Backing up is the process of storing the
information on an external medium.
• Ensure all computers have a good and up to date anti- virus program.

Databases:
A database is an organised collection of records. Databases can be shared with other
departments, branches or even externally with other organisations.In a shared database
each department inputs data into the central database. For example in a manufacturing
business data from the factory, from sales and head office can accessed throughout the
business.

Electronic file control systems:

This can be used by companies in which paper records are frequently accessed and
borrowed. Each file is labelled with a bar code and the information is stored on the
computer system. Each employee may also have an ID card with a bar code. A bar code
reader will scan the borrowed file and the employee’s card and an out record is
automatically generated on the computer system. When the file record is returned the file
and employee card are scanned and the computer amends the data to show the date and
time the file was returned.

Automated systems can generate and print reports showing frequency with which records
are accessed, status and location of records. The system can also spot for any

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unauthorised person viewing files. Password protection is this case may be an issue and
should be reviewed to idnetify is there was sharing of passwords.

Barcode reader.

See below table which highlights some key differences between manual and electronic
systems.

Manual information systems Electronic information systems

Equipment Filing cabinets, file folders, dividers, Computer, scanner, record management
and out sheets or charge- out cards software, storage media
supplies
Storage Documents indexed to the Documents scanned into system, then
method classification system in use; they are indexed by use of key words, customer
sorted and placed in file folders. numbers, dates, and geographical area
Retreival A clerk locates the file and removes Search system by inputting keywords or
method from filing system and replacing it the date of inputting
with an out sheet or charge out
shhet.
Archiving Inactive files can be preserved on Less need for archiving given storage
microfilm or microfiche, or moved to space- up to 20,000 A4 documnts can fit
archive boxes in another area. on one CD-ROM of 650 MB.

Study questions

1.
a. Identify THREE processes in electronic record management
b. Differentiate between batch and real- time processing

2. Outline TWO advantages and TWO disadvantages of an electronic filing system

3. Briefly define the following

a. Bar code
b. Level of access
c. Password protection

4. Identify THREE methods of storing information electronically

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4.3 Classification systems
Methods of classification
An important component of records management systems is the filing classification
system used. This involves systematically clasifying , coding, arranging and placing
records in storage and facilitating their quick and easy retrieval when required. There are
two basic filing methods- (1) alphabetical and (2)non-alphabetical methods. Alphabetical
uses three speciliased indexing systems- name; subject or geographical area. The non-
alphabetical method consists of numerical and chronoloigal indexing systems. See below
systems with examples Small offices would use topical system ( strictly alpabetical no
subdividing). Larger offices- files grouped under broad categories and then each group
filed from letters A-Z.

Method Main use Examples

Alphabetical by name When the name is the most Customer files
important factor Staff (HR) records
Geographical When the place is the most Branch office files
impotant factor Overseas contacts
Subject When the topic is the most A manager’s personal files
important aspect
Numerical When the files have a unique Customer files in a large
reference number organisation
Chronological When the date is the most Birth certificates
important factor Travel files

Alphabetical filing systems

Alphabetical filing is most common especially in small businesses and for a manager’s
personal files. This is referred to as a direct filing system as records can be located without
consulting a reference or extended code. Documents are filed according to the first letter
of the name. If the first letters of name are the same then you simply move to the next
letter until you reach a different letter to determne which record should be placed first.
Some letters are very popular such as ‘B’ and soon become congested. Therefore
reorganisation may be needed to create adequate space going forward. See below pros
and cons for such a system.

Advantages Disadvantages
• Simple to use and undertsand • Difficult to estimate space requirement
• Indexing is required • Common names can cause confusion
• It is a direct filing method • Cross- referencing is necessary
• Less costly to install and maintain • Confidentiliaty cannot be guaranteed

Rules governing alphabetical filing

There are certain standard rules which must be applied each time filing is done so that
documents and material can be found quickly when needed. These rules are based on
filing names on a unit by unit basis in which each part of the name is considered a separate
unit. The individual filing units of each name must be compared letter by letter in order
to place the names in proper alphabetic sequence. It is very important that the file clerk
master all the rules governing alphabetical filing and this is an integral role in all the other
filing methods. Note: If there are too few documents to warrant a new file, off papers
may be put into a ‘Miscellanous’ file. There may be one for the whole system or one for
each letter of the alphabet.

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Filing by name - Indexing order ( personal names or business name)

Firstly, put each name into correct indexing order which is the sequence of words, or
indexing units, written in priority order for filing. For example: Mr Jacob Kent would be
indexed as ‘ Kent, Jacob Mr’the Department of Justice would be indexed as ‘ Justice
Department of ‘ . See below examples with rules

Example of Indexing Rule to follow Example of indexing

Rule to follow order order
People Organisations Broad Street Journal, The
Surname first Ignore definite Dream Come True (A)
Adams, Kate and indefinite Exceptional Experience
articles the word (An)
( an, a. the)

Short name before Adams, Kate Treat numbers as Three Steps Resturant
long Adamson, Joanne words Two Sisters gift shop

For identical names Adamson, Joanne If names are Caribbean Airlines Ltd,
follow first name(s) identical use Tobago
or initial Adamson, Martin place to decide Caribbean Airlines Ltd,
the order Trinidad
Treat ‘Mac’ and ‘Mc’ MacDonald, T Initials come KPMG ( St Lucia)
as ‘ Mac’ and file before full names
before ‘M’ McKay. M ( ignore ‘and’ and K&Z Consultants
‘&’
Murray, T Kentucky Fried Chicken ( St
Lucia) Ltd.

Ignore apostrophes O’Sullivan, B Treat ‘Saint’ and Sagicor Financial

Ottey, J ‘St’ as ‘Saint’ Corporation
St James Hotle
Sea Freight Services

Initials always Ambrose. M Acronyms are ASKA Consultants

come before full treated as single CARICARGO Limited
names Ambrose, Marsha words and follow VIP Security
the standard first
letter rule
Treat a prefix as DeSilva, P File public bodies Education, Ministry of,
part of the name Dujon, M under name, or Barbados
and ignorespaces place if the Education, Ministry of
for surnames Or names are Jamaica
beginning with DeFreitas identical
prefixes LaSeiva
MacDonald
McCrae
Hyphenated Farley – Williams
surnames must Farrell- Douglas
follow the first part Farrell- Smith
of the surname
Titles such as Mr. CHONG Kyen ( Prof)
Mrs. Ms and EDWARDS Allyson (Dr)
professional titles RAMSRAN Devanans (
such as Dr, Mr)
Professor,Reverend
are usually
disregarded

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Two additional rules

1. Titles such as Jr, Sr are filed alphabetically.

Peter Mark, Jr. File as - Mark Peter Jr
Peter Mark, Sr. File as- Mark Peter Sr

2. In numericial disgnations arabic numerals come before roman numerals

Thomas Mathew 2nd. File as- Mathew Thomas 2
Thomas Mathew 3rd . File as - Mathew Thomas 3
Thomas Mathew III. File as - Mathew Thomas III

Geographical filing-
This is used to store records by area. This method is an indirect method of locating files
of individual correspondents.

• Use aplphabestical order within each region and subregion, for example

Barbados- St John before St Joseph or Belize- Cayo before Corozal

Advantages Disadvantages
• Convenient to use- especially for • Poor knowledge of geography can lead
companies which have clients regionally to misfiling
or worlwide
• Allows for direct filing if location is • Indexing may be necessary if location
known is not known
• Useful for collecting statistics for • More work for the file clerk as document
comparitive purposes must be sorted by countries then by
towns and so on.
• Large sets of records can be broken up •
into more mangeable sections.

Subject filing-
This is used to store records by topic. The person doing the filing must have a thorough
knowledge of the organisation to correctly determine the correct topic selection or
creation.

• Subjects filed in alphabetical order – e.g. Canaries before Cats. Must have an index
of the main subjects
• Broad subjects- are subdivided- e.g. Footwear- Boots then Sandals then Slippers
then Trainers
• Must read the document carefully to determine the main topic and identify the
primary heading and subheading.
• Write the heading at the top right corner of the document
• Check the records to determine whether a file already exists
• Place document in the appropriate file or new folder labelled if necessary
• If material relates to more than one subject, a cross reference should be dine.

Observe how a phone directory and Yellow pages index and list people and
businesses.

Advanatges Disadvantages
• All documents referring to a particular • Extensive cross referencing is
subject matter are kept together necessary
• Direct access to file, as no index is • Difficulty to estimate space
necessry requirements

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 • Unlimited expansion • Subject title may become cumbersome
with too many files.

Numerical filing systems

Numerical filing systems assign a number to each document or folder. Used by many
large organisations because the system can be easily expanded by adding new numbers.
No reshuffling is needed when all you do is allocate the next number. The problem however
is that you have to know the number before you can go direct to the file. This means
numerical filing is an indirect filing system and therefore you will need an alphabetical
index to help you find a file or a reference number. It is for this reason many organisations
quote a reference number on their documents as this help staff file the copy in the correcr
place.

A rotary index are usually used for finding names, adresses and telphone contacts of
customers suppliers etc. Cards can be inserted or removed from a rotating wheel or cards
can be files in an index box. Strip index involves narrow stripes of cardboard and can be
used to record name and communication details for ready reference. These are all suited
for small organisations. Larger organisations will keep their indexes on the computer. See
below example of file name with reference number.

File name Reference

number
LIAT 11901
Superdrug Ltd 15902
Brenton Gordon 12006
Rainbow Creations 7021

Advantages Disadvantages
• Easy to set up and use • Users usually ask for files by name not
a number
• Confidentiality can be maintained • Indirect filing method so an index with
names would be required
• File numbers can be used as reference • More costlly in materials and time taken
numbers to maintain the system
• Unlimited expansion as new numbers • High possibility of transposing figures
can be added without disturbing for example 184 can be written as 148
sequence of existing files

Chronological filing
This is used to store files by date and is suited for records such as bank statements, petty
cash vouchers when the key identifying feature is the date. If kept electronically must
enetr date in the same format consistently. American system 6. 01 .2019 ( June 1st 2019)
and the British system 01.06.2019 ( 1st June 2019). Best suited when actions must be
taken in a regular cycle. For example a organisation that needs to renew permits annually
may file by date.

NOTE: As a rule, documents are always stored in a file in date order with the most recent
at the top.

Advantages Disadvantages
• Easy to set up and use • Retreival speed can be slower other
systems

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 • Copies of documents can be stored • Cannot act as a standalone system
and requires an extensive index to
assist in locating documents
• Easy to locate and identify outdated • Users must make sure same date
records format is used for all files.
(mm/dd/yyy) or ( dd/mm/yyyy).

Study questions
5. Identify TWO ways in which records can be classified

6. What is the difference between topical and classified methods of filing?

7. List THREE filing systems that can be used in an office

8. State TWO advantages and TWO disadvantages of any THREE methods of filing you
have studied.

4.4 Indexing
An index is an ordered listing of all the titles under which the reords may be filed. Indexing
is the process of deciding where a record should be filed.. The word or word combination
under which the record is to be kept is the index reference, index code or filing point.

Cross- referencing - Cross- reference Cards

These are used for files that could be placed under two or more names so that they can
be found quickly. Cross referencing becomes necessary here. A cross-reference card is
made out and stored in the opposite place to the file. So, if Sharon Dover changed her
business name to Rainbow Creations you should :

Rename the file and move it to ‘R’ in the system

Put a cross reference card under ‘D’ which will read as follows:

DOVER Sharon

See under Rainbow Creations

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Charge out systems

Out sheets or charge- out cards

Out sheets and charge- out cards are two methods of recording the removal of filed
information and to keep check on borrowed files. Allow 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 due to return.

The out sheet replaces the borrowed document from the file and states who took it and
when. A sheet can be attached to the front of each folder stating its title or number. If the
document is removed, the name of the borrower and the date is entered on the sheet and
is kept in an in and out file for tracking by the records clerk or can place on the file where
the document should be until it is returned. Sheets are usually larger and thicker than
letter sized paper and coloured so that they stand out in the file.

OUT SHEET

File name Rainbow

Creations
Date borrowed Name of Department Date returned
borrower
3rd January Jane Smith Finance 8th January

A charge out card is made out when a folder is borrowed that is taken from the filing
system. The card will list the file number, the file title, or date of the file, name of borrower
as well as the date the file was borrowed and returned.

Charge – out guides

Charge- out guides or out guides are like charge out cards except the guide is placed in
the filing system to hold the spot for the file until it is returned. These guides can accept
documents while the original file is out.

This card may be reused several times. The purpose in these cards is to say where the file
has gone. A duplicate card can be placed in a tickler file so that the clerk can monitor the
return of the folder.

Tickler system
A tickler system is a reminder system designed to keep track of the records. A ticker
system is used to ‘tickle’ or jog your memory

It helps the records clerk manage the movement of records and in particular alerts that a
file has not been returned. Each time a file is borrowed an index card is filled out with the
file name and the borrower’s name. and is placed in the system under the date the file is
due to be returned. It is then easy to check the cards and chase up any overdue files. The
tickers system helps to ensure that borrowed records are returned promptly and helps
reduce the risk of files being misplaced, lost, or even damaged. See picture of a Ticker
card system

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Card indicators- these are like cards found in books of libraries in a manual system.
The card will show the index name, or number of the file and is affixed to the file. When
the file is borrowed the indicator is removed and placed in a tray or box usually in
alphabetical

or numerical order. Details like an out sheet are on this card. When the record is returned
it is re- affixed before the record is placed back to its original spot. The records clerk can
easily check through the tray of card indicators before checking the respective cabinets

Index guides - These separate cards and file folders into sperate sections ( alphabetical
or numerical ), so that they can be found easily, in a filing cabinet the guide cards lead
you to a specific section. Draw labels and labelled folder tabs all assist to keep records
orderly and easy for retrieval. Drawer labels should be clearly marks and affixed on the
outside of each draw. The folder tabs should be easily visible immediately upon opening
the drawer.

Colour coding – file folders, charge out cards, guides or card indicators and even filing
cabinets can be purchased in assorted colours. Colours help to make finding files easier
and quick to spot a file in the wrong section.

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Searches and shared databases
Many indexes are created and maintained on a computer because the information can be
entered and edited. Entries can be found by searching by specific criteria. An index list can
be created on a word processing package or more detailed records held on a database.

Study questions
1. Distinguish between out sheets and charge- out cards
2. Give two reasons for cross referencing a file
3. You were recently assigned to the file room as a clerk. Your immediate supervisor
has requested two files that you are unable to locate at the moment. You were
advised that in order to keep track of files you need to develop a ticker system.

a. Explain the term ‘ticker file’

b. Suggest TWO benefits to be derived from a tickler file system.
c. Discuss ONE other system that could be used to keep track of files.

4.5 Dealing with inactive files and legal stipulations

Introduction
Over time the space for sorting files become extremely limited and at times there is no
room for new files or room for more cabinets in the office. Therefore, a periodic review of
the system is required so that inactive files can be identified and removed from the main
system. Inactive files are those that are no longer in active use.

A record passes through three stages in its cycle of existence:

• Active- A record that is currently used by the organisation. Active records must be
readily available in its original form.
• Inactive or what is known as dead- An inactive or dead record is one that is no
longer being used. These are placed in storage. Some inactive files cannot be
disposed of due to certain legal requirements or because they may be required
some time in the future. These files are held or retained for certain periods or
perpetually.
• Disposal- When a record is not longer required and has exhausted the retention
period it may be disposed of or destroyed.

Retention periods
Some records must be kept ( retained) permanently while others for shorter periods of
time. A retention schedule indicates the period ( retention period) for which an

20
organisation should retain a record. Some records must be kept for a minimum period of
seven years under law and can be disposed of after a certain number of years. Other
records are permanent records and cannot be disposed of.

Retention periods MUST take into consideration the legal requirements relating to
documents such as accounts and tax records, payroll records and accident reports which
must be kept for a minimum number of years. Documents that would be needed in the
future cannot be destroyed but archived. The nature of the organisation’s business,
statutes of limitations and government regulations must be examined all determine the
retention period of documents.

An organisation must ensure it has a record retention policy which will outline the type of
records and the respective retention period to be followed in line with legislation. When
setting up such a policy the organisation ,must consider the following:

• How valuable is the document? What type of information does it contain?

• Do copies exist elsewhere?
• How often are they requested or used?
• Is their retention a statutory requirement? In other words what laws govern the
period of retention?
• Is it possible to keep them in another format such as electronic?

The organisation should have a retention system with a planned, systematic method of
dealing with outdated files. The benefits of such a system are:

• Easier to retrieve records

• Saves space and avoids overcrowding
• More efficient use of filing equipment.

Methods and procedures for dealing with inactive files

When an inactive or dead file is removed from the active filing area the file index must be
updated. Some organisations maintain a removal register to show the date and records
moved. Once records are classified as inactive, they may be dealt with in the following
ways:

• Microfilmed and stored electronically

• Archived
• Disposed of

Microfilming and electronic storage

Microfilming- preserves the documents and reduces storage space. Paper documents are converted
into a tiny microfilm or microfiche images (copies) which can be viewed on a special reader.
Microfiche does not require reading from a roll of film . It is a filing method which uses a photographic
method to copy material in reduced form for storing. The image or copy is reduced to the size of a
postage stamp and printed on a transparent film. The text on a microfilm cannot be seen by the
naked eye except on the reader printer which magnifies the microfilm text. See below advantages
and disadvantages.

Microfiche is a sheet of film which holds 14 rows and seven columns of document images. Microfiche
is more convenient to use than rolls because the user can go directly to the image on the sheet
rather than scrolling through rolls of film.

However, microfilm continues to be used as a document storage medium.

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 Advantages Disadvantages
There are savings in terms of the cost of Films cannot be viewed without special reader
additional filing and floor space and equipment. equipment which is an additional cost.
The microfilm reduces the image by 99% and a
single roll can hold up to 2,000 – 8,000 letter
sized documents.
Simplicity – easy to use. The film is loaded onto Poorly prepared film will not be readable.
a microfilm printer reader. The lens on the Storing of microfilms requires that they be
reader enlarges the image and projects it on to stored at certain temperatures and humidity
a screen for the user to view. levels.
Storing original documents can ensure safety as It can be difficult and costly to update
these are not easily forged, so information theft especially retrieval equipment.
is low with microfilming.
Films have longer lasting qualities than paper. Sometimes there is difficulty in locating the
Microfilm is estimated to last for over 500 years required information making it very time
nce stored properly so it is very durable. consuming. It is a weaker option that digital
storage as you cannot index or search as you
can digitally.

Microfilm roll

Mm

Microfiche

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Microfilm printer reader

Computer technology
The use of scanners is the most common technology used in offices. The scanner is used to create
a digital image of a document that can be saved on a storage medium such as hard drive or CD or
even in other online store facilities provided by certain data storage companies.

Archiving
❖ Inactive files must still be kept, and many must be kept for several reasons especially for
legal reason. Solicitors and accounts archive most files because they do not know when a
legal case may be reopened , or a tax investigation may take place in the future.
❖ There are legal requirements which state how long some documents must be kept.
❖ The file may contain important papers that may be required in the future such as legal
matters than could be re-opened.
❖ The file may contain papers of historical interests such as government records.
❖ The file may contain other valuable information

For the above reasons, these documents would need to archived and what documents are to be
archived is usually decided by supervisor and management. Archiving- means putting inactive files
in long term storage. These files must be kept in good condition and clearly labelled. An accession
register is used to identify records in an archive.

Factors when considering an archive area:

• Size of the space. Can it accommodate future storage?

• Access and security- Is it conveniently close to the main office? It is safe from
unauthorised access? Is there a system for documenting when a document is
removed from the archives?
• Environmental controls- Can the temperature and humidity be regulated. Risk
of water damage in the event of flooding. Is it fire-safe?
• Work area- is there adequate shelving, proper ventilation, and lighting
• Maintenance – is the space cleaned and maintained to keep order and free of dust
• Organisation - how are the records placed? Type of storage containers and proper
labelling. Is there an index of archived records?
•

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Disposal of files/ records
Outdated or worthless files are called ‘dead files’ can be permanently removed from the
system and destroyed. The most efficient was of doing this is by incinerating (burning) or
shredding (using a shredding machine) the files- this helps to protect confidential
information ( personal, commercial, legal, or financial information).

A proper record of all files marked for disposal must be kept (logged) and be checked and
signed off by two senior officers before the final destruction.

Study questions

1. Outline TWO procedures for dealing with inactive files

2. Explain THREE stages in a record cycle of existence
3. Explain the meaning of ‘microfiche’
4. What is an archive?
5. State FOUR guidelines that should be followed when deciding whether a record
should be archived?
6. Discuss FOUR factors that must be considered when creating an archive area.

4.6 Legal Issues affecting records management

Regulations and rights to access and retain documents are governed by legal stipulations:
There are also limitations of the right to access.

Personnel files
Under industrial relations laws in most countries current and former employees have a
right to access information held on their personnel file at reasonable times and intervals.
Laws generally apply to personnel files in physical form as well as any computer records.
The records related to the following should be accessible to the employee or former

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employee. In some cases, a request in writing may be made to give notice of this need to
access records or this may be done annually with an existing employee.

• Employee’s performance
• Payroll records
• Any grievances concerning the employee
• Any employee exposure to hazardous or toxic materials or even serious accidents
at the workplace.

There are some limitations to this right of access. The following sensitive information/
record may be exempt or withheld:

• Documents containing legal advice

• Data intended for management planning
• Records about negotiations with an employee.

As a private person you also have the right to see your own credit reference and correct
it if it is wrong, and you can check other information held on you by businesses that
you deal with.

Government records
A general right to find out information about your government falls under a Freedom of
Information Act (T&T and Belize) or Access to Information Act (JA). Governments are now
expected under such laws to be more transparent, enhance accountability by government
to its people, increased public influence in national decision making and overall knowledge
of the functions of government.

The public has the right to obtain or access information about government activities by
requesting a copy of certain documents and records:

• Written documents
• Graphs, plans, maps, or drawings
• Discs, tapes, soundtracks, and other sound recordings
• Films including microfilm.

There are limitations and there are documents exempt under certain circumstance.
Therefore, refusal is only possible in specific cases for example:

• Access or disclosure were to threaten defence, national security, or international

relations
• The record or document contain confidential information that was provided by a
foreign government or international organisation
• Disclosure of the records could endanger the life of a person or allow a person to
avoid being prosecuted by law
• Access would have a considerable negative impact on the country’s economy
• Disclosure would infringe the privileges of parliament.

Parliamentary privilege
Parliamentary privilege is the protection granted to members of parliament to ensure that
they have complete freedom of speech in the House. Members of Parliament can speak
freely about issues. This means the law grants protection from lawsuits and criminal
charges for statements made during debates or proceedings in parliament.

• This ensures that they would not be sued for defamation or breach of confidence.

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 • This allows them to raise question there where they could not otherwise do because
of fear of prosecution
• Members of parliament can debate matters of importance freely
• Parliamentary committees can conduct enquiries and investigations effectively
without any interferences.

However, the speech and conduct of members are governed by the standing orders of
parliament. These standing orders prevent members form:

• Using offensive or insulting language

• Make statements deliberately to mislead the parliament
• Question the conduct of the prime minister or other members of parliament or the
speaker of the house except on a motion for that particular purpose. However,
questions can be put to a minister relating to any matter, subject or department
for which the minster is responsible.

Infringement of copyright.
Copyright infringement is the unauthorised or illegal use of material that is cover by
copyright law. Copyright is the right to control the reproduction or adaptation of creative
and artistic works for a certain period.

Owners of material such as a book, song film or computer program have certain rights
and reproducing these materials without the owner’s permission violates his/her rights.
Copyright laws limit the action that can be taken with an original work that someone else
has created. Copyright enables the producer of their work to control the use of their
material in several ways.

The organisation can ask the creator for permission or apply for a licence from an
appropriate agency. If you or a business allows this material to be copied or distributed
freely it will be breaking the law, whether it is found on the internet or in printed form.
There are, though, certain exceptions to the infringement which allows some uses of
copyright material without permission, free of cost. However, there are cases where
copying will require a payment or licence from an appropriate agency.

Copying that is free

• Fair dealing for the purpose of research or study- copying no more than 10% of
material is deemed fair.
• Fair dealing for the purpose of criticism or review- must acknowledge the
copyright material
• Library provision- non- profit libraries and archives can reproduce or communicate
copyright for clients.

Defamation is the communication of a statement that makes a false claim, expressly

stated, or implied to be factual, that may give an individual business, product, group,
government, or nation a negative image. There are two aspects of defamation:

• Slander- Spoken words . Which refers to a malicious, false, or defamatory

statement or report
• Libel - refers to any other form of broadcast communication such as written words
or images.

Defamation laws aims to prevent anyone writing or saying false or malicious statements
about another individual or organisation. If these are contained in company documents or

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files, then the organisation itself could be sued. This includes email sent by staff, the
content of a website as well as documents in the company records.

Sometimes an employee who is fired may sue an employer for defamation of character.
The employer will have to prove it did not publish false statements about the reasons for
the termination of employment. The employer must keep good personnel records and
ensure that there is sound evidence for any adverse judgements that are made.

Breach of confidence
Occurs if sensitive information is disclosed to a third party, such as an employee’s medical
condition or a customer’s financial details. Organisations that deal with personal
information such as banks hospitals and schools must ensure only authorised individuals
can have access to such information. If such information is disclosed or used in an
unauthorised way, then a breach of confidence has occurred. A victim can sue the offender
under the law.

The organisation must ensure personnel records, and customer information are kept
confidential, and access is strictly controlled. Persons who are authorised to view
confidential information and records ay be required to sign a contract that strictly prohibits
disclosure of confidential information.

Secrecy provisions
Many organisations may have ‘trade secrets’ or future business plans that they need to
keep to themselves. A trade secret is any valuable commercial information, such as,
inventions, ideas, and manufacturing processes, that provides a business with an
advantage over competitors who do not have that information. KFC’s 11 secret herbs and
spices and Angostura bitters recipe. A business must take reasonable steps to safeguard
its trade secrets from disclosure. Employees who know about these are usually asked to
sign a non- disclosure clause in their contract to prevent them from talking about this to
anyone. Some suppliers may have to sign special contracts.

Study questions
1. How does the government of SVG seek to safeguard the access and retention of
documents?
2. Discuss TWO in which a breach of confidence may occur?
3. What is the difference between slander and libel?
4. Copyright and secrecy provisions?

4.7 Filing equipment and supplies

Filing equipment
A manual system of filing will require a range of equipment and supplies to ensure the
documents are stored correctly and kept orderly and in good condition. A major piece of
equipment for filing is cabinets.

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Vertical filing cabinets- widely used- standard are 4,5 or 6 drawers but can also find
two. Made of wood or metal with a locking system. Some are fireproof. These are fitted
with suspended pockets which are used to hold file folders and are usually labelled with a
tab fixed at the top for easy reference. Can be easily moved around with its contents.
However, over time cabinets are a space wasting feature in offices where there are large
volumes of records.

Advantages Disadvantages
Suitable for small records Only one person at a time can retrieve files
Requires little space and is not costly Costly and several can become a space issue
Easy to transport More floor space is required.

Lateral filing cabinets- lateral pull out drawers, are wider than they are deeper; take up
less space than vertical cabinets . Files are arranged like books on a shelf in rows of
suspended pockets each with tabs on the side. Folders are inserted sideways ( lateral)
usually to the right of the tab. Can extend upwards ( one on top of the other).

Horizontal filing cabinets- used for documents that must be kept flat. These documents
are large such as plans, artwork, large maps, photographs and must not be hole punched.
The drawers are wide and shallow.

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Horizontal plan filing cabinets. Designed for organisations that must store large
documents , such as plans, engineering drawings and maps without folding or rolling the.
The records sit flat in drawer that are wide and shallow.

Cabinets can be in assorted colours. Lateral filing cabinets can be used as dividers in open
plan offices. Cabinets also can be fireproof and are much more heavy duty and more costly
than regular office cabinets.

Filing Supplies
• File folders- heavy sheet of paper made of manila or heavy stock card folded in
half and used to hold documents. There are two types of the ordinary paper file
folder or the hanging folders Traditionally the ordinary paper folders are beige in
colour but now can be found in many colours. Hanging folders are used to keep
files upright in a drawer. They are designed to holder several paper file folders and
are made of very durable material. They have reinforced bars with hooks at each
end which expand the width of the drawer. Some hanging folders have pockets
which can hold business cards, memos, photos, disks, CDs etc.
• Index cards- Heavier paper stock and used to record small items of information.
Little smaller than a post card in size or smaller and are kept in alphabetical order
in a box. Can easily be removed or a new one added. Smaller dividers can be used
to separate by letter.
• Minute sheets- usually secured to the inside cover of a file folder. Users of the file
can male notes or comments on the minute sheet. Can even be used to record the
movement of the file from one person to another.
• Charge- out cards – refer to previous notes
• Dividers- separate files so that they are easier to search for. Made from heavy
paper or plastic and are sometimes in assorted colours.
• Box files- firm boxes with a spring clip to keep papers secured. No need to punch
the papers.
• Expanding files- ‘concertina’ are divided into several pockets either A-Z or
numerical.
• Lever arch files- papers will need to be hole punched and then secured on the
two arch – shaped metal rods which ac open and close via a lever.
• Treasury tags- pieces of string with metal or plastic bars at the ends and are
used to thread through punched holes for holding papers.

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 • Fasteners- used to secure papers inside a file folder. Can be plastic or metal-
Paper clips or Bulldog or fold back clamp clips
• Perforator or paper punch- used for perforating papers which are held in file
folders or ring binders.
• Labels- folder or cabinet drawer labels.
• Clips and clipboards- for securing papers in an order. Worksheets for mechanics
for example
• Microfilm and micro fiche- see previous notes
• External storage media- USB Flash drive- small storage device that can be
used to transport files form one computer to another. Can be kept on a key chain
or on a cord. Compact discs (CD) DVDs also medium that can store and distribute
large quantities of information/ documents electronically in a reliable package.
• Larger systems will use an external hard disk drives CD-ROMS or the use of a
remote server which is maintained by a specialist organisation.

Visit local office suppliers and check out these items or look online. Give feedback on your findings.

Treasury tags

This Photo by Unknown Author is licensed under CC CD, Flash drive and DVD

Arch lever files. hanging folders and tabs. Files all colour coded.

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 Study questions
1. Paediatric Care solutions Ltd specialises in child care. The company has a large client
base and treats hundreds of children daily. The company is experiencing difficulties
storing the client files. the business is attempting to procure equipment to store files.

a. Advise the purchasing manager on the most suitable file cabinets to purchase and
give TWO reasons for your answer.
b. Recommend suitable folders to be used to store files and give reasons for your
answer
c. Identify two ways in which documents can be fastened together in file folders

2. Discuss TWO electronic storage media you would use to store the information

4.8 Centralised versus decentralised records management systems

Centralised or decentralised?
When setting up a records management system the organisation will have to decide
whether to allow each department to maintain their own files (decentralised) or whether
to establish a central department that would be responsible for all aspects of record
management (centralised). This decision will be based on the following factors:

• Size of the organisation and scale of its business

• The location and distance between departments
• Number (volume) and types of records that need to be accessed can be kept and
maintained
• Whether the business has only one centralised location or several small locations
• Number of persons who may need to access different records

NOTE some companies may use a combination of both systems by use of a document
registry. HR for example would need to keep HR files separately for confidentiality reasons.

Registry a department that holds records, for example the Land Registry holds land
records. Company Registry- Name of local companies registered under the company’s
legislation of a country.

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Advantages and disadvantages of centralised systems

Centralised filing systems- Centralised filing is the placement of the filing equipment
and personnel for the entire organisation in a single location which is accessible to all other
departments. The centralised control and the overall authority and responsibility for the
system is under control of one person- document manager.

Centralised file room

Centralised file room combined with an electronic system

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 Advantages
• More cost effective to have a single records management department
• Reduces duplication of filing equipment and documents
• Ensures all data and records are together
• More efficient use of storage space
• Specialist staff trained can be employed to operate system
• Specialist equipment and supplies can be bought
• Procedures consistent for everyone so greater standardisation
• Greater accuracy and quicker retrieval
• Better supervision and control over creation, retention, use and disposal of records
• Higher levels of security when documents are maintained in a single location
• Staff can ensure that records are seen only by authorised users, preserving confidentiality
of sensitive information
• All personnel know where to go to get desired information.
• Major decisions about archiving, retention and access levels can be made and enforced –
improved control and security consistently throughout the organisation.
Disadvantages
• Staff and space required may be costly
• May be difficult to obtain records immediately and cause inconvenience highly confidential
files may still need to be kept in a separate location
• If a file is lost, there may be no back up or alternative records.
• Equipment and methods of storage may not be appropriate for specialist departments

Decentralised filing system

Decentralised filing (record) systems keep kept records in the various departments, offices, or
individual workstations. The filing system is usually controlled by the department, persons who
created or received the documents. The records are maintained in that location until the time comes
for transfer to a low -cost, long- term storage or destruction. Large organisations may use a
decentralised system for certain confidential documents.

Advantages
• May not require full time specialised record management staff
• Access to records is quick since they are nearby
• Equipment and supplies can be appropriate to department
• Highly confidential documents can remain within the department
• Department staff will automatically update their knowledge and skills as they file and
retrieve records in the system
• Time not wasted walking back and forth to collect documents

Disadvantages
• Some departments are more efficient than others with their record keeping
• There may be a high level of duplication of paperwork and records between departments
• If files, go missing everyone will deny responsibility
• Usually, a lower level of security and control over records
• Filing procedures and policies about archiving, retention and access levels may vary from
department to department – a lack of consistency and uniformity resulting in a
fragmented system overall.
• More equipment and storage are likely to be needed
• Lack of expertise supervision and control over creation, retention, use and disposal of
records

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Combination systems
Many organisation may choose to use a combination of centralised and decentralised
record management systems. Records relevant to the entire organisation may be filed
centrally, whereas department- specific records may be filed within each department. It
would be best to have a standardised filing system throughout the organisation with a file
plan set up to document where each record is located. A records manager or records
management department is appointed to coordinate and maintain the file plan and to
ensure the filing procedures are followed. A locator index would be maintained centrally
for records filed in each department so that records can be located quickly.

Small- and large- scale businesses

The most suitable type of records management system will depend on the size of the
business.

Small businesses-

❖ Limited number of records and will to be accessed by the majority of staff

❖ Would need to be easy to access.
❖ Usual method is to locate cabinets close to the staff who need access to the files
❖ Accounting files would be located close to accounts department and customer files
would be sited close to sales team or sales department
❖ As business grows the system can be expanded and maintained or changed
depending upon the nature of the business. For example, a hotel or department
store may not need to keep as many records as an insurance company or a hospital.
A hotel may be able to store all records in one are such as its reception area or
administrative office.

Large-scale business-

❖ May prefer a centralised system to ensure better control and accountability.

Therefore, hospitals use a centralised system as missing patient records could
cause serious problems
❖ More large organisations are looking to introduce electronic document management
systems. This allows staff from all departments and locations to access any
document quickly via the company intranet or a web-based system.
❖ The staff do not need to be on the premises to gain access to the files which is ideal
for offices with various locations.
❖ Wed- based systems such as G mail and Hotmail keep your documents safely
because they are stored on the Google or Hotmail server until you access them
again.

Study questions

1. Discuss any THREE factors that should be considered when deciding on an

appropriate filing system
2. Differentiate between ‘centralised’ and ‘ decentralised’ filing systems.
3. State TWO advantages and TWO disadvantages of centralised filing.

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4.9 The records (information) management clerk
A records management clerk is responsible for ensuring the efficient and effective filing,
storage, and retrieval of documents.

Records such as business records, documents, video and audio recordings and
photographs and digital images of scanned documents must be analysed and classified.

The records management clerk may have to handle information which is very sensitive
and confidential.

Broadly the records management clerk must prepare, manage, and retrieve records.

The duties of a records management clerk under both systems

Manual system Electronic system

Preparing • Check multiple documents • Scan and upload received
documents are complete and in right documents into system.
order. • Adjust, change or enhance the
• Remove paper clips and image as required.
staple the documents ( to
prevent other documents
getting hooked up with
them).
• Repair any torn papers
• Punch papers centrally using
the ruler on the punch or the
central notch as a guide
• Make sure there is an
adequate supply of filing
supplies.
Processing • Index documents and • Enter key indexing words so that
data classify these according to the document can be found
the system used. easily.
• Secure documents in the • Set access levels for each
correct folder. document
Managing • Ensure files are kept in order • Ensure documents are scanned
records • Make out cross- reference into the system promptly.
cards • Process the paper document
• Control and document after scanning ( usually it is
access to the files shredded)
• Ensure that borrowed files • Ensure the system is backed up
are returned promptly every day.
• Mainatin a record of all • Assist in the implementation of
persons who use files- audit changes to the system.
trail. • Keep up to date about
• Identify inactive files and technological advancements in
arranging for the disposal or records management and make
achiving of those records recommendations where a
change is needed.
Legal Ensure legal requirements relating Ensure legal requirements relating to the
compliance to the storage and security of storgae and security of information is
information is kept. kept.
Retreiving • Obtain records as requested • Locate documents as requested
documents for authorised users. • Print or email documents as
• Track and obtain borrowed requested
files that are overdue for • Assist users who need help to
return retrieve documents

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See below sample of a job advertisement for a records management clerk

Records management clerk

Terms of employment: full-time, day

Salary: to be negotiated

Anticipated start date: as soon as possible

Location: Pierre Ville Health Centre

Work setting Records departments

Duties: Label. File and retrieve documents; respond to requests for records; manage files
according to retention and disposal schedules; perform general clerical duties, such as
document preparation and photocopying

Education: Secondary school, preferably business- related courses

Experience: no experience required

Skill requirement: Use of business equipment, good working knowledge of word -

processing, databases ( preferably Oracle) and spreadsheets

Typing: At least 45 words per minute

Records- specific skills: Classify and code documents; maintain access lists for restricted
records

Filing- specific skills: Sort and file records; retrieve requested files; maintain indexes for
classification systems; maintain records of materials filed and removed; archive records
according to the established schedule.

Health records- specific skills: Classify, code, cross reference and store health records
and related information; analyse records to produce statistical reports.

Work conditions and physical capabilities: Fast-paced work environment; working with
minimum supervision; movement of heavy items; sitting for extended periods of time.

Knowledge, skills, and attributes required of a records management clerk

• Knowledge of standard office procedures and practices

• Ability to operate office equipment, such as computers, microfilm readers, scanners, and
copiers
• Effective written and oral skills including good grammar, spelling, punctuation, and business
correspondence format
• Knowledge of regulations governing records management
• Working skills of various office software applications
• Ability to conduct research and assemble relevant information and data
• Ability to work effectively, both independently and as part of a team
• Ability to maintain complex records, summarise information and prepare reports
• Ability to work efficiently and accurately within deadlines
• Integrity and ability to maintain confidentiality of sensitive information
• Ability to establish and maintain effective working relationships with persons within the
organisation and the public.

36
Study questions

1. Describe FOUR attributes of a records management clerk

2. Discuss THREE duties that a records management clerk must perform in
doing each of the following tasks:

a. Processing records
b. Managing records

3. A records management clerk must be able to maintain strict confidentiality.

a. Discuss THREE reason why confidentiality is an essential requirement for the

position
b. Discuss THREE implications for the business if there is a breach of
confidentiality on the part of the records management clerk.

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his hotoby nknown thor is licensed nder

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