St.

Mary Technical High School

Office Administration

Records Management System

Characteristics of a good filing system

1 It must contain all the information you want, when you want it.
2 It must allow you to find information quickly.
3 It must be of convenient size
4 It must have room for expansion.
5 Files should be close to the filing clerks
6 It must be cost-effective

Characteristics of good records management systems

✔ Data input/data storage

✔ Database management system

✔ Processing: batch and real time

✔ Retrieval of information

✔ Compressing(zipping)files for storage

✔ Archiving

Characteristics of an effective records management system

✔ Access protocols

✔ Security; physical and password

✔ Accountability
expansion

Management of information
Information is an important ingredient in the daily existence of individuals and a
country’s economy, as well as its businesses and educational institutions.

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There are eight processes to information processing in business.
◊ Storing

◊ Retrieving

◊ Transporting

◊ Returning

◊ Destroying

◊ Collecting

◊ Using

◊ Retaining

Storing Retrieving

Information Cycle
Retaining Transporting

Using Returning

Collecting
Characteristics of records Management

A records management system utilizes the processes of planning, organizing,

staffing, directing, controlling and coordinating activities that relate to a record.

For data to be made meaningful it must have a purpose. The purpose of the
stored data should reflect the purpose and type of the information system. Data
needs to be processed and organised before it becomes information. Organising
the data will most likely involve the processes of sorting and filtering
(classifying) before it can be analysed and stored for later retrieval. Data
dictionaries are used to help organise the data.

Ability to Analyse the Information:

Once the data has become information it needs to be analysed to make

the most of the information stored. Analysis of databases is done through
the tools of queries and reports.

Information is processed within organizations through:

1. Input
2. Processing
3. Output
4. Feedback

Main duties of a Records management clerks are as follows:

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

● Maintain indexes for classification systems

● Operate information retrieval systems and respond to requests for

records

● Review files periodically to ensure they are complete and correctly

classified

● Label files according to retention and disposal schedules and

prepare files for disposal

● Maintain access lists for security classified records

● Compile statistics and reports on activities within records services.

Filing clerks perform some or all of the following duties:

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

File material in drawers, cabinets and storage boxes

Locate and remove materials from files when requested

Keep records of materials filed and removed.

What is the process for filing?

1. Classifying – determining where the document should be filed

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

There are six basic systems of filing:

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

a. Alphabetical geographical
Names Correct filing order
Guyana Dominica
Montego Bay Guyana
Trelawny Montego Bay
New York New York
Dominica Trelawny

b. Alphabetical by subject
Names Correct Filing order
Accounts Documents Accounts Documents
Employment card Applications
Reports Employment card
Purchase Requisitions Invoices
Invoices Purchase Requisitions
Applications Reports

c. Chronological [by date]

Dates Sorted chronologically and alphabetically
7 October 1990 8 March 1984
20 December 2000 7 October 1990
12 September 2003 30 July 1997
30 July 1997 20 December 2000
8 March 1984 12 September 2003

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 d. Numerical
Names Sorted numerically
468- Spanish 130- Law
201- Mathematics 134 - Geography
134 – Geography 201- Mathematics
130 – Law 468- Spanish

Rules for filing business names

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

Names Correct filing order

S Jack Copper Co Cotts, W E Ltd
W E Cotts Ltd S Jacks Copper Co

2. Prepositions, conjunctions, articles

a. If a business name contains no personal names, words in it are considered

in the order in which they occur.
b. When T occurs at the beginning of name, it is placed at the end in
brackets.

3. Symbols in a business name

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

4. Hyphens an punctuation marks

Hyphens and punctuation marks are ignored in indexing

5. Single Letter and abbreviations

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

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

El Pasco Pizza Parlor

St Rose Travel Agency

7. Titles in business names

Titles in business names are filed as they are written

Father Green’s Toy Shop
Professor Nutty’s Bar

8. Numbers in business names

Numbers written as figures are regarded as one word

25 Year Novelties
Numbers spelled out are indexed as written and arranged in alphabetical order.
Ten Plus Dress Shop
Twenty Something Bar

Steps in filing

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

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

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

Electronic File Management

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Windows Explorer

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

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

Electronic Documents
An electronic document is any document that can be created, stored,
manipulated or accessed electronically. Examples of electronic documents
include:
● Microsoft word, Excel CD/DVD

● Images or photos

● Audio or Video

● Flash drives

BENEFITS of Electronic Filing

1. Easier and quicker to find

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

Disadvantages
1. Cost of the equipment, its set-up and amount of daily usage
2. It is costly in terms of training staff to use software
3. Formatting issues
4. Storage issues

How to Organize an Electronic Filing System

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

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 Steps in electronic Filing

1. Decide what information you want to organize electronically.

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

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

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

Bell, Mary
Lecturer, The University of the West Indies
Refer to: Allen, Mary – File 18PH 27

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 Cross-referencing card

Cross-referencing examples
● Names of married women using their husbands name

Name Correct filing order

Mrs. Mary B. Lawson Lawson, Mary B (Mrs.)
Mrs. Inez V. Pink Pink Inez V (Mrs.)
Crossed reference as

● Hyphenated surnames
Name Correcting filing Order
Maria Parkes-Brown Parkes-Brown, Maria

Crossed reference as

● Names of Organization
Name Correct filing Order
The University of the West Indies, Jamaica University West Indies, Jamaica
Cross referenced as Jamaica, West Indies University

● Names indicated by initials

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

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

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

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

Out card

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 Tickler file

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

allows time-sensitive documents to be filed according to the future date on
which each document needs action. Documents within the folders of a tickler
file can be to-do lists, pending bills, unpaid invoices, travel tickets, hotel
reservations, meeting information, birthday reminders, coupons, claim tickets,
call-back notes, follow-up reminders, maintenance reminders, or any other
papers that require future action. Each day, the folder having the current date is
retrieved from the tickler file so that any documents within it may be acted on.
Essentially, a tickler file provides a way to send a reminder to oneself in the
future—"tickling" one's memory.
Tickler files are often used in newsrooms by editing, journalists, and reporters,
as well as by many other groups, including sales representatives and
professional offices in medicine, law, non-profit, government, and accounting.
A tickler file system also has other applications such as museum guides,
specialized fact books, time management software, or any organized
arrangement of information to which a person may want quick access.

Colours as signals

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

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

Inactive files
Files that are not longer required are described as inactive or dead. When hard
copy documents are unlikely to be needed again, but cannot be destroyed for
legal reasons, they can be stored in an archive. This is a normal filing system
where documents can still be accessed if necessary.
A shredding machine is used to disposed of dead files. The shredder cuts paper
into thin strips that makes the paper unreadable. This shredded paper can be
used to protect fragile items for transport.

Microfilming
Microfilming provides a way of retaining documents for a longer period but the
file storage space reduced. Microfilming is the process of photographing papers
on a strip of film to record them in miniature form. It is estimated that at least
90% of filing space can be saved using this process. The microfilm can be
stored in a variety of ways – on reels, in strips on aperture cards or on a
microfiche, which is single sheet containing many pictures of pages of
documents.
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Centralized and decentralized filing
Centralized filing means that a single department is responsible for the filing of
all the organization’s documents. The various departments of the organization
brings all their documents in one central room to be handled by one person.

Advantages of centralized system

● It reduces filing space by avoiding duplication of equipment

● All records are kept in one place

● It assist confidentiality and reduces over-handling of documents

Decentralized filing
All departments carry out their own filing.

Advantages
● Papers can often be found more quickly.

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

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