Office Orientation

Records and Information Management

 Classifications of Records Management
Systems
Five (5) different classifications of records management systems are:
• Alphabetical, e.g. correspondence, name of persons and businesses.
• Geographical regions, e.g. travel documents.
• Subject categories, e.g. contracts.
• Numerical, e.g. orders, insurance policies, account/transaction numbers.
• Chronological, e.g. minutes of meetings.
 Categories of Records
Four 4 categories of records are:
• Essential records – These contain vital information crucial to the management and development of a
business and cannot be replaced if damaged, e.g. its certificate of incorporation, legal documents such as title
deeds and patents, financial records and tax records. They should be microfilmed if they are on paper.
• Valuable records – These contain important information, sometimes of a confidential nature, and can be
replaced if damaged, but only at great cost, e.g. information on shareholders, personnel records, company
policies and contracts. They should be safeguarded against unauthorised access.
• Current records – These contain specific information that helps in the smooth daily running of a business
and can be replaced if destroyed, but with delay and inconvenience, e.g. correspondence, transactions of the
business and journal entries.
• Reference records – These contain information about the business to which reference is made from time to
time, e.g. union documents, procedures for carrying out certain assignments, rules and regulations, reference
manuals and first aid guidance.
 Characteristics of an Effective Records
Management Systems
Five (5) characteristics of an effective records management system are:
• Simplicity - It is easy for staff to understand and use.
• Accessibility - For paper records, the filing cabinets are nearby and records are stored where they
are easy for authorized persons to access.
• Suitability - It has an appropriate method of classification for specific documents as to their size,
nature, quantity and cross-referencing.
• Flexibility - It can be expanded to accommodate more documents when necessary.
• Economy - It is not expensive to use and maintain in terms of cost of hardware and software.
 Duties of a Records Management Clerk
Five (5) duties of a records management clerk are:
• File and retrieve records: Organizing and storing physical and digital documents in a designated
filing system, and retrieving them when requested by authorized personnel.
• Maintain record inventory: Keeping track of all records within the system, including their
location and status, by creating and updating an inventory log.
• Data entry and updating records: Inputting information into the records management system,
ensuring accuracy and making necessary updates to existing records.
• Enforce retention policies: Following established guidelines for how long records need to be kept
and managing the disposal process for outdated documents.
• Compliance checks and audits: Performing regular reviews of records to ensure accuracy and
adherence to legal and company regulations.
 Procedures for Preparing Records for Filing
Five (5) procedures for preparing records for filing are:
• Inspecting: Examining each incoming document to ensure that it has been released for filing. A release mark
agreed upon is put on each document, e.g. the initials of the person who released it or the word file.
• Indexing: Deciding the title under which each document should be filed, e.g. the name of the firm, writer, location
or subject. This is underlined or highlighted.
• Coding: Marking on the document the correct indexing order in which the units of the name should be written.
• Cross-referencing: Preparing a cross–reference for each document that may be requested under more than one
title, stating where the document is filed and placing the cross-reference in any other folder where the document is
likely to be requested. The cross-reference title is underlined and an X is put in the right-hand margin at the end of
the line with the cross-reference title.
• Punching: Using a paper punch to make holes on each document to secure it in the folder.
• Sorting: Arranging the documents in the correct order by using a concertina file or document-sorting equipment
with lettered suspended folders for placing them in.
• Storing: Inserting the documents at the front the appropriate folders in the filing cabinet.
 Procedures for Dealing with Inactive Files
Five (5) procedures for dealing with inactive files are:
• Remove all inactive records from the filing cabinet drawer and close the files.
• Place these records in different colored folders and stamp or label each one TRANSFER FILE.
• Write the names or numbers and dates of the inactive files in a dead files register and state where
they are stored.
• Put all the transfer files in specially labelled boxes and take them to a storeroom or the records
centre of the firm.
• If the equipment is available, microfilm the documents, especially essential records, to save
valuable storage space, and then archive them
 Legal Stipulations Regarding Documents
Five (5) legal stipulations regarding documents include:
• Proper execution (signature and witnessing),
• Date and time stamping
• Notarization for specific documents
• Written in clear and unambiguous language
• Adherence to relevant legal formatting and standards; depending on the
jurisdiction and document type, additional stipulations may apply.
 Filing Equipment
Five (5) filing equipment's are:
• Mobile shelving: Can reduce floor space by up to 66% compared to traditional
filing cabinets.
• Filing cabinets: A reliable and sturdy office staple. Some filing cabinets have
anti-tilt locking devices and drawers that open 100% for maximum filing space.
• Vertical cabinets: Also known as standard cabinets, these are often used in
small offices. They can have four or five drawers and can be locked for security.
• Clip folders: Used to hold papers.
• Suspension files: Used for filing.
 Kinds of Files
Five (5) kinds of files
include:
• JPEG (image)
• PNG (image)
• PDF (document)
• DOC (document)
• MP3 (audio)