Week 2: Records and Information Management Grade 11B

Learner’s Objectives:

At the end of the lesson, students will:

- Describe the types of classification of record management systems correctly

- Identify the index procedures accurately

- Explain at least three (3) methods and procedures for dealing with inactive files

Classifications of Record Management System

Records can be classified for storage through the use of six (6) basic systems. They are:

1. Alphabetical System

2.Geographical System

3. Subject System

4. Numerical System

5. Chronological System

6. Electronic System

1. Alphabetical System

In the alphabetical system of filing, all material is stored in order of the alphabet (A-Z).

Rules governing Alphabetical Filing

Rule 1: All personal names should be indexed so that the last name (surname) is placed first,
the first name is place is second, and the middle name or initial is place last.

Name Indexing Unit Unit Unit

as 1 2 3
given
Beverley Smith, Smith Beverley O
O Smith Beverley
O
Rule 2: An initial in a name is indexed and coded so that it appears before a name that begins
with the same letter. This is commonly referred to as the ‘nothing comes before something’ rule.

Name Indexing Unit Unit Unit

as 1 2 3
given
SR Williams, Williams S R
Williams S R

Rule 3: If surnames are the same, the first name must be used to determine the filing order. If
the first and surnames are the same, the middle name determines the alphabetic order. If
middle names are the same, the street names of the individual or date of birth may be used.

Name as Indexing Unit Unit Unit

given 1 2 3
Richard N Bonner, Bonner Richard N
Bonner Richard N
St James St James
Richard N Bonner, Bonner Richard N
Bonner Richard N
Kingston Kingston

Rule 4: Some surnames have prefixes and are indexed and coded in terms of the first letter of
the prefix. A last name with a prefix is considered as one indexing unit. The common prefixes
include: ‘D’, ‘De’, ‘La’, ‘Mac’, ‘Mc’, ‘O’, ‘Van’, ‘Von’ and ‘Vander’. Spacing before the
prefixes or capitalization of the prefix makes no difference when indexing.

Name as Indexing Unit Unit Unit

given 1 2 3
Beverley de de la Vega de la Vega Beverley
la Vega Beverley
Paula V McBride, McBride Paula V
McBride Paula
Rule 5: Surnames that are hyphenated are treated as one filing unit. E.g.

Name as Indexing Unit Unit Unit

given 1 2 3
Tricia Panton-Black, Panton- Black Tricia
Panton-Black Tricia

Rule 6: Personal titles, such as ‘Sir’, ‘Rev’ and ‘Hon’, and professional titles, such as ‘Dr’,
‘PhD’ and ‘MD’, should be placed in brackets at the end of the name. The name is then indexed
according to the relevant rules.

Name as Indexing Unit Unit Unit

given 1 2 3
Rev Tom Adams, Tom Adams Tom (Rev)
Adams (Rev)
Sir Andrew Coley, Coley Andrew C
C Coley Andrew C (Sir)
(Sir)

2. Geographical System

Geographical system uses the order of the alphabet to arrange place names, addresses of
persons and businesses.

3. Subject System

Subject filing is the alphabetical arrangement of information according to subjects. Folder tabs
carry the subject names, e.g. Hardware Stores, Health Care, Student Services, Telephone, and
Salary.

A subject filing classification system requires the use of an index. This is a list, in alphabetic
order, of all the topic names that are used in the system. Use of the index can significantly
reduce the chance of a record being incorrectly filed.

4. Numerical System

With the numerical filing method, each name, document or folder is given a number in exact
numerical sequence. For example, the first document is assigned ‘1’, the second ‘2’ and so on.
This system is widely used by government departments, e.g. hospitals, banks, sales and
purchase invoices.
 5. Chronological System

In chronological filing documents are arranged according to date. In this system each folder is
labelled with a date and the folders are placed in reverse date order with the most recent
at the top. Within each folder, documents are arranged in alphabetical order. This system is
suitable for documents with short lifespan that are not referred to much, such as invoices,
orders, bills of lading, cancelled cheques, income tax returns, bank withdrawal, and deposit slips
and minutes of meetings.

6. Electronic System

An electronic record is stored on media that can be accessed or modified. E.g. flash drives and
hard drives.

Indexing

Indexing is a way of pointing out or indicating where to store or where to find something e.g.
cross reference card is used to point out where a document can be found, an index card shows
brief information about a name, and an out guide indicates the whereabouts of a file that is not
present.

Indexing Procedures:
1. Out Sheets
2. Tickler File
3. Card indicator
4. Colour as signals

Out Sheets- An out sheet is a form that is kept at the front of a file folder.
Out Sheets are used to record information about who has files out on loan so that these can be
obtained when they are not returned on time. an out sheet.
Out
Date Name/number Name of Department Return Date
of document borrower
Tickler Files
The tickler system is used to remind, or ‘tickle the memory of, the Records Management Clerk
that action needs to be taken at a particular time.
The tickler system consists of two sets of cards -12 monthly primary guides cards labelled
January- December and a set of 1-31 daily cards. This system enables notes on records to be
recorded on cards and placed behind the appropriate month and day guide where action is to be
taken.

Colours as Signals
Colour indicators are one of the number of ways that can be used to draw attention to
information. In filing, coloured sheets can be used to indicate that a document is out of a file.

Methods and Procedures for dealing with inactive files

- Use of microfilming

Microfilm is used for storing inactive files. Microfilming is a process that creates very small
images of records for storage called micro-records. These are packaged on rolls of film, called
microfilm, or on sheets, called microfiche. Microfilm and microfiche are recorded by a special
camera that photographs records and creates the micro-record.
 - Retention periods

Some records must be kept permanently, while others are useful for a short period and are kept
for a year or more, while some records are disposed of immediately after use. A record
retention period outlines how long documents should be kept. Records kept for more than a
year will be removed and placed in long-term storage.

- Disposal of files

Outdated files are called ‘dead’ files. Dead files are usually destroyed with the authorization of
the appropriate person. The most efficient way of doing so is by burning or shredding the files,
using a shredding machine- this helps to protect confidential information.

- Archiving

Paper records that are selected for permanent preservation are placed in labelled boxes, and
then transferred to a new location known as the archive.
Archiving is a faculty used to store records retained for research, historical value, or future use.
An accession register is used to identify records in an archive.