Office Administration

Records and Information Management Systems (RIM)

An information management system is a method of collecting, organizing, storing, preserving

and allowing the retrieval of information. Each unit of information is called a record. Examples
include:

● The personnel file of an employee

● A purchase order
● Sales invoice
● Contract
Records are kept as evidence that transactions were performed. Records such as contracts, bills
and receipts are routinely created as part of the daily activities of a business. Some records must
be created because they are not automatically generated as part of the business activity.
Examples include minutes of meeting, notes from a telephone conversation or correspondence
sent or received.

Records are used to analyze past performance and plan the future direction of an enterprise. They
are used when planning and making decisions in diverse aspects of a business such as:

● Allocating capital
● Stock evaluation
● Assessing personnel requirements
● Profit analysis
● Budgeting
A number of records are legally required according to government regulations. Not all
documents are records. A document is filed as a record if it:

● Is necessary for the successful operation of the organization

● Is required by law
● Serves as evidence of a transaction

Records should be stored as frequently as possible, because in a busy office documents can
accumulate quickly. It is difficult and time consuming to locate items if documents are left in a
disorganized collection. The item maybe displaced or lost. In addition to allowing documents to
be found, proper records management helps to keep items clean and neat.

Records Management Cycle

Records management is the organized or systematic control of records from the time of its
creation to when it is no longer needed.

Characteristics of an effective records management system

Instances where the majority of records are paper-based they are more commonly known as
filing systems. Filing systems results in a mass of paper that must be managed with efficiency
and effectiveness. Its requirements are:

● Access-a good information management system makes records easily available to

authorized users with the department or organization.

● Security-this ensures the safety of the information system from unauthorized access,
alteration, tampering or destruction of records. This includes storing files in fireproof
cabinets where possible. Confidential files should be locked away when not in use.

● Accountability-an information management system should include a method of keeping

evidence of the use of information. The maintenance of usage records helps to ensure that
the system is appropriately used and accessed only by authorized persons.

● Reliability-the system should capture all necessary records, organize them appropriately
and make them available as needed. It should ensure that no information is lost,
misplaced or inaccurately entered.

● Compliance-the records must be handled in compliance with legal requirements and in

keeping with sound business practices and organizational policy.

● Expansion-system must be capable of being expanded when more records are stored

Duties and responsibilities of a records management clerk

A records management clerk is responsible for maintaining the storage and retrieval systems by
manual or electronic means. The clerk usually reports to the Office Administrator or head of the
records department. Her duties include:

● Preparing documents

i. Prepare file folders, guide cards, cross-reference cards and labels for new files
ii. Create new files as required on paper-based or electronic systems
iii. Prepare out cards or outsheets and absent folders for files that are on loan
iv. Classify documents to determine where it should be filed
v. Index and code documents for placement in individual files

● Processing data

i. Prepare records inventories –lists detailing the types and volumes of records on file as
well as their location and frequency of use
ii. Create records based on need, usage, costs and length of time they will be required and
should be retained
 iii. Store files by placing documents in alphabetical, geographical, subject, chronological,
numerical order or in electronic files
iv. Prepare supply inventories to ensure that there are adequate quantities of supplies for
example file folders, outcards, labels etc
v. Input data into an electronic filing system

● Managing records

i. Maintaining filing systems

ii. Manage outcards and file recall records
iii. Manage electronic and microfilm records on the computer
iv. Keep information confidential
v. Control the file area to ensure that unauthorized persons do not access files and that the
area is secure
vi. Manage the retention and disposal of records

● Retrieving information/records

i. Locate and distribute files when requested

ii. Replace returned files within the system
iii. Print documents from the electronic filing system
iv. Withdraw documents from the files

Classification of records management systems

Classification means a method of filing. Records can be classified for storage through the use of
five basic systems:

1. Alphabetical filing

All material are stored in the order of the alphabet A-Z. This is the most commonly used system
and is applicable to paper-based and electronic systems.

Advantages

● It is a system with which most persons are familiar

● It may not be necessary to have an index to the record
● It enables files to be found quickly

Disadvantages

● Some letters are used more frequently than others.

● There may be misfiling because of confusion over the filing practices of the specific
organization
● There may be challenges in filing and retrieving if a name has changed
● It is easy for unauthorized persons to find records
2. Geographical filing

All records are stored according to locations. This is used in organizations that have different
locations

Advantages

● Related files are grouped together, making it easier to locate and analyze data within a
region
● Large sets of records are broken up into more manageable sections

Disadvantages

● Not all organizations operate across major geographical locations

● An organization may have several branches within a specific city or region requiring
further classification of the records

3. Subject filing

This involves grouping and arranging records according to their topic.

Advantages

● It is convenient to use the filed documents because related items are grouped together

Disadvantages

● Files can become very cumbersome as there maybe a large number of items under a
given subject
● It is time consuming to determine under which subject an item is to be filed
● Some documents may relate to more than one subject

4. Numerical filing

Records are filed based on numbers.

Advantages

● The system is easy to setup and free

● It is easy to identify the oldest files because they have the lowest numbers
● It is less likely that documents will be incorrectly filed

Disadvantages
 ● An index is required seeing that persons ask for files by name and not number
● There is a risk that numbers can be transposed while filing

5. Chronological filing

Filing systems arrange records by date.

Advantages

● It is easy to set up and use this system. The latest item received is simply placed at the
front of the file
● It is easy to locate and identify outdated records

Disadvantages
● It requires the creation of an extensive index to assist in locating documents
● Users must make sure that the same date format is used for all files.

6. Electronic filing

This system uses information and computer technology in the storage, management and retrieval
of records.

Advantages
● It reduces the physical space required for storing documents
● Information is immediately available online
● It reduces the number of staff that must be hired to manage records
● It increases the speed with which documents can be located and retrieved.

Disadvantages
● Records maybe lost if the computer system crashes
● Some countries have not yet modified their laws to accommodate electronically stored
documents

Procedures for preparing records for filing

1. Inspecting-examining each incoming document to ensure that it has been released for filing.
A release mark agreed upon is put on each document. For eg. Initials of the person who
released it or the word FILE.

2. Indexing-Deciding on the caption under which each document should be filed.

3. Coding-deciding and marking on the document the correct indexing order in which the units
of the name should be written.

4. Cross-referencing-preparing a cross-reference for each document that maybe requested

under more than one caption, stating where the document is filed and placing the cross-
 reference in the folder where the document is likely to be requested. The cross-reference
caption is underlined and an X is put in the right margin at the end of the line with the cross
reference caption.

5. Sorting-Arranging the documents in alphabetical order by using a concertina file or a

document sorting equipment with lettered suspended folders in which to place them.

6. Storing-inserting the documents at the front in the appropriate folders in the filing cabinet.

Indexing

An index is an ordered listing of all the titles under which the records maybe filed. An index may
also be called a relative index, catalogue, authority list or access guide.

Indexing is the process of deciding where a record should be filed. The word or word
combination under which the item is filed is called the index reference, index code or filing
point.

Objectives of Indexing

The principal objective of indexing is to ensure that filed papers are located easily and quickly
whenever they are needed. Therefore, indexing adds to the efficiency of the filing method. It
ensures speed in finding the files and consequently results in savings in time, labour and the
resultant economy. This objective can be best achieved where the right type of indexing system
is chosen.

Essentials of a Good Index System

In order to achieve these objectives, a good system of indexing should have the following
features:

1. The Index system should be simple and easy to understand.

2. It should be economical in operation.

3. It should allow for speed.

4. It should go well with the system of filing in the organization.

5. It should be flexible to allow for expansion whenever needed.

Advantages of a Good Indexing System

A good system of indexing i.e. which goes well with the filing methods provides the following
benefits.

1. Easy Location

The required papers and documents can be easily located. No extra time is needed. Hence,
referencing shall not be a painful process.

2. Easy Cross Referencing

A good system of indexing also ensures easy cross-referencing and thus saves time and worries.

3. Economy

The cost of records management shall be reduced and the efficiency is also increased. Hence, a
good index ensures economy in records management.

Rules for filing people’s names in alphabetic order

1. People’s names are generally filed in alphabetic order by surname. For example

Names Filing Order

George Patterson Ali, Rohit

Michael Chin Chin, Michael
Rohit Ali James, H. B
H. B. James Mitchell, F. Allan
F. Allan Mitchell Patterson, George

Names UNIT 1 UNIT 2 UNIT 3

Rohit Ali Ali Rohit
Michael Chin Chin Michael
H. B. James James H B
F. Allan Mitchell Mitchell F Allan
George Patterson Patterson George

Exercise

Arrange the names below in the correct alphabetical order for filing

Chrishawn Grant
Stephanie Westbrook
Kelsey Samuels
Tiffany Grey
Samuel Johnson
Travis. J. Williams

Names UNIT 1 UNIT 2 UNIT 3

Chrishawn Grant Grant Chrishawn

Tiffany Grey Grey Tiffany

Samuel Johnson Johnson Samuel

Kelsey Samuels Samuels Kelsey

Stephanie Westbrook Westbrook Stephanie

Travis. J. Williams Williams Travis J

2. Indexing several people with the same surname

a. If the surnames are the same, file by first name. For eg.

Rosalind S. Nurse
Oliver Romesh Gobin
Gary Forte
Patrick Gobin
Jennifer K. Lee
Oliver Ramesh Gobin
Rosalind U Nurse
Michael Edward Paul

Names UNIT 1 UNIT 2 UNIT 3

Gary Forte Forte Gary

Oliver Ramesh Gobin Gobin Oliver Ramesh

Oliver Romesh Gobin Oliver Romesh

Gobin

Patrick Gobin Gobin Patrick

Jennifer K. Lee Lee Jennifer K

Rosalind S. Nurse Nurse Rosalind S

Rosalind U. Nurse Nurse Rosalind U

 Michael Edward Paul Paul Michael Edward

Exercise

Arrange and write the following names in the order they should be written on file

Reid, Ricardo H
Reade, Patrick
Reide, Timothy G
Reede, Juan
Read, Dominic N
Reed, Vivene

Names UNIT 1 UNIT 2 UNIT 3

Dominic N Read Read Dominic N

Patrick Reade Reade Patrick

Vivene Reed Reed Vivene

Juan Reede Reede Juan

Ricardo H Reid Reid Ricardo H

Timothy G Reide Reide Timothy G

b. If the first names and surnames are the same file by initial. For example

Shaffik S Ali
Shaffik F Ali
Shaffik M Ali

Names UNIT 1 UNIT 2 UNIT 3

Shaffik F Ali Ali Shaffik F
Shaffik M Ali Ali Shaffik M
Shaffik S Ali Ali Shaffik S

c. If there are identical surnames, first names, initial or if the initial is not known, file
in alphabetical order of the towns in which the person live.

3. Names and Initials

An initial or single letter goes before a name or word beginning with the same letter. The
principle of ‘nothing comes before something’ applies. For eg.

Travis Williams
Mr. Williams
T. Williams

Names UNIT 1 UNIT 2 UNIT 3

Mr. Williams Williams (Mr.)
T. Williams Williams T
Travis Williams Williams Travis

Cynthia Bailey
Joy Brown
D. Bailey
Mrs. Bailey
Davia Brown

NAMES UNIT 1 UNIT 2

Mrs. Bailey Bailey (Mrs.)
Cynthia Bailey Bailey Cynthia
D. Bailey Bailey D
Davia Brown Brown Davia
Joy Brown Brown Joy

4. Names beginning with Mac and Mc

a. Names that begin with Mc, Mac or M’ are filed as they are spelled. Disregard the
apostrophe.

Peter McPherson
Peter Macpherson
Peter M’Pherson

Names UNIT 1 UNIT 2 UNIT 3

Macpherson Peter
Peter Macpherson

McPherson Peter
Peter McPherson

Peter M’Pherson MPherson Peter

 b. They are also all treated as Mac. The next letter in the name determines the position. For
eg.

Macey. V
MacCullum, P
McBride, J
McEwan, S
McDuff, C

Names UNIT 1 UNIT 2

J McBride McBride J
P MacCullum MacCullum P
C McDuff McDuff C
S McEwan McEwan S
V Macey Macey V

5. Names with titles

Titles eg. Prof, Dr. Col are always placed at the end of a file name and are not included when
indexing. Other titles such as Mrs, Miss or Ms should be placed in parenthesis and are not
included. For eg.

Mr. John Doe

Mrs. Jane Doe
John W. Doe PhD

Names UNIT 1 UNIT 2 UNIT 3 UNIT 4

Mrs. Jane Doe Doe Jane (Mrs.)
Mr. John Doe Doe John (Mr.)
John W. Doe Doe John W PhD
PhD

6. Hyphens and punctuations

Hyphens and other punctuation marks eg. Commas, apostrophe in a name are ignored.
Hyphenated names are treated as one and are filed based on the first word in the name For eg

Paula Campbell-Dunlop
Jennifer Roger-Collins
Christopher O’Toole

Names UNIT 1 UNIT 2 UNIT 3

 Paula Campbell-Dunlop CampbellDunlop Paula

Christopher O’Toole OToole Christopher

Jennifer Roger-Collins RogerCollins Jennifer

7. Prefixes in names

A prefix in a person’s name is treated as part of the name following it, although there may be
spaces or capital letters. Examples of these are St, Ste, Van, Van de, Di, Dos, El, Fitz, Le, La etc

Names UNIT 1 UNIT 2 UNIT 3

Russel De Vinges DeVinges Russel

Elliot Dos Santos DosSantos Elliot

Clare St. Charles StCharles Clare

Mrs. Jane Van Doe VanDoe Jane (Mrs.)

8. Surnames with ‘St’

File surnames beginning with ‘St’ as if they were spelled ‘Saint’. For examples

Claudia Santana
Cheryl Savoy
Amy St. Bernard

Names UNIT 1 UNIT 2

Amy St. Bernard StBernard Amy

Claudia Santana Santana Claudia

Cheryl Savoy Savoy Cheryl

9. Abbreviations, shortened names and seniority designations

Names with abbreviations (Thos, Wm) are treated as written in the shortened form of the name

Names UNIT 1 UNIT 2 UNIT 3

William (Wm) Richard Brumwell Brumell William (Wm) Richard

 Yasmin Y. Ste Agan SteAgan Yasmin Y

Seniority designations (III or Senior) are placed at the end of the abbreviated form. Numeric
designation are filed in sequence before alphabetic designations. Arabic numbers are filed in
numeric sequence before Roman numerals (1, 3, III, IV).

L S Smith
L S Smith II
L S Smith 4th

Names UNIT 1 UNIT 2 UNIT 3 UNIT 4

L S Smith Smith L S
L S Smith 4th Smith L S (4th)
L S Smith II Smith L S (II)

Rules for filing business names in alphabetic order

1. a) If a business name contains the name of a person. The surname is considered first.
For example

Name UNIT 1 UNIT 2 UNIT 3 UNIT 4

Brain Lawrence & Co Lawrence Brian and Co.

b) When the company title includes two or more surnames, the filing point is taken from the first
surname and then the second, irrespective of alphabetical position. For example Heffer &
Edwards is filed under Heffer.

2. Impersonal company names

Impersonal company names is placed in the order in which they are written in the title ignoring
‘The’. When ‘The’ occurs at the beginning of a company name, it is placed at the end with
brackets. For example:

Names UNIT 1 UNIT 2 UNIT 3 UNIT 4

John & Jane John and Jane Roofing
Roofing
The Toy Shoppe Toy Shoppe (The)

3. Symbols in a business name

Symbols in a business name such as the ampersand (&), $, # are indexed as if spelled in full. For
example:
 Name UNIT 1 UNIT 2 UNIT 3 UNIT 4
Jack & Jill Bakery Jack and Jill Bakery

4. Hyphens and punctuation marks

These are ignored in indexing business names. Hyphenated names are treated as one. For
example:

Names UNIT 1 UNIT 2

John-Jane Roofing JohnJane Roofing
Doe’s Shoppe Does Shoppe

5. Single letters and abbreviations

Single letters in business names are indexed as written. If single letters are separated by space,
index each letter as a separate unit. For example:

Names UNIT 1 UNIT 2 UNIT 3 UNIT 4

A B C Corp A B C Corp.
XYZ Oldies Station XYZ Oldies Station
C&S Carwash C & S Carwash

6. Prefixes in business names

Prefixes in business names are filed as part of the word that follow is. For example:

Names UNIT 1 UNIT 2 UNIT 3

La Doe Roofing Company LaDoe Roofing Company
John St. Doe Plowing John StDoe Plowing
El Paso Pizza Parlour ElPaso Pizza Parlour

7. Titles in business names

These are filed as they are written, For example:

Names UNIT 1 UNIT 2 UNIT 3 UNIT4

Father Green’s Toy Shop Father Green’s Toy Shop
Professor Nutty’s Bar Professor Nutty’s Bar

8. Numbers in business names

a. Numbers in digit form are one unit

 b. Numbers that are spelled out are filed alphabetically as written

Names UNIT 1 UNIT 2 UNIT 3 UNIT4

1 Step Above 1 Step Above
Fifteen Sixty Seven Corp. Fifteen Sixty Seven Corp.
Seven Dwarf’s Lumber Seven Dwarf’s Lumber Co.
Co.

Cross-referencing

Sometimes a document can be filed in more than one location. Under these circumstances, a
cross reference is necessary. The document is filed under one heading and listed in the index
under its other possible headings along with a note that states where the file is located. Cross-
referencing is also done when:
● individuals or organizations change their names via deed poll or marriage
● the correspondence relates to more than one subject and can be searched by any one of
them

Charge out procedures

To lend a file is to charge out the file. The charge out procedures are:

● A request is received for the file

● Details of the request are recorded in an Out Files Register
● The file is retrieved from a cabinet drawer
● An out guide/sheet or a suspended out wallet is prepared and inserted where the
document or file was removed
● A memo is placed in the tickler file
● If the file is not returned by the specified day, a follow-up is made
● When the file is returned, a record is made of its return and the out guide is removed

Types of Out Markers

Two methods of recording the removal of filed information are:

● Out sheets-a form that is attached to the front of a file. Documents that are on loan from
a file folder are recorded on the out sheet. Each out sheet has spaces for writing the name
of the person borrowing the record, the department, the date it was borrowed, the subject
of the item borrowed and the date of return to the file folder and storage.
When the items that were borrowed have been returned the sheet is completed to show
the date of return.

● Out guide/card-is used to replace an entire file that has been removed from storage.
When the file is returned, it guides the clerk to the exact place from which the file was
taken. This card is made of heavy material with the word OUT on the tab. It also carries
 space on its front to enter details of the file that has been taken out and when it is
returned. This enables tracking of the file if it is needed or overdue. It also serves to
report on the history of usage of the file.

When an item is borrowed, the completed out card is placed in the drawer at the vacant
space left by the file. When the file is returned, the out card is paced in the front of the
file folder.

Tickler file

This is also known as a follow-up file which is a reminder system arranged by dates. It serves to
remind its user of a specific action that must be taken on a specific date. A card index system
may be used where 12 primary or min guides indicate the months of the year and 31 secondary
guides indicate days of the month. Reminder notes are placed behind the specific dates.

Colour Coding

Colours as signals or colour coding refers to the use of colours in information management
systems to make it easier to find files and to enable misplaced files to be traced easily.
In colour coding, different colours are used to divide segments or sections of the system.
Example files A-C (Brown), D-F (yellow) etc. In some cases different coloured file folders are
used and in other instances different coloured labels are used.

Shared database

Creating a database that can be accessed and shared by other users makes it easier for people to
get information.

Dealing with inactive files

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

 ● Active-a record that is currently being used by the organization. The record must be
readily available in its original form. Usually recently created records are most active.

● Semi-active-records that are not used frequently. These are placed in less accessible
storage areas and rates of usage are monitored.

● Inactive (dead)-a record that is no longer being used. These records are placed in
storage. Some inactive records cannot be destroyed because of legal requirements or
because the information may be needed in the future.

● Disposal-a record may be disposed of when it is no longer required.

Five steps for making a file inactive

1. The file is in storage on a permanent basis. Its usage is monitored

2. Several months of observation reveal that there is no demand for the file and it could be
transferred to the semi-active section of the system

3. The monitoring process continues

4. Should it be determined that there is no demand or need for the file it may be moved to the
inactive storage facilities

5. It may be decided that the file will be retained, or that as time passes, management will
decide on its destruction

Retention periods

File Retention period is the length of time an organization decides to keep certain documents.
Record retention period depends on the following factors:

● The need for the record at some future time

● Legal stipulations for documents to be kept
● Accuracy of the records (for auditing)
● Requirement of the original as evidence in a court of law or as proof of a transaction
● The available storage space

Methods and procedures for dealing with inactive files

When a dead file is removed from the active area the file index must be updated. Many
organizations also maintain a removal register that shows which records have been moved from
active storage and the date of removal. Inactive files that are removed from the active filing area
may be dealt with in the following ways:

● Use of microfilming and electronic storage

 ● Archiving
● Disposal

Use of microfilming and electronic storage

Microfilm is used to make miniature copies of documents when the physical copy is no longer
required. The document is photographed and the image is reduced to the size of a postage stamp
and printed on a transparent film. The two most common types of microfilm are:

● Film-a roll of microfilm in a cartridge that is then loaded into a special camera which
photographs any document fed into it. The location of the document on the film is
indexed on the outside of the cartridge.

● Microfiche-a sheet of film that holds 14 rows and 7 columns of document images (98 in
total). Microfiche is more convenient to us than rolls because it allows the user to go
directly to the desired image.

Advantages of microfilm

● It saves storage space and economizes in weight

● Inexpensive duplicates of enlarged documents can be made very quickly
 ● Documents are microfilmed in the same sequence as presented
● More durable and permanent copies can be made and stored safely
● Films cannot be tampered with and it is easier and cheaper to post

Disadvantages of microfilm

● It needs expensive equipment

● It takes time to index unrelated papers and to locate a particular document when required
● Microfilming and retrieval cannot be done when there is power failure
● Inferior filming can be difficult to read
● Microfilming and retrieval cannot be done when the equipment is out of order

Other electronic data storage

● Audio cassettes
● Compact disks
● Video tapes
● USB drives

Archiving

This is the transfer of paper records that are not being used to a storage room. Files are placed in
boxes, labelled and sent to the archive.

Archiving electronic documents is the transfer of data to less frequently used storage. For eg.
From a hard drive to a CD.
Disposal of files

When it has been established that inactive files will no longer be used, management may decide
that they can be destroyed. The most common method of destroying files is to shred its contents
(confidential files). This can be done in the office or, if there are large numbers of files a
specialist company may be employed. Before files are destroyed they may be put on a microfilm
or microfiche. Some companies use a Record Disposal Authorization form. It is completed when
it becomes necessary to seek authorization for the destruction of records.

A company may also recycle non-essential and non-confidential documents. Electronic records
are deleted from the hard drive.

Legal stipulations regarding documents

Your rights as a citizen is included in the laws of your country. You are entitled to see what
information others are collecting about you for eg. You can ask to see your personal file from
your school or employer. You are also entitled to have sole rights to anything your created but at
no time should your creation attack the reputation of any person. If you have access to
confidential information, such information must not be communicated to the public.

Importance of observing legal stipulations

The law stipulates that a firm must keep certain documents, some of which are displayed at its
registered office. Example Certificate of Incorporation, VAT Registration Certificate. It is
important that a firm observes the law for several reasons:

● To show that the firm is duly registered as a lawful entity (Certificate of Incorporation)
● To verify monies deducted from employees pay and for sales tax charged to customers
● To confirm that deductions from employees’ pay and sales tax are transmitted to the
relevant authorities
● To satisfy the requirements of external auditors
● To provide proof of claims made in income tax returns

The rights of access to information

Access to information may be defined as the right of every citizen to obtain information about
himself/herself which is held by others.

Organizations, including the government, collect information about people. Some of the
information is personal, while some may relate to education, training, employment and assets. It
is the right of all persons to be aware of what is happening around them and how their country
is being governed, by having access to public documents and documents relating to information
other people/organizations collected about them. Technology has made it possible for people to
access all sorts of information on databases via the internet.

Limitations on the right of access to information

Although it is your right to have access to public documents under the Freedom of Information
Act, there are limitations on the right to access; e.g. if you are working in an organization, you
can ask to see your personal file, but not the personal files of other employees or files relating to
the operation of the organization. In like manner, limitations are enforced on the right of access
to certain public documents. You have a right to access public records but at the same time
personal information of individuals must be protected.

Public authorities may refuse an application for information if the request has been identified in
the Act as exempt from access by the applicant. Some are:

● Security or defense documents

● International relations documents

● Law enforcement documents

 ● Documents affecting personal privacy

● Documents containing materials obtained in confidence etc.

Infringement of Copyright

Copyright is the exclusive legal right of a person to his creative work. As soon as you have
created an original piece of work, you and you alone have the sole right to such creation.

Infringement of copyright is the use of someone's original work without the prior written
permission of the creator of the work. This is called plagiarism which is literary theft.

Copyright protects the following:

● Writings
● Musical works
● Stage productions
● Sculptures etc.

Defamation

Fame is the term used for the good name or reputation of a person. Everyone wants to be famous
and remain famous. Fame makes a person feels good and important and feels admired by others.

● Defamation is an attack on the reputation of a person. Such an attack can be oral or

written statements that are not true, malicious and injurious to a person.

● Slander-a term that describes defamation that is heard and not seen. It is usually in the
form of someone talking about another individual or spreading or repeating lies and
unproved stories.

● Libel-is a term that describes visual defamation. It takes the form of lies in print, or
misleading or deceptive photographs. Libel exposes an individual to contempt, hatred,
scorn, mockery, ridicule or disgrace or causes the person to be shunned or avoided or
affects them in their occupation.

Breach of confidence

Confidence is the firm acceptance of the reliability of a person or thing. An obligation of

confidence exists when there is an agreement, or by the merit of a relationship between two
parties, one confides in the other. Obligations of confidence exist in personal relationships,
business relationships and government.
Confidence is a duty of confidentiality imposed on any person who has access to private and
personal information about others, trade secrets or commercially valuable information or
government secrets while on duty.

Wherever you are, at home, school or work, you have access to confidential
information about others, or people tell you things sometimes in confidence and
expect that you would keep it a secret.

Confidential information is information that would not, in normal circumstances, be exposed to

persons who should not have access to it. The different types of confidential information are:
● Private and personal information
● Trade secrets or commercially valued information
● Government secrets

Parliamentary Privilege

Parliamentary privilege is a legal protection within the Parliament of a country whose

constitution is based on the Westminster System. It enables members of parliament to express
their views openly during a parliamentary sitting without any fear of being taken to a court
of law for any statement made. In some systems it is called parliamentary immunity.

The disadvantage of parliamentary privilege is that a member of parliament can abuse the
privilege by making false allegations about a person.

with whom they have relationships so that they can determine how best they can serve the
people from whom the information was collected.

Secrecy Provisions

Organizations such as government, learning institutions, business organizations, service

provider and website owners can collect personal information about people with whom they
have relationships so that they can determine how best they can serve the people from whom
the information was collected.

The information collected is protected by law. Protected information is information about a

person that has been collected while performing duty. Protected information must only be
communicated to the persons concerned.
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Filing equipment and supplies

The choice of appropriate equipment and supplies is as important as choosing the right records
management system. Steel cabinets are the most common types of equipment used for storing
paper-based records. Some offer security and protection against water and fire damage. In
addition, they usually have locks to ensure additional security. Cabinets should be chosen to
meet the needs based on the desire to store records either in filing cabinets or on open shelves.

Types of filing cabinets

a) Vertical-these are the most common. They have drawers that are fitted in the housing of the
cabinet. Each drawer has a label at the front to identify the contents of the drawer. The
drawers rest on tracks and can be opened and closed very easily. Folders with documents
such as catalogues, correspondence, export documents, insurance policies, job applications,
personnel records and invoices are placed into the pockets.

Advantages

● File labels are easy to read and identify

● Documents are protected from dust and water
● Insertion and removal of papers can be done without removing the folders
● There is less chance of losing papers if place in suspended pockets

Disadvantages

● It is dangerous to leave drawers open

● Extra space is required for opening drawers
● Only one person at a time can use the cabinet as only one drawer at a time should be
opened
● Expansion is difficult if space is limited

b) Horizontal-broad shallow drawers are fitted in the housing of the cabinet. Documents such
as artwork, blueprints, drawings, maps, photographs and x-ray negatives are placed flat
without folders, one on top of the other in the drawer.
Advantages

● File labels are easy to read and identify

● Documents are protected from dust and water
● Large documents can be stored in shallow drawers
● Documents do not bend as they are stored flat

Disadvantages

● It is dangerous to leave drawers open

● Extra space is required for opening drawers
● Insertion and removal of items can pose a problem as they are placed one on top of the
other
● Expansion is difficult if space is limited

c) Lateral filing cabinet

One kind of the lateral filing cabinet is similar to the vertical filing cabinet but wider. File jackets
are suspended from to back that is, parallel to the side of the drawer. The entire drawer has to be
opened to access files

Another kind is a tall cupboard but there is no drawer to open. File jackets are suspended on
hand rails and transparent tabs are fixed onto the front edge of the file jackets.
Advantages

● Extra space in inserting or removing folders is not required

● Several files can be seen at the sametime
● Several persons can work at the same time

Disadvantages

● The whole cabinet has to be opened

● Names on files are difficult to read as words are written vertically
● Files are exposed to dust

d) Shelf filing cabinet

These are similar to book shelves. Colour coding is often used with this arrangement. Files are
in full view and they are more easily retrieved. This arrangement does not offer as much
security and confidentiality for records.

Filing Supplies

a. Folders

These are used to separate, enclose and protect documents. The two types of folders most
commonly used in offices are paper file folders and hanging folders.

Paper file folders are usually made of manila or heavy stock card. Traditionally file folders are
beige, but they are now available in a variety of colours.
Hanging folders are used to keep files upright in a drawer. They are designed to hold several
file folders and are made of very durable material. They have reinforced bars with books that
span the width of the drawer. Some hanging folders have pockets that can hold business cards,
disks, CDs etc.

b. Dividers-used to separate files and sort them into categories thereby making retrieval easier.
They are made of sturdy, fairly rigid material such as plastic.

c. Minute Sheets-maybe used when a number of persons must red and comment on the
contents of the file. The minute sheet is attached to the inside of the front cover of the file. It
is used to record the movement of the file from user to user. The comments on the minute
sheet may:

● Give instructions
● Make requests
● Provide background information on the issue
● Suggest action to be taken
● Record action that has been taken

d. Index Card-a piece of heavy paper stock that is cut to a standard size. Index cards are used
for a variety of purposes such as making notes or cataloging files.
e. Treasury tags-a piece of string with a metal or plastic bar at each end. The treasury tag is
passed through a hole that is punched in the document.

f. Fasteners-items that are used to hold papers together in files such as staples, paper clips,
spilt pins and clamps.

Electronic storage media

These are used to store and retrieve information by using a computer. Electronic storage media
include CDs, DVDs and flash drives.

● Compact Discs (CDs)-are storage devices that can hold more data than previously used
diskettes or floppy disks. CDs are used to load programs on computers and to store data,
music and video material.

● Hard drives-are the data capture and storage facilities that are built into a computer.
These serve as backup storage for removable storage devices. They also contain the
computer’s operating system and software such as Microsoft Word and Internet Explorer.

● Flash drives-provide portable storage memory. A flash drive/memory stick is plugged

into a USB port on a computer. Flash drives are valuable backup storage devices as they
enable easy transport to and from various locations.
 Centralized and departmental filing systems

Centralized filing systems

This is the application of records management techniques in the storing of records for the whole
organization b specialized staff a one central place.

Advantages

● Filing procedures used is uniform or standardized

● Equipment, space and staff are more efficiently and economically used
● Staff can specialize
● Use of modern specialized equipment is possible
● Reduces the need to make several copies of the same document

Disadvantages

● Not suitable for confidential, frequently used or specialized records

● Staff may not have a good knowledge about matters concerning specific departments
● Bureaucratic procedures in requesting files ma cause delays or files already on loan to
other departments may not be available
● Due to size, there is need for comprehensive filing, follow-up and cross-reference
procedures
● There may be a need for efficient filing equipment and/ automation

Departmental filing

Departmental or decentralized filing systems is the application of records management

techniques in the storing of records by each department.

Advantages

● Departmental records are located nearby and are readily available to the person who
creates and uses them
● Files can remain confidential
● Departmental staff is better qualified to file departmental papers
● The filing system is easier to manage
● It does not require extra space or full-time staff

Disadvantages

● Effective control of records cannot be maintained

● Equipment and space are not economically used
● Standardization usually cannot be maintained throughout the organization
● There can be difficulty in locating information when a staff member is absent
 ● Information relating to the same subject or topic can be filed in several places

Organization and operation of records management systems

It is the responsibility of management and their employees to ensure that records management
systems are effective. A periodic audit which is a practice to assess the status of the records
management system through regular examination of the records and procedures should be used.
The audit determines how well the system is functioning and recommends was to improve the
system.