Records Management Systems: Classification & Filing Methods

1. ACTIVE RECORDS MANAGEMENT FILING AND CLASSIFICATION SYSTEM

2. Classification: The process of identifying and arranging records and archives in categories according to logically structured conventions, methods and procedural rules represented in a classification system. • Indexing: The process of establishing and applying terms as access points to records. Note: The terms are usually organised in alphabetical order.

3. Types of Files

4. Types of Files • Policy files relate to the formulation of policy and procedures by the organisation. • Policy files: Operational files relating specifically to the creation of policies and procedures. • Operational or subject files deal with the implementation of the organisation’s policies and procedures (the distinction between policy and operational files may not always be clear when a policy is being developed).

5. Operational or subject files deal with the implementation of the organisation’s policies and procedures (the distinction between policy and operational files may not always be clear when a policy is being developed).Operational or subject files deal with the implementation of the organisation’s policies and procedures (the distinction between policy and operational files may not always be clear when a policy is being developed).

6. Administrative or ‘housekeeping’ files (common to all agencies) deal with subjects such as buildings, equipment and supplies, finance and personnel, as well as with general internal administration. • Administrative records: Records relating to those general administrative activities common to all organisations, such as maintenance of resources, care of the physical plant or other routine office matters. Also known as housekeeping records.

7. Case files contain similar information on a wide range of, for example, individuals or organisations, usually reflecting the particular functions and activities of the agency. Case files may be operational (such as school inspection files) or administrative (such as personnel files).

8. Case papers/files: Papers or files relating to a specific action, event, person, place, project, or other subject. Also known as dossiers, dockets, particular instance papers, project files or transactional files.

9. Case papers/files: Papers or files relating to a specific action, event, person, place, project, or other subject. Also known as dossiers, dockets, particular instance papers, project files or transactional files.

10. Classification and Coding • Classification: The process of identifying and arranging records and archives in categories according to logically structured conventions, methods and procedural rules represented in a classification system. • Indexing: The process of establishing and applying terms as access points to records. Note: The terms are usually organised in alphabetical order.

11. Coding system: A representation of a classification scheme, in letters and/or numbers and in accordance with a pre-established set of rules.

12. The main features of a coding or reference number system are as follows: • It must generate unique reference numbers for each item to be classified. • It should be as simple as possible. • It should provide a self-evident order: that is, the arrangement of items within the system should be logical and predictable. • It should be unambiguous in form or format: for example, there should be no choice about upper or lower case letters or the presence or absence of an element • Its elements should be clearly distinguishable from each other: for example, AB/45/89/01.

13. Selecting Classification and Coding Systems • A file classification system should support business or organisational requirements. • A file classification system should be easy to understand, use and maintain. • A file classification system should be precise • A file classification system should be complete and comprehensive • A file classification system should be backed up by a procedures manual and training materials. • A file classification system should be easily automated

14. Hierarchical Systems

15. Alphabetical Systems • ADM/P&E/APP = Administration: Productivity and Efficiency: Staff Appraisal • ADM/P&E/COM = Administration: Productivity and Efficiency: Computerisation • ADM/P&E/EFR = Administration: Productivity and Efficiency: Efficiency Reviews • ADM/P&E/ORG = Administration: Productivity and Efficiency: Organisation and Methods • ADM/P&S/ELM = Administration: Office Procedures and Services: Electronic Mail • ADM/P&S/MES = Administration: Office Procedures and Services: Messengers • ADM/P&S/REP = Administration: Office Procedures and Services: Reprographics • ADM/P&S/TEL = Administration: Office Procedures and Services: Telephones • Figure 8: A Classification Scheme based on Meaningful Letter Codes

16. AB/7/27/01 is the first file dealing with ‘Early Retirement in the Ministry of Health’: • AB is the code for the file series ‘Management Services’ • 7 is the code for the keyword ‘Early Retirement’ • 27 is the code for the keyword ‘Ministry of Health’ • 01 is the first file to be created with these two keywords representing its content. • Figure 9: Typical Keyword Code File Reference

17. Records Office Equipment • Containers • filing cabinets, cupboards, shelves and boxes

18. Identifying and Retrieving Files

19. What to Do Next?