Records Management and Filing Systems
Records Management and Filing Systems tests the record life cycle, classification, filing methods, indexing, retention and security. Expect questions that give a set of records and ask for a suitable filing system with reasons.
Core rules
- Life cycle: creation or receipt, classification, use and distribution, maintenance, retention, then disposal by archiving or destruction.
- Classification options include alphabetical for names or subjects, numerical for unique numbers, chronological for dates, geographical for places and subject for topics. Choose by how users ask for the record.
- Filing equipment includes vertical folders in drawers, lateral shelves and horizontal stacking. Lateral filing saves floor space; vertical filing can be compact.
- Indexing and cross-referencing link a name or topic to a file number. An out guide records the location of a removed file; it does not replace the file.
- Retention schedules state how long each record type is kept and who may authorise disposal. Confidential records need locked storage and controlled access.
- Electronic records need backup, access rights, version control and a clear naming convention.
Worked example
A clinic files patients by surname, but names repeat and change through marriage. Reasoned fix: use numerical filing with a unique patient number, supported by an alphabetical name index. The number stays stable, the index handles name changes, and cross-references cover aliases. Filing purely by surname would create duplicate and misfiled folders.
Traps that cost marks
Choosing alphabetical filing for large numbers of similar names without an index; keeping every record forever; using an out guide as if it were the file; ignoring retention and disposal rules; leaving confidential files unlocked.