3.1 Human Resource records indexing

Indexing is the process of giving every human resource record a code, name or number, and listing it in an organised guide, so that the record can be located quickly without searching through every file. Human resource offices hold large numbers of documents such as contracts, appraisals, leave forms, disciplinary records and training certificates, and without an index these are slow to find and easy to lose. Example: a county government office in Machakos that keeps an index of all employee files by staff number and name can produce any officer's file within minutes when an auditor asks for it.

3.1.1 Meaning and Purpose of Records Indexing

An index is a systematic list that shows what records exist, what each one is called or numbered and where it is kept. It works like the contents page of a book: the user looks up the subject in the index, which points directly to the correct file and location. Example: a hospital in Nakuru keeps an index card for each member of staff showing the staff number, department and the cabinet and drawer where the personnel file is stored.

Purposes of Indexing

• Quick retrieval: Files are found in minutes by looking up the name, number or subject in the index.
• Prevention of loss: The index shows where every file should be, so a missing file is noticed at once.
• Avoiding duplication: The index shows that a file already exists before a new one is opened.
• Cross-referencing: One document that concerns two files, such as a transfer between departments, can be traced to both.
• Confidentiality: Files can be requested by code or number instead of by name, which limits who sees sensitive information.
• Support for audits and inspections: Auditors can see the full list of records and verify that they are complete.
• Continuity: New staff can find records without relying on the memory of the officer who set up the system.

3.1.2 Types of Indexing Systems

Different indexes suit different organizations, depending on how records are asked for and how many there are. Most human resource offices combine two or more types. Example: a bank in Eldoret keeps files in numerical order but also keeps an alphabetical index of names, so that staff can be found whether the request gives a name or a number.

Alphabetical Index

• Arrangement: Names of employees are listed in alphabetical order, surname first.
• Best use: Small and medium offices where files are usually requested by name.
• Example: An index listing Kamau, Grace; Mwangi, Peter; Otieno, Janet in that order.
• Limitation: Similar or changed names, such as after marriage, may cause confusion unless cross-references are made.

Numerical Index

• Arrangement: Each file carries a unique number, and the index lists numbers in sequence beside the names.
• Best use: Large organizations and confidential records where names should not appear on folders.
• Example: Staff number 0457 is listed against the name of the employee and the location of the file.
• Limitation: A name-to-number list must also be kept, or files cannot be found when only the name is known.

Subject Index

• Arrangement: Records are listed by topic, such as recruitment, leave, discipline and training.
• Best use: General human resource files such as policies, circulars and correspondence.
• Example: An index showing that all leave application forms are in drawer 3 under the heading Leave.
• Limitation: The same document may fit more than one subject, so cross-references are needed.

Chronological Index

• Arrangement: Records are listed in order of date.
• Best use: Records tied to time, such as payroll, attendance registers and contract renewals.
• Example: An index of monthly payroll files arranged from January to December.
• Limitation: It is not useful when the user does not know the date of the document.

Geographical Index

• Arrangement: Records are listed by place, such as branch, county or station.
• Best use: Organizations with many branches, such as a bank or a courier company.
• Example: An index of staff files by branch, with staff under Kisumu, Mombasa and Nairobi grouped separately.
• Limitation: Records must be moved when employees transfer to another station.

Card Index and Electronic Index

• Card index: Each employee or record has a card filed in a drawer, giving name, number and location, and cards are easy to insert and remove.
• Spreadsheet index: A table with columns for file number, name, department, location and status, which can be sorted and searched.
• Database or document management system: Software that links every index entry to the scanned record and allows searching by any detail.
• Advantage: Electronic indexes allow instant searching and can show several sort orders from one list.
• Limitation: They require power, backups and password protection against loss and unauthorized access.

Comparison of Indexing Systems

3.1.3 Information Recorded in an Index

An index entry must give enough detail to identify a record and find it, without repeating the full content of the file. Entries are written in a standard format so that every officer reads them in the same way. Example: a SACCO in Nyeri records, for each employee, the staff number, full name, department, date of employment, file location and status.

Standard Index Entry Fields

• File or reference number: The unique code that identifies the file.
• Name of the employee: The full name, with surname first.
• Department and job title: Where the employee works and the post held.
• Date opened and date closed: When the file was started and when the employee left or the file was archived.
• Location of the file: The cabinet, drawer, shelf or electronic folder where the file is kept.
• Status of the file: Active, inactive, archived or on loan.
• Cross-reference: Other files where related documents are kept, such as a training file or a disciplinary file.

3.1.4 Steps in Creating a Human Resource Records Index

Creating an index must follow a clear order, or entries will be inconsistent and difficult to use. The work is usually done when a new filing system is set up or when old records are reorganized. Example: a technical college in Kisii follows these steps each time it creates a new index for its staff records.

1. Survey the records: List the types of records held, their quantity and how users usually ask for them.
2. Choose the indexing system: Select alphabetical, numerical, subject, chronological, geographical or a combination, based on the survey.
3. Design the entry format: Decide the fields to be recorded and the standard way of writing names, dates and numbers.
4. Assign codes or numbers: Give each file a unique reference and record it in a number register.
5. Enter the details: Write or type every file's details in the index, checking each entry against the actual file.
6. Mark the files: Write the same code or number clearly on the folder tab and on documents inside.
7. Verify the index: A second officer compares a sample of entries with the files to detect errors.
8. Store and protect the index: Keep the master index in a secure place, with a backup copy in a separate location.

3.1.5 Rules for a Good Index

Following simple rules makes an index consistent and easy to use. Poorly designed indexes cause the same confusion that they are meant to prevent. Example: an index in a school in Kitale that applies a standard rule for names ensures that every teacher is listed under the surname.

Rules for Writing Entries

• Use one standard format: Write all names, dates and numbers in the same order and style.
• Use surnames first: List employees by surname, then first name, then other names.
• Make codes unique and permanent: A number or code should never be reused even after a file is closed.
• Use cross-references: Where a record could be asked for in more than one way, add a second entry that points to the first.
• Keep the index separate from the files: If both are in the same drawer and are lost together, the index is of no use.
• Avoid abbreviations that are unclear: Use only abbreviations approved in the office manual.

3.1.6 Maintaining and Updating the Index

An index that is not kept up to date soon becomes misleading and is then ignored. Updating should be a routine duty with a named officer responsible. Example: a hotel in Mombasa updates its staff index every Friday, adding new employees, marking those who have left and recording changes of department.

Maintenance Activities

• Add new entries promptly: Enter each new employee or file as soon as it is opened.
• Update changes: Change the department, location or status whenever it changes.
• Record file movement: When a file is borrowed, note who has it and the date, and mark it returned afterwards.
• Mark closed or archived files: Show the new location when a file moves to the archive.
• Audit regularly: Compare the index with the physical files at least once a year to find missing, misfiled or unrecorded files.
• Back up electronic indexes: Copy the file to a separate device or secure cloud storage on a regular schedule.

3.1.7 Challenges in Records Indexing and Solutions

Human resource offices face common problems in keeping indexes accurate and useful. Identifying them early makes them easier to prevent. Example: a county hospital in Kakamega solved repeated misfiling by training staff in the standard format and introducing a sign-out register.

Common Challenges

• Inconsistent entries: Different officers write names and dates in different ways.
• Failure to update: Changes are not recorded, so the index points to the wrong location.
• Duplicate files and entries: The same employee has two numbers or two files.
• Loss of the index: A single copy is lost or damaged, and records become hard to find.
• Lack of skills: Staff do not understand the system and do not use it properly.
• Confidentiality breaches: The index is left open for anyone to read.

Solutions

• Adopt written standards: Prepare a short procedure manual with examples of correct entries.
• Assign responsibility: Name one officer to maintain and check the index.
• Check for duplicates before opening files: Search the index before creating any new entry.
• Keep backups: Maintain a duplicate copy of the index stored elsewhere.
• Train staff: Teach all users the system and the reasons for accurate entries.
• Restrict access: Keep paper indexes in locked cabinets and protect electronic indexes with passwords and user levels.

Chapter Summary

This chapter covered the essential processes involved in maintaining human resource records, beginning with the indexing of records to ensure efficient retrieval and organization. It then explored various storage systems, including lateral, vertical, mobile, and fireproof file cabinets, as well as shelving options and digital storage solutions, highlighting their specific uses and advantages. The allocation of storage system resources was discussed to optimize space and accessibility. Emphasis was placed on the physical securing of records to protect sensitive information from damage or unauthorized access. The chapter also addressed the importance of employee training on confidentiality to safeguard personal and organizational data. Finally, it outlined the proper procedures for document archival, ensuring long-term preservation and compliance with regulatory requirements.