UNIT 7 FILES AND RECORDS

Structure
7.1 Introduction \-
Objectives
7.2 Sources of Information
Classifying secondary and tertiary information sources
Sources of information in the lab or prep. room
7.3 Filing Systems
Aims of Filing Systems
Classification of Files
Filing Methods
Filing System for Equipment
Filing System for Chemicals
7.4 Filing of Printed and Written Material
Work sheets/Instruction for experiment
Technical communication
Instruction for use of apparatus
Correspondence
Orders
Requests for equipment
7.5 Special Files
Safety File
Technician's File
7.6 Records
7.7 Stock Records
7.8 Location
7.9 Recording loans
7.10 Recording stock used and misused
Record of use of listed poisons
Record of use of Alcohol
Record of breakages
7.1 1 Information about equipment
Serial number
Maintenance record
Electrical checks
7.12 Miscellaneous Records
Accidentlincident record
Orders and accounts
Key to unknown
7.1 3 Summary
7.14 Terminal Questions
7.1 5 Answers

7.1 INTRODUCTION
In modern days an office acts as information centre. It is a place where
information is collected, processed, stored and made available for the conduct
of various activities of an organisation. In these modem times there is lot of
written communication which generates large amount of papers. Thus the
filing, its system and methods become highly important. Filing constitutes the
core of record keeping. It serves as important aid to office persons because we
cannot rely on memory alone. In order to run the laboratory work we all need
to refer some person or to a variety of publications and papers. The problem is
where to go and find the proper papers. The correct and efficient filing is
answer to the above raised questions. In this unit you will study about various
Laboratory filing systems, their function, types of records, filing procedure, way of
Organisation and cataloguing and record maintenance.
Management-11

These records become handy in case of emergency. If you are keeping the
records of instruments, chemicals, glassware, instructions given from time to
time, etc. you will be able to do work and monitor it in a better way. These
records can be kept in files, record books and computer files. In this unit you
are going to study various filing system, types of records and how the records
are kept.

Objectives
After studying this unit you will be able to:
understand the importance of filing and filing systems,
describe suitable system for filing science stock and paperwork using
some examples,
describe ways of cataloguing,
state what records should be kept and what information should be recorded
(including abnormal incidents), and
maintain a record of breakages and report them periodocally to the persons
concerned.

7.2 SOURCE OF INFORMATION

In the last few years there has been a vast growth in the development of
information system and the generation of information. Alongwith this
development comes the real problem of finding out relevant information
quickly and easily. This problem can be solved by proper filing system and
record keeping.

In general there are three principal sources of scientific information:

1. Original papers published in learned journals (primary sources).
2. Compilation of data on specific subjects (secondary sources)
3. Text books (tertiary sources)

7.2.1 Classifying Secondary and Tertiary Information Sources

Secondary and tertiary sources are usually in the form of books or recorded
material which are commonly stored in libraries. In an attempt to overcome the
problem of locating information, libraries have adopted a standard method of
arranging publications so that information can be readily found. An example of
a standard system is the Dewey Decimal Classification System. This consists
of assigning an arbitrary number to broad areas of human knowledge. These
large areas are then subdivided again and again so that the more subdivisions
there are, the more precise is the definition of the subject.

In the Dewey Decimal System, the number 5 is ascribed to scientific subjects.

The system is then progressively sub-divided as shown in Fig. 7.1.
 --
SCIENTIFIC 'iles and Records
(Area 5)

51 52 53 54 55 56 53 58 59

541 542 543 544 545 546 547 548 549

541.1 541.2 541.3 541.4 541.5 541.6 541.7

Fig. 7.1 : Dewey Decimal System for Seience.

Books in libraries, therefore, are arranged in a numerical order. However, the

great disadvantage is that the Dewey Classification number is assigned by a
librarian who may be guided by the title rather than the content and thus assign
an inappropriate number. If this happens it can be very difficult to find a
particular book.

The Dewey Decimal System could be applied to some types of equipment

classification. For example, a large collection of microscopes could be
effectively indexed using the Dewey Decimal System.

7.2.2 Sources of Information in the Lab or Prep. Room

Every lab ought to contain two or three reference books of information for
everyday use, such as:
Essentials of plant techniques, scientific publishing Jodhpur, India
There are other sources of information which are valuable and might not be
found in the library such as trade catalogues, e.g., the Catalogue from various
manufacturer and exporters, technical specifications, articles from periodicals
of interest to technicians such as Laboratory News or Laboratory Digest, and
so on. Again some method of cataloguing and accessing these must be devised.

The following is a typical list of sources of information:

(1) Reference books
(2) Catalogues
(3) Card indexes
(4) Computer databases
(5) Personal experience

As you can see, information sources are widespread and various, and to locate
precisely the material you require can be a formidable task without expert
advice. To simplify matters, most sources of information have a
referenceiindex system, which enable large quantities of information to be
examined quite quickly. The aim of constructing such an indexing system is to
enable relevant information to be stored and accessed quickly.

Essentially, the manager of each lab must decide on the sources of information
that are required and then stock and store if these are appropriate. (Some
reference books are expensive and it may economic sense to use local
library for these).

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Organisation and 7.3 FILING SYSTEMS
Management-11
Any laboratory accumulates a vast amoui~tof material that has to be arranged
in such a way that any particular item can be found readily and easily. The
need for an efficient system of information retrieval is often overlooked and
File: Information located neglected. Many people cannot see the need for an easily usable system. Let us
forever. Not more than
200 pages should be consider some of the information that accumulates in a lab in order to assess
accommodated in one the complexity of the problem.
file. Always use tag for
tiling papers. Always (1) Correspondence and related materials
number your file papers. (2) Literature references
(3) Indexes for slide and film libraries, samples, general stock, etc.
(4) Manufacturers' catalogues and specifications

None of this information can be ignored if it is required in a lab's work. At

some stage someone will need to gain access to the material quickly and easily.
The test is 'is it relevant to the lab's work?' If it is, it is worth keeping. If not it
can be thrown away. Filing is often a job to be delegated to the most junior
member of staff because it is considered to be too boring a work.

7.3.1 Aims of Filing System

A filing system aims to keep information in its proper place so that it can be'
easily retrieved when needed. k i n g this in mind, it might be useful to
outline what makes for a good filing system:
a) It should be clear and easily understood.
b) It should be accessible.
c) It should be adaptable and easily updated.

All of these are made easier by some kind of indexing of each group of items
by some kind of "key" e-g. alphabetical or numerical ordering, or colour
coding.

7.3.2 Classification of Files

You can classify the files in different ways. Some important ways are given
below:
i) Alphabetical claksification: This is the simplest method of classification
in which files are arrAged strictly in alphabetical orders.
ii) Numerical classificatipn: Under this method you can give supplier or
subject a number and all the papers are placed in one folder bearing
distinctive number as allotted. The folders are arranged in cabinet in the
numerical sequence and guide cards are used to divide them into suitable
groups of 10 or 20. The numerical filing may be combined with
alphabetical system e.g. A-1, A-2, A-3 and so on and files are kept in this
order. It is called 'Alpha-numerical filing' which is more flexible than the
alphabetical or numerical filing.
iii) Chronological classification: In this method the papers are filed date
wise in a sequence as and when correspondence has taken place. It is
suitable for filing correspondence.
iv) Subject wise classification: Under this method, records are classified
according to subject matters of papers. For example there may be one
folder for the main subject Botany (general), Chemistry, Physics,
 Electronics, Zoology, and separate sub folders having lower plant, higher Files and Records
plants, physical chemistry, organic chemistry, inorganic chemistry etc.

7.3.3 Filing methods

The conventional methods of filing (like metal holders, bound or guard books,
box filing) are not of much use. Now a days there are (1) Horizontal filing (2)
Vertical filing.

Horizontal filing: In this method papers are placed in folders and folders are
kept in horizontal position. Folders or files are kept one upon the other and the
papers are inserted in the order of date on which received or despatched.
Naturally, the latest papers are found at the top. An index prepared allotting
number to the files.

Fig. 7.2: (a) Flat tile, (b) Arch lever file.

Vertical filing: Under this method all the papers, folders and files are kept in a
vertical or standing upright positions. We will show you some equipment
required in vertical filing by figure only.

Fig. 7.3: (a) Vertical filing cabinets. (b) Cabinet with drawer and folders.
Laboratory 7.3.4 Filing System for Equipment
Organisation and
Management-I1 You may have thought that our description of the storage of apparatus and
equipment as a filing system was inappropriate. Yet this is not entirely far-
fetched. For example, retrieval of specific items is aided by the clear
numbering and labelling of cupboards, drawers, shelves, eic. Plastic embossing
tape can be used but if vandalism is a problem, white, plastic drafting or
artists' tape (which can be written on with spirit-based felt-tip pen) is very
useful. Using a stencil to paint the name of the contents of the cupboard, etc.
on the door can create problems if you decide to move things round!

If you find that glassware and other small pieces of apparatus tend to "wander"
from lab to lab, you can "colour-code" each lab's contents using a spot of paint
of the appropriate colour on each item in a lab (selecting a site where the paint
will not be burnt off during heating).

It may also be helphl to put a list of the common pieces of apparatus and their
locations (using the number of the cupboard, etc.) in a prominent place in each
lab, e.g. on the notice-board. This prevents a lot of searching through
cupboards, etc. i

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7.3.5 Filing System for Chemicals
You need to be aware of which chemicals are in use, where they are being used
and where they are kept. However, you might hesitate to make it too easy for
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1

other people to find them.

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If you have reagents and other solutions in the lab, these can be said to be 1
"filed" if they are arranged in a specific order. (It is easier to see if any bottles
are missing if you have a set sequence in which they are arranged). There are
several ways in which solutions can be arranged, e.g. alphabetical order, sets
for particular experiments (such as staining slides or food tests), in order of
oxidizing power (for bench acids), in order of strength (for bench alkalis), etc.
If you use plastic embossing tape for "permanent" labels, you have the
opportunity to incorporate a system of colcur-coding.

SAQ 1
The Dewey Decimal System is a means of classification. Can you briefly
describe how it is operated?

SAQ 2
Besides the system described in SAQ 1, what other classification system can
be used?
 Files and Records

SAQ 3
What sources of information do you think should be held in the lablprep.
room?

SAQ 4
Can you think of three ways by which locating a particular chemical could be
made easier?
1.
2.
3.

7.4 FILING PRINTED AND WRITTEN MATERIAL

It is important not to let printed and written material accumulate, otherwise
filing becomes a monumental task. There are a variety of headings under
which paperwork can be filed and a variety of places in which it can be filed.
Boxes, folders, varieties of files, filing cabinets, card index boxes and
computers can all be used to store the information recorded.

7.4.1 Worksheet/Instructions for Experiments

A filing cabinet is a good place for these. Failing that, a cardboard storage case
or suitable box can be used. They can be arranged in a variety of ways
depending on the circumstances, e.g. according to the groupls of people that
would use them or according to topic. In all cases, an indexing system can be
used, together with a "key".

Incidentally, if you are keeping ink or spirit stencils that have been used to
prepare these worksheets, the stencils should have the same indexing systems.

7.4.2 Technical Communications

These are notes, diagrams, etc. that are produced to provide theoretical
scientific information. A filing cabinet is the best place to keep them, but of
Laboratory course, the originator concerned may wish to keep them. Once again, if an
Organisation and indexing system is used for these hand-outs, the same system should be
Management41
applied to any stencils prepared.

7.4.3 Instructions for use of Apparatus

One or more boxLfiles or lever-arch files are suitable for these [see Fig. 7.2
(b)]. If you have more than one set of instructions for a particular piece of
apparatus you must decide whether to file them all in the same file, create a
back-up file with the spares or throw them away.

Alphabetical order is as good a way to file them as any other. You could file
them according to manufacturerlsupplier wise and then in alphabetical order. It
is a good idea to keep guarantees and service or maintenance agreements with
the instructions, although you could create special files for these. There is also
a case to be made out for keeping guarantees with the instructions. The
alternative is to create a special file for guarantees. The same can be said for
servicelmaintenance agreements. Either file them with the instructions for use
of the apparatus to which they refer or create a file specially for
servicelmaintenance agreements.

7.4.4 Correspondence
The widespread use of the telephone seems to have reduced the volume of
correspondence that is generated in developed countries. But countries like our
India, there will still be correspondence. If the volume of this is small, a lever-
arch file is suitable: file incoming letters in the front, and copies of outgoing
letters in the back. Incoming letters can be numbered whilst outgoing letters
can be filed by alphabetical order of the addressee and put in date order. It
might be useful to keep a brief summary of each letter at the front of the file;
an example is shown in Fig. 7.4.

No. Date Sender Subject

1 11.1 1.99 Hari Om Quotation for electroriic balance

2 14.11.99 Jain & Company Will send replacement prism

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3 21.11.99 Arvind-Arjun 4 mm spade adapters discontinued

Fig. 7.4: Index for File of Incoming Correspondence.

These letters are also kept in date wise order and with the most recant one
having the highest number.

7.4.5 Orders
If you are involved in ordering materials or equipment for your lab, you will
require a file to house copies of orders that have been sent and pos~iily
delivery notes on which you have written the date of the goods arrived. You
may also keep accounts.

Even if, you don't keep copies of the actual orders, you might choose to keep
copies of the requests for apparatus, materials, etc. that you have made.
7.4.6 Requests for Equipment Files and Records

Your main function is to provide equipment for experiment and investigations.

The first stage in this process is for someone to ask you for certain items. It is
not enough to have an oral request; to avoid confusion, a written requisition is
vital, and it should be made available to you some time in advance. It is also
possible that the same requests will be made year after year or by different
people. It can save your effort, therefore, if you keep the written requests
together with the list of equipment and materials that you supplied. You should
also have a file containing requests that you have not yet fulfilled.

SAQ 5
Imagine that you are working in a school laboratory, and a biology teacher
hands you a scrap of paper with the following written on it.
"A dissection tray and animal for demonstration". You assume that this is a
request for practical work but what further information would you need before
you could provide the necessary apparatus and materials? (List the items of
information below).

7.5 SPECIAL FILES

As a lab technician some very important files are kept in labs under your direct
supervision. We are going to describe such files in this section.

7.5.1 Safety File

Now we will describe what a safety file should contain.

Every now and again hazard warnings are issued. They originate from
manufacturers/ suppliers, from your employer, from professional bodies such
as the loss prevention Association of India Ltd. Education, from the scientific
press and from union safety offices in case of factories, these should be filed in
the Safety File. You might choose to include copies of memos reporting
hazards and your subsequent actions, as well as any communications from
safety representatives and management concerning safety. You can also keep
the statement of health and safety policy of your employer if available in a
safety file.

Any regulations concerning the use of a Lab's Safety instructions for the
treatment of spillage, basic first aid and other information that is "safety"
related should also be included in the safety file. If you have a Safety Check
List, this, together with the records of such checks made from time to time,
should also be kept in the Safety File.
Laboratory With all this infom~ation,this file constitutes a useful package for new
Organisation and members of staff to read. In some establishments, new staff are required to sign
Management-l l
a document confirming that they have read the Safety File.

7.5.2 Technician's File

Technician file is for you to keep any information that might be of use to you
or your successor in the future. The form that it takes is a matter of personal
preference. You could use any of the systems w e have mentioned.

The file may include the following information:

1. Naines and addre.~ses:suppliers, sources of information, useful contacts,
etc.
2. Recipes: for all the solutions, stains etc. that you have to prepare.
3. Sources of specijic items and materials, e.g. fertile hens' eggs, hearts,
insects, mouse, various chemicals, various instruments, glassware etc.

Technician's file must include asset's register, which include all the received
chemicals, equipment, glassware etc. from time to time. In case of audit, you
will be able to locate any particular item and place it for audit. This register or
stock book should be passed to your successor in future.

No doubt you can think of many more things as file entries - especially if you
are new to the job! In this case, there must be several things that you wish you
could ask someone about. The technician's file would solve this problem.

SAQ 6
You have decided that, as there are now 25 slide sets and filmstrips (some with
a taped commentary) in the biology section, the time has come to catalogue
them.
1. What sort of indexing system would you use?
2. What information would you record for the catalogue?
(Write you answers below)

SAQ 7
From the list given below which items do you think should be placed in the
Safety File?
1) The employer's Statement of Heakh and Safety Policy.
2) Lab Safety Regulations.
3) Instructions for use of apparatus.
4) Procedure when the fire alarm sounds.
5) Employer's advice about hazards.
6) List of chemicals in stock.
7) Names and addresses of suppliers.
8) Accident report forms.

1), 2), 3), 4), 5), 6), 7), 8) -delete as appropriate.

 Files and Reeords
SAQ 8
Give two reasons why it can be helpful to keep the previous year's requests for
equipment, materials, etc. from your colleagues.
(Write your answers below)

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7.6 RECORDS
Records means "any written matter or document prepared for possible future
Principles of record
uses". It may be in the form of a letter, notice, circular, invoice, voucher,
keeping
picture, chart, report, registers, books of accounts etc. i) Safety
ii) Period
A record provides a summary of information. For example, if you want to iii) Economy
know how many beakers you have in stock, you have atleast two ways of iv) Flexibility
v) Classification
obtaining this information. You can count the beakers in each lab and store or
vi) Justification
you can consult the stock record. (the accuracy that is required and when you vii) Verification
last took stock will be relevant here). viii) Accessibility
ix) Simplicity
If your lab had the misfortune to catch fire or suffer a major disaster, how
could an accurate claim be presented to the insurance company? How can the
number of accidentslnear misses and incidences of bad practice, etc. be
assessed and monitored? How can Excise department monitor the use of
alcohol? How can you make sure that you know where specific pieces of
equipment, etc. are? The answer to all these questions is not by relying on your
memory, but is that you need to keep records. These can be kept on record
cards, in record books, or on computer files.
1
7.7 STOCKRECORDS

I As far as record-keeping is concerned, recording stock levels is likely to be

most time-consuming. There are three kinds of record that are required. First is

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acquisition register where all purchases are entered. The second is stock
register which reflect purchase, issue and active stock and the third one is
laboratory indent register. The stock registers are maintained in stores. The
sample of stock registers maintained in India is given below. One of the most
important things to remember when you make a stock register is to count
the pages and sign it. Here we have an example of stock level records of
biology lab. If you are following numerical classification then you may have
register no. 1 for chemicals, Register No. 2 for glassware, Register No. 3 for
apparatus, Register No. 4 for biological material, Register No. 5 alcohol etc.
Now each year you can have a fresh register but again in the next year you will
have Register No. 1 for chemicals and so on.

In India audio-video aids and books are maintained as a part of departmental

library. Whichever system you use, you should keep a list detailing stock kept
in each lab, preparation room etc; from this you can draw up a "master" stock
 list of overall stock levels. Stock arriving or departing should be noted on both
Organisation and lists.
Management-I1
A separate register may be maintained for stock of rectified spirit, alcohol, lab
animal, radio active material, poisons etc.

The time of year when you take stock will vary with your workplace.
However, it is likely that the official inventory will need to be made up at the
end of each financial year, e.g. 3 1"' March.

The departmental stock records are probably best made up during a holiday or
slack period. It is easier if two persons can take stock - one to count and one to
record. Either file cards or a stock-book can be used to record stock levels in
each lablprep room/ storage area. File cards have the advantage that they are
easier to keep in alphabetical order.
STOCK BOOK
ARTICLE

Fig. 7.5: Illustrate stock-book entries.

7.8 1,OCATION
This is essential piece of information for anyone trying to find a particular
piece of apparatus, etc. We mentioned that cupboards, drawers, etc. should be
numbered and labelled with their contents. The location specified for each
piece of apparatus should be unique.

A plan of the lab showing the siting of numbered cupboards together with a list
of the contents of eich numbered site pinned on the notice-board or stuck on a
wall in the preparation room will provide a useful reference.
 Files bnd Records
Location of people is also important. To this end, you need to know who is
using and in which lab during the day and where each member of the
department would normally expect to be worki~lg.You should know and, if
necessary, have evidence to show where the people are working at any time in
science department. To facilitate this, you need to know who has borrowed
what and where he is using it.

1 7.9 RECORDING LOANS

All loans of stock, both apparatus and books, should be recorded in writing, no
matter what time-scale is involved. In the case of apparatus and equipment,
you need to know the name of the person concerned, what he/she is borrowing
(and possibly why), where helshe is going to use it and when you can expect it
to be returned. Items that feature in the official inventory should not be
removed from the premises unless written permission has been given. In this
situation, you could record this written permission with the loan details.
"Borrowing" stock is not the same as using stock that you provide for
experimental work.

In an educational establishment, it is necessary to record loans of textbooks to

students. This is made easier if sets of books are numbered so that individual
books can be identified. If an exercise book is ruled appropriately, it makes a
useful loan record.

7.10 RECORDING STOCK USED AND MISUSED

On an hourly basis you should know what is being used, by whom and where it
is being used. You will know this from the requests that have been made by
other staff. There are three specific instances where you need to record the use
of some materials in a little more detail:
1. Use of listed poisons;
2. Use of radioactive sources; and
3. Use of alcohol.

7.10.1 Record of Use of Listed Poisons

This should apply, to the substances that are locked in the poison cupboard,
, taking care that the same top and liner are in place. Your record should state
the date, the substance withdrawn, the person responsible, for what it is
' required, the mass of substance used and your initials to denote that it was
returned to the poisons cupboard. The mass of substance used is most easily
determined by weighing the bottle when it is issued and again when it is
returned. A book is most useful for recording these "before use" and "after
use" masses and a specimen entry is shown in Table 7.1.

Table 7.1: Specimen entry in a Poisons Book.

Date Naine of Group Substance Mass on Mass on Used

User/ Issue Return
Supervisor
5.1 1.99 Mr. Jain A1 Barium carbonate 541.8 g 536.1 g 5.7 g

8.1 1.99 Mr. Ram (c22) Barium nitrate 235.5 g 215.5 g 20.0 g
35
Laboratory 7.10.2 Record of use of Alcohol (Industrial methylated spirit absolute and
Organisation and
ethanol)
Management-l l
As far as record-keeping is concerned, there are two aspects involved. First, you
should keep a copy of the letter which is sent to the supplier of methylated spirits
when you wish to buy alcohol. Secondly, it is considered to be good practice to
keep a record of all the alcohol that is issued and new stocks that are received. A
book is useful for this and specimen entries are shown in Table 7.2 which
indicates stock positions of methylated spirit. It is worth mentioning that alcohol
is an Excise item and the Excise regulations of your State Government are to be
followed while dealing with alcohol purchase and stock maintenance. You may
go through Section 17.7 of Unit 17.

Table 7.2: Specimen eatries in stock book for methylated spirit.

Date Volwne Area of Work Cumulative Stock Remaining New Stock

I . d Addition
4.11.99 100rnl R & D 100 ml 2.4litre

5.1 1.99 250 rnl Microbiology 350 ml 2.15 litre

8.11.99 50 ml Workshop 400 ml 2.10litre

8.11.99 2.5 litre

1 1.1 1.99 100 rnl Quality Assurance 500 ml 4.5 litre

7.10.3 Record of Breakages

Misuse of stock is generally concerned with breakages and these usually
involve glassware although all types of stock can be included. A book is useful
for recording breakages and each lab should have its own "Breakage Book".
The entry should include the date, name of person responsible, article broken
and member of staff in charge. Whether or not you include a column for the
cost of the article (for you to fill in afterwards) is a matter of policy.

There are one or two more details about equipment that we need to mention
but which have not fitted in with our classification so far.

7.1 1 INFORMATION ABOUT EQUIPMENT

Equipment, in this context, is being taken to mean items that need a power
supply of some kind and which are likely to be enclosed by a metal or hard
plastic case.

7.11.1 Serial Numbers

Most of the expensive pieces of equipment have s serial number engraved on
the name plate that tells you the operating voltage and current usedlpower
consumption. It is important that the serial number should be recorded so that
the equipment can be identified when stock is checked, insured specifically
and identified by the supplier/manufacturer in the event of a fault or complaint.
If you keep a card index file of stock, the cards make an ideal place to record
the relevant serial numbers. If you record stock location and serial number on a
record card, you will have cards similar to the one illustrated in Fig. 7.6 or in
India you can keep a separate record for this purpose.
Details of item lnvenfory Dute No. in stock Piles and Records
ReJ

e.g.
Make, Reg./Cat. No.

Serial No.

Location details
I I
Front Reverse

Fig. 7.6: Specimen Record Card.

7.1 1.2 Maintenance Record

Your workplace may have a service contract covering such things as balances.
This means that they should be checked (and repaired, if necessary) by a
visiting engineer. If you don't have a service contract or if it is not possible to
have one, you may choose to maintain some pieces of apparatus and equipment
yourself, e.g. microscopes. It may also be necessary to send a piece of
equipment back to the supplier for repair. In all these cases, you should keep a
record.

7.1 1.3 Electrical Checks

Each piece of equipment that uses mains electricity should have its plug, cable,
and fuse checked at least once a year, and you must keep a record of the checks
that you make. Once again, a card index system can be useful. Each piece
should have its own card. If you have several similar items with no serial
numbers you must allocate each with a means of identification so that you can
distinguish between them. A simple record card is shown in Fig. 7.7.
-- -- - - - -
ITEM: Balance No: 2
MAKE: Torbal MODEL: PL400
SEFUAL NO: 502 18: POWER RATING: 400 W

Fig. 7.7: Record Card Showing Details of Electrical Check.

7.1 2 MISCELLANEOUS
We are now left with three types of record that we cannot classify by any
stretch of the imagination. The only way is to present them "as they come"!

7.12.1 Accident/Incident Record

All accidents, however minor, should be reported through appropriate
channels. Most workplaces have an accident reporting procedure based on
Laboratory written reports which comply with statutory requirements and
Organisation and
recommendations. However, it might also be appropriate to keep a record in
Management-l l
your department. Certainly, a record of "incidents" should be kept. In both
cases a book can be used. These provide a more permanent record than a loose-
leaf file from which pages can easily be removed and mislaid. In subsection
16.2 of Unit 16, we have discussed more on this aspect.

7.12.2 Orders and Accounts

This is a topic that we mentioned in section 7.4.5. As far as a record is
concerned, this will only apply if you handle orders. If you file orders, it can
save time to have a list at the beginning of the file, showing date, order
number, supplier and expected cost. In order to keep track of the expenditure,
you will need to record the prices paid for goods, etc. If you handle petty cash,
you will also, naturally, need to keep a record of income and expenditure.

7.12.3 Key to Unknown

In Chemistry, it is often the practice in educational establishments to give
students unknown substances (unknown by them, that is!) to analyse. If you
keep such a set of substances for use each year, it is important that you keep a
record of the identity of each substance! It is also important that you keep this
record in a safe place and that you remember where you put it.

Well, we have covered a nurnber of records in this section and we

acknowledge that it is quite possible that you might keep a record that we have
not considered. Before we leave records, however, there are just a few general
points to be made. Where to keep your records deserves some thought.

For records to be of any use in an emergency, they need to survive. Therefore,

you should try to keep them in a relatively safe place.

For information useful for the day-to-day work in the labs, don't neglect the
notice-board as a useful place to keep records. Records such as timetables, lists
of batches of students, student number, etc. can well be displayed on a notice-
board in the preparation room.

Finally, you should give some thought to the security of your records. If you
handle any confidential information, this must be kept under lock and key,
within the preparation room. This makes a lockable filing cabinet almost
essential (although lockable desk drawers can be used).

SAQ 9
Would it be a good idea to keep your chemical stock records in the chemical
store? (Explain your answer in one or two sentences)
 Files and Records

SAQ 10
Give three examples when up-to-date records could be useful. (Write your
answer below)

SAQ 11
List all the information that might need to be recorded about (Write your
answer below).
1) Top-pan balances,
2) A video tape, and
3) Chemicals.

SAQ 12-
Name three materials whose withdrawal from stock should be recorded. (Write
your answer below)
Laboratory SAQ 13
Organisation and
Management-l l Suggest how a record of breakages could be set out. (Write your answer
below)

SAQ 14
Give two reasons why it can be useful to keep a record of "incidents" and/or
"near-misses". (Write your answer below)

7.13 SUMMARY

A iiling syste~nis necessary for smooth running of any office, school and
laboratory. All the information about experiment, chemical, stock books
and correspondence should be clear, accessible, adaptable and easily
understood in a good filing system. There are various systems of filing for
science stock, paperwork and for practical. The catalogue filing can be
done in different ways. The record of information about abnormal incidents
is also to be kept for being reported to proper authority. Another important
aspect is the recording of listed poisons and alcohol used. Record keeping
is an important aspect of laboratory safety.

7.14 TERMINAL QUESTIONS

1. In the space below, write a list of items found in your lab that require
filing. (Use only as many lines as you find necessary).
1)
21
3)
 Files and Records

Write a list of records that need to be kept in your lab. Describe each
group of records from the point of view of the information that the record
gives rather than listing specific details. An example of this would be
"stock levels". (Use only as many lines as you find necessary).
1)
2)
3)
4)
5
6)
7)
8)

Imagine that you have just taken a job as a sole technician in a science lab.
You find that there is no technician's file. Write a list of headings that you
would use in preparing such a file and give a few details about the contents
under each heading.

Describe, in your own words (not exceeding 200)' why you think that
filing and record-keeping systems are necessary.

Write down in the space provided brief definitions for the following terms.
Channels of Communication

Inventory
Laboratory Requisitions
Organisation and
Management-ll ..........................................................................................
...........................................................................................
..........................................................................................

Stock Level
............................... . . . . . . . . . .
I
.......................................
.............................. .............................................................

..............................b...........................................................

7.15 ANSWERS

Self Assessment Questions

The Dewey Decimal Sys(em involves assigning arbitrary numbers to
broad areas of knbwledg . These large areas are then subdivided again and
again so that the more su divisions there are, the more precise is the
definition of the subject. bee para 1.1.2.
b i1
I
Alphabetic. This system is used where only a simple system is required,
I
e.g. filing of catalogues.
Every lab ought to contain two or three reference books of information for 1
everyday use. Trade catalogues and articles of interest to technicians from 4

periodicals should also be held in the lab.

You may have given any of the following three ways, all of which help in
locating chemicals:
1) Labels on shelves;
2) A chart; and
3) A plan on the door of the store room.
1) Date
2) Time and duration of class
3) Roomllab
4) Class setldemonstration
5) Which method of preparation
(5) Which animals
7) Any other chemical, e.g. chloroform
1) You have a choice. If they fall into definite categories, e.g. botany,
l~istology,etc., you could give each category a prefix letter and then use
numbers (this means that some would have the same numbers but
different letters) or you could just use consecutive numbers. You
should not use letters only since would run out of letters quite soon in
Suture!
2) Title and whether or not there was a taped commentary. If you include
the number of slides in the set or frames in the filmstrip, this could give
some indication of the time they would take to be shown.
All could go in the Safety File except (3) and (7).
1) So that you can get back to see what you provided when a similar
request came in the previous year.
2) So that you can demonstrate the amount of work that you did in a given
period of time!
No, for three reasons.
 1) In order to refer to them, you would have to go to the store.
m -
Files and Records

2) The atmosphere inside the store will not facilitate preservations of

records.
3) In the event of a fire or explosion in the store, the records would be
lost.
10. Choose from the following:
1) afterafire,
2) after a theft,
3) when reordering, or
4) when tracing down a specific item.
11. 1) Make and model
Date of purchase
Serial iluinber
Servicelrepair history
2) Title
Running time
Type of cassette, e.g. VHS. Betamax
3) Name
Grade
Catalogue number
Date of receiptltransfer (from store to use)
Hazardls
Stock level
12. 1) Radioactive sources
2) Industrial Methylated spiritsIEthano1
3) Poisons
13. One possible way .would be as shown in below - using an exercise book
for each lab:

14. 1) To identify a commonly-occurring type of incident, e.g. a chemical

reaction which often behaves unpredictably.
2) To identify a faulty technique, experiment or procedure.

Terminal Questions
1. The headings that we came up with are:
1) Equipment (including apparatus and glassware).
2) Chemicals (including radioactive sources).
3) Books.
4) Audio-visual aids.
5) Printed and written material,
6) Safety notes.
7) Technician's file
2. Your list could include:
Stock levels of apparatus and chemicals
Locations of apparatus and chemicals
Book loans - text and reference
Laboratory Equipment on loan
Organisation and Service/maintenance information
Management-I1
Accidents/incidents
Electrical checks
Apparatus and materials requested by colleagues
Experiments performed
Alcohol used
Radioactive sources - stock and use
Use of poisons
Orders placed and expenditure
3. If you don't find the technician file then you should go through the
previous correspondence file and would be able to make a list of following
1. Supplier - names and their addresses.
2. Usehl contacts - name and their addresses
3. Any useful information
4. All the recipes of stains and solution that you have to make.
5. Sources of specific items
6. Sources of materials
7. Record of files - you will like to see what is on file records.
4. See summary 7.13.
..........................................................................................

5. Channels of Communication
Formal lines or chains of communication throughout the organization.

Inventory
Stock levels.

Requisitions
Written documentation of stock items in your charge, which is provided
by the user, giving details of what is being used, by whom and where.

Stock Levels
A continuously updated record of all items for which you are responsible
in your working environment.