516 SPECIALIZED RCS

NAME: Principles of Records Management
CODE: PA 516
CLASS: DPA I
Semester: I
LEVEL: NTA Level 5
DURATION: Six Months
3/16/2015 MUSHI SYLVANUS 1

WELCOME
You are welcome
In new semesterAttention
DPA I

TOPIC
PRINCIPLES OF RECORDS
MANAGEMENT

1.TERMS RELATED TO RECORDS
MANAGEMENT
 Records can be defined as information captured
by individual, organization or institution in
whatever media and form for carrying out
business.
Or Recorded information of any kind and in any
form, either originated or received by an
organization. Include papers, correspondence,
forms, books, photographs, films, sound
recordings, maps, drawings, and other documents.

Terms definitions cont…
 Public records record created or received and
maintained in any public sector agency.
 Private records.
Records created or received and maintained in
any private or non-governmental organization
such as organizations, families, or individuals
relating to their private and public affairs.

Information can be defined as the
processed data which have complete
meaning for decision making
Data is incomplete information collected
for interpretation. Or refers to the
collected facts to be analyzed.

 File An organized physical assembly of documents
grouped together for current use. Or an organized
physical assembly (usually within a folder) for current
use because they relate to the same subject, activity or
transaction.
 Records Centre a low-cost facility for the controlled
maintenance, retrieval, and disposal of inactive
records. A commercial records centre, operated by a
private company, houses records of many
organizations on a fee basis.

 Records Manager
A person assigned primary responsibility for the records
management program.
 Records keeping
A process of maintaining, distributing, indexing and storing
records for their proper use. The processes of creating and
maintaining complete and accurate records of business
activities

A building or part of a building designed for the low-
cost storage, maintenance, and communication of
semi-current records pending for their ultimate
disposal.
 Active/current Records
Records regularly used in day to day operation of an
organization and are kept in the records office/ place
of origin. Records providing current or most recent
information.

 Semi-current records
Records required infrequently in the conduct of
current organizational activities, are kept to the
records centre.
 Non-current records
Records no longer needed for current business. Are
destroyed or transferred to the archive.

 Administrative Records
Records documenting the daily operation and
administration of an office.
 Archival Records
Records of enduring value, documenting the
history and the development of the
organization

 Archives
Are records usually but not necessarily noncurrent
records, of enduring value selected for permanent
preservation.
Refers to place or building/ room/ storage area where
archival materials are kept.
It refers to the organization responsible for appraising,
acquiring, preserving and making available archival
material.

 Appraisal is the process of determining the
value of records for further use, for whatever
 Disposal
The final removal, whether for destruction or
formal transfer to another agency, e.g., records
storage centre or archives, of records that have
reached the end of their retention period.

 Disposition
Refers to the action that are associated with
implement decisions about the retention or destruction
of records.
Any means of changing the location or physical
format of the records. Includes destruction by
shredding or recycling, digitizing, microfilming,
duplication, or transfer.

 Vital(Essential) Records
Records essential to resume or continue operations of
the organization, including records necessary to
recreate the organization’s legal and financial
position, and to fulfill obligations to the organization,
its students and employees, and to outside parties.
 Format
The physical form in which material appears – books,
slides, photographs, film, recordings, etc.

 Legal Value
The usefulness of records as evidence supporting an
organization’s transactions, activities, claims, and
obligations.
 Life Cycle of Records
the records management premise (argue) that records
pass through three stages: creation, maintenance and
use, and disposition.

 Medium(Media)
The physical form of recorded information. Includes
paper, film, magnetic tapes and disks, CDs, etc.
 Non-Record Material
Material that does not need to be filed or that can be
destroyed after a short retention. Includes drafts,
worksheets, routine replies, and extra copies of
documents created for convenience.

 Record Office
The office assigned responsibility for custody and
maintenance of specific records. Generally the office
in which they were originally created and filed.
 Official Files
Original records, including official copies of outgoing
correspondence, that document policy, operations and
programs, property, financial transactions, and legal
obligations of the organization.

 Records Retention Schedule
A comprehensive schedule of record series (by office or
department), indicating for each series the length of time it
is to be maintained in office areas, in a records centre, and
when and if such series may be digitized or microfilmed,
destroyed, or transferred to the Archives.
 Records Values
The usefulness of records for operating, administrative,
legal, fiscal, and historical purposes.

 Retention Period
The length of time records must be kept before they
are eligible (qualified) for destruction or archival
preservation. The retention period begins at a cut-off
date (e.g., the end of the fiscal, calendar, or academic
year) or is triggered by a cut-off event, such as a
termination of employment, contract closure, etc.

 Subject File a file in which documents are
arranged by subject. Not to be confused with a
case file.
 Transfer, the change in physical custody of
records from one organization or unit to
another, e.g., from an office to a records center.

Records management system
Records management system; This refers to
unified set of resources, responsibilities,
procedures and equipment designed to
maintain and provide access to records
within the programme. (Shepherd and Yeo,
2003). Paper based system use the range of
stationary and storage equipment including
files, boxes, cabinet and shelves.

Definition cont…
Electronic Records requires hardware
including computers and storage media
like CDs and DVDs as well as software.

Types of records
1. Types of records based on media or format:
Is the way where by record is designed or created, arranged and
presented include:-
a) Paper based records are those records created received and
kept on the paper medium ( in a hard copy ) for stance paper
file, paper report, letters financial statements etc.
b) Electronic records are those records that created, received,
kept and accessed by using electronic devices. Or are those
records that are held on digital form on a magnetic or optical
computer storage media. This include things like Hard Disk,
Video tape, Audio tape and Compact Disks etc

2.Types of records based on Use/Function
a) Administrative records- are those records relating
to general administrative activities common to all
organization, such as maintenance of resources care of
the fiscal plan or other routine office matters also some
time known as housekeeping record. Or records that
carries administrative matters such as recruitment,
planning, promotion, demotion, transfer, personnel
records.
b) Personal records- records deals with individual
information.

Types cont…..
c) Financial records-are those records that
resulting from the conduct of business and
activities relating to financial matters and its
management such as salary slip, Bank
statement Loans, Vouchers and cheque etc.
d) Medical record- is a history of the patient’s
treatment written by the doctor attending him
or her it may also include other notes on
patient’s diagnosis and treatment provided by
nursing and other allied/associated staff

Types cont…..
e) Legal records- are records generated
specifically from the process of land
acquisition by an individual or an organization.
f) Land records- are records generated
specifically from the legal process, from the
work of the court, police and the public
prosecutors.

3.Types of records based on Ownership
The state of owning recorded materials
includes:-
a) Private or personal records refers to the records
relating to private matters or affairs that created, received
and maintained by non-governmental Agencies
institutions, families or individuals. Or are records deal
with individual information
b) Public or general records- refers to records created,
received and maintained in any public sector or Agency
for stance Ministries Department. It is also a collection of
different records that found in a certain organization.

4.Types of records based on classification
The records based on classification are:-
a) Top Secret- is a record or material required high degree
of protection because its un authorized disclosure could
cause exceptional grave damage to the national security
example major government plans, vital strategic
information for action pending negotiations economic
agreements, new constitutional development.
b) Secret- is a record or material required a substantial
degree of protection since its disclosure could cause
serious damage or endanger national security. Example
defense ensues, emergency and security system political
intelligent reports.

Types cont….
c) Confidential- it is record or material required
protection because its unauthorized disclosure could
cause damage or administrative embarrassment or
difficult or would be advantage to a foreign nation.
Example intelligent report routine confidential report,
technical information for organization new materials.
d) Open record- is a record which does not required
high degree of protection .

5.Types of records based on specialized records
a)Medical records; records that written by the doctor
who attended the patient showing the history of the
patient and the medication that will be applied to such
patient such as x-rays, patient file, demographic data,
diagnostic results etc.
b) Land records; are those records that concerned with
land matters includes land use, land reforms, land
management, planning, land disputes, title deeds etc.

Types cont….
c) Financial records; Records resulting from the
conduct of business and activities relating to financial
management such as salary slip, bank-pay-slip,
payment voucher, budget, audit report, loans etc.
d) Legal records; records that contains legal matters,
these kind of records are derived from different
sources such as police, court of law and Public
Prosecution Office (PSO). Legal records include
summons, subpoena, search warrant, case file etc.

6.Types of records based on sensitivity
a) Active / Current Records: are records regularly used by
the organization and therefore maintained in their place of
origin.
 Features:
 Records received from outside from outside the
organization or created by the organization.
 Records are frequently used it and it gain highly value.
 Stored in records office within the organization.
 Custodians are professional records staffs and secretaries.
 Records are used to transact organizational business

Features cont….
 Records are kept as evidence of the transaction
 Its management requires registry/records office
procedures.
 Should be correctly reflect what is being
communicated
 Records Should be authentic
 Records Should be usable
 Records Should be reliable
 Records Should be protected against unauthorized
alteration

b) Semi –Active / semi Current Records
Are records required so infrequently in the conduct of
current organizational activities, thus they should be
transferred from the records centre.
Features
 Reference, legal, financial value.
 Stored in records centers.
 Records received from records office
 Records are used as reference material by the
originating office.

Features cont…
 Records are kept as evidence of the transaction
 Its management requires records centre procedures.
 Records Should be authentic
 Records Should be usable
 Appraisal decision/review should take place at this
stage.
 Records should one day be transferred to archival
institution or destroyed.

c) Non-Active Records
These Are records which are no longer needed by
current or day to day organizational activities.
 Features:
 As most records destroyed (95-97%) therefore only 3-
5% of the records are retained not used regularly.
 Kept for reference, legal, evidential, historical, artifact
and research purpose.
 Records received from records offices and records
offices and records centers.
 Stored in archival repository

Features cont…
 Records can be accessed by the public if required.
 Its management requires archival finding aid which
are user friendly instructions
 Its retrieval requires archival finding aids.
 Records should correctly reflect what was
communicated.
 Records should be authentic.
 Records should be usable.

The importance of records
 Records enable effective and consistent decision
making.
 Organization used records to support accountability.
 Records are used for cultural purposes, research and
restore corporate history.
 Records is an evidence of any activities.
 Records protect human rights.
 Help in the transaction of day to day activities.
 Accurate records of the agency contact with the client
and aid in continuity of case management between co-
workers.

2.TYPES OF RECORDS MANAGEMENT
SYSTEMS
i) Alphabetical system
ii) Numerical system
iii) Alphanumerical system
iv) Geographical system
v) Chronological system
vi) Direct Access system
vii) Indirect Access system
viii) Keywords Classification System

i) Alphabetical system
The Alphabetical system, this is the files
classification system/scheme whereby files
are arranged in alphabetical order. For
example, subject correspondence would be
arranged from A-Z, based on names of
subject. This method is also called the
“dictionary’’ method because it is the
method used in dictionaries.

Advantages of alphabetical system
 Easy and simple to understand and operate.
 Self indexing. No separate index is need.
 Provide direct reference while offering quick
check.
 There is convenience of grouping paper with
names.

Disadvantages of alphabetical system.
 There may be congestion under under common
names example names starting with M and N.
 Difficult to forecast the space requirement
under different letters of alphabets.
 Misfiling is possible due to misspelling of
names.

ii) Numerical system/scheme
Numerical classification scheme/system;
This use numbers or dates to arrange
information and there are three types within
this scheme.
a) Straight Numeric system simply number
files consecutively and arrange files in
sequence. Straight numeric system are
simple to use, simple to manage, and simple
to expand.

Straight numeric cont….
The disadvantage of straight numeric are
High activity files are grouped, leading
to congestion. Difficult to assign blocks
of files to individuals for filing and
retrieving. Finally is no real way to
handle miscellaneous records, they
usually require separate filing system or
the use of an index to retrieve.

b) Duplex numeric system
This consist of two or more number segments used
to classify numerical codes assigned to files. Files
are arranged numerically depending on
combinations of these segments. For example
middle digits system use the middle number
sequence as a major file heading , terminal digit
systems use the final segments and the primary
digit use the initial number segment. Duplex
usually used in a large volume of records .

c) Decimal system
 This use ten general divisions, which can be
subdivided by groups of ten as usually
needed. The most decimal system is Dewey
Decimal System, developed in 1873, and
used by 90% of the worlds libraries. Under
this method each folder or records is given
number and the files are placed in strict
numerical order. In this method records are
arranged from the lowest to highest.

Decimal system cont…
Users understand the straight numerical
sequences (1, 2, 3, 4, 5, 6, 7, etc) quicker
than the alphabetical schemes. Filing
expansion is easier, due to new numbers
may be assigned without disturbing the
arrangements of existing folders. Misfiling
can be quickly identified because the
number out of sequence is easy detected if
color-coding is used.

Advantages of Numerical classification
system
 Make easy in sorting papers prior to filing.
 Greater accuracy in filing.
 He system is very flexible.
 Misfiling is very minimal.
 The file number can be used as a reference in
future correspondence.

Disadvantages of Numerical
classification system
 More time is needed to index before a file is
located.
 Not easy to arrange files for miscellaneous
papers.
 Greater care is required to avoid errors
arising from mental transpiration of figures.
 The cost of the index and space makes this
system expensive.
 Etc.3/16/2015 MUSHI SYLVANUS 52

iii) Alphanumerical system/scheme
An alpha-numeric arrangement uses a
combination of number and alphabet
characters to create a flexible file
scheme/system. An index is needed to use
the system effectively . For example ADM-
001 could be a code for Administrative files.
All records related to this subject would be
filed under that particular code.

Advantages of alphanumerical
classification system/scheme.
 It can be expanded to an ultimate extent.
 Facilitate quick reference.
 Avoid confusion names of the same letter of the
alphabet.
 Codes eliminate the need for the long tittles.
 Files security is increased because the user must
know, as in purely numerical system, the
meaning of codes before accessing files.

Disadvantages of Alphanumerical classification
system/scheme.
 Users must first consult an index before
accessing files.
 Users must be trained, and even then, one
user may interpret where to file a document
differently than another, lead to confusion
and break down of filing order.
 Misfiles are common and are difficult to
detect.

iv)Geographical classification
system/scheme.
This is based on the geographical origin of the
papers or documents.
Advantages of G.C.S.
 Assist in speedy location of files.
 Direct filing is possible.

Disadvantages of G.C.S.
 If the geographical location is not known
misfiling is possible.
 If can not work for itself, as for better results
it should be combined with any other
method.
 Separate index has to be prepared.

v) Chronological classification
scheme/system
This is the type of classification scheme
whereby file is arranged in strict date order
or specification scheme.
Advantages of C.C.S.
 When dates are known it is useful method.
 Good for overall classification.
 Simple to operate.

Disadvantages of C.C.S.
 Useful only for small business.
 Not useful when the date is not known.
 Incoming letters must be separated from
outgoing replies.

vi) Direct access system
Direct access scheme allows the user to
access the file without first referring to an
index. Direct access may be ideal for small
offices that produce a low volume of records.
Example: If it is easier to find information
by person’s name, the system would be
alphabetical. One looks files directly by
name.

Advantages of direct classification
system.
 Eliminate the need for an index.
 Allows the user to browse through files.
 Time associated with filing and records
retrieval is reduced.
 Users require little or no training to access the
system.

Disadvantages of Direct access
classification system.
 Filing for large systems becomes a problem.
 Selecting termilogy names may be difficult
with subject files.
 Files captions may be longer than codes;
filing is difficult.

vii) Indirect access scheme/system
An indirect access system requires the use of
an index or codes to locate a file, such as
assigning a number to a file e.g. case
number, project numbers, and patient
numbers.
Advantages
 Codes are easier to note and refer to on a
document or folder than words caption.

Advantages cont…
 Sorting is easier
 Greater accuracy in filing and retrieving is
achieved with the use of codes.
 Security of the files is enhanced because
users unfamiliar with the system will have
difficulty accessing documents.

Disadvantages of Indirect access
system/scheme.
 Users access is dependent on the accuracy of
the index.
 Coding and indexing are time consuming.
 Browsing is not feasible.

viii) Keyword filing system/scheme
This is the records management indexing
system which used to classify records of an
organization based on functions and
activities of organization.

RECORDS CENTRE MANAGEMENT TECHNIQUES
 Records Centre: A building or part of a building
designed or adapted for the low-cost storage and
maintenance of semi-current records pending their
ultimate disposal. The primary function for the records
centre is to hold semi-current records and make
available for use until the date of their disposal.
Therefore, the records centre is a temporary or, as it is
often called, an intermediate storage facility. In other
words, it is an intermediate stage between the
organisation’s records offices and the archival
institution.

Types of records centre
a) Off site records centre is located away from the
building used for substantive functions of the
organization.
 Can be situated in low cost areas such as
warehouse areas where there is low population.
 Higher level of security and larger capacity can
often be provided.
 However, their distance from users can increase
cost e.g. transportation which may cause delays
some times.

Types cont….
b) On site records centre Is that located within
the building used for the substantive functions
of the organization.
 If the storage space is available and suitable
it will facilitate easy access for the records
housed there.

Functions of Records Centre
Records Centre provides a general service to all
parts of the government or corporation. It is a
high-density, low-cost storage area, equipped with
a system for retrieving and consulting the records
held. The records centre receives and makes
available all records that have regardless of their
bulk or form. It is also a service intermediate
between the records offices of agencies and the
archival institution.

Functions cont…
 Receiving semi current records: when an office
ask to transfer records to the records centre, the
records centre will send an appropriate number of
empty boxes and a supply of records centre
transfer list to that office.
 The office will select those semi-active records
and send them to the records centre waiting for
their ultimate disposal.

Functions cont…
 Storing semi- active/ semi Current Records. After
registering records the next function is to store those listed
and transferred records under a well protected and suitable
environment the records centre hold semi-current records
and make available for use until the date of their disposal.
 Retrieving and using Records. The offices that created
he records may borrow records from the records centre and
return it under the agreed period of time. The request to
borrow the record can be done by person, telephone or fill
the request form. It is the duty of records centre to ensure
that record is returned as it was issued.

Functions cont…
 Disposal of records. Disposal of records includes
Destruction of records and Transfer of records with
enduring values to the archival repository. Records
centre staffs facilitate the authorized and timely
destruction of records that are no longer needed.
 Transferring records to the archival institution.
All records with enduring value are transferred from
the records centre to the archival repository under the
authority of retention and disposal schedule. All
records transferred must be listed.

Functions cont…
 Measuring and Reporting on the
Performance. The records centre must
always be able to account for its operations
and their costs. It should also be able to
identify measurable benefits to the
government. These statistics can be
calculated and used by the records centre for
monitoring, planning purposes and
Controlling records centre forms.

Procedures for transferring records to the
records centre
Steps/procedures to undertake by the records
centre staffs when transferring records to the
records centre.
i) Check the records
ii) Prepare the boxes
iii) Determine the action category
iv) Distribute the transfer list
v) Label the boxes
vi) Store the records
vii) Update the location register and accessions register.

Procedures cont….
i) Checking the Records
 Remove the records centre transfer list from the box.
 Check that the form has been completed correctly, with
an adequate description of the contents, but with the
box number, location and action date columns left
blank.
 Check that the contents are actually the same as those
listed on the transfer list, the files are in order and have
been properly prepared for transfer. Records should be
clean and orderly, without metal clips

Procedures cont….
ii) Preparing the Boxes
 Each box should be marked in sequence with
the next available box number.
 Carry on numbering in order. When each box in
the consignment has been numbered, the
numbers that have been used should be crossed
off the list, so that the they will not be reused by
mistake. Note that box numbers are not the
same as location codes. A location code refers to
only shelf space.

Procedures cont….
iii) Determining the Action Category
 The approved list of disposal schedules should then be
consulted. Look at the appropriate schedule(s) and
decide what is the correct action category of these
records, and the appropriate action date. The action
category can be either ‘DESTROY REVIEW OR
TRANSFER. The instruction should be entered in the
action category space. The correct destruction date,
review or transferring date should be written into the
appropriate column of each copy of the transfer list.
There must be only one action date for each whole box.

Procedures cont….
iv) Distributing the Transfer Lists
 The first copy should go in the master
transfers file. This file contains the transfer list
in the date order as received.
 The second copy should go in the action dates
file. This file holds the records centre transfer
list in a single sequence by the action date,
irrespective of the office of origin

Procedures cont….
 The third copy should go in the records office
transfers file. This file holds forms to be sent
back to the transferring records office or
agency for retention as a permanent record for
their use. Agencies will consult this form to
find out the box number of any record they
require. On receipt of this copy the record
office should destroy the fourth copy they kept
at the time of the transfer.

Procedures cont….
v) Labelling the Boxes
 It is also useful to attach a label to each box. This
label should indicate the
 originating office code number
 box number
 location code.
 For security reasons, it is important that these
should be the only marks on the outside of boxes, so
that unauthorised people cannot easily identify
records, particularly sensitive or confidential files.

Procedures cont….
vi) Storing the Records
 Boxes should be placed in the shelf spaces that
correspond to their location codes. Their box
numbers are then recorded in the records centre
location register alongside the correct location
code.
 Records centre staff should always be able to
find the location code of any box from its
number, and they should always be able to go
straight to the shelf space from the location
code.

Procedures cont….
vii) Updating the Location Register
 The location register holds the following
information:
 Records office code
 Box numbers
 Location codes.
 When any changes are made on the location on
the records the location register should be
updated for easy retrieval.

Terms and conditions for accessing
records in the records centre

516 SPECIALIZED RCS

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