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2. This lesson examines the task involved in maintaining &
using files. It includes:
• storage & security
• records office equipment
• identifying & retrieving files
• controlling file circulation
• documenting circulation
• housekeeping
• media conversion
3. STORAGE & SECURITY
• Current files are not in used normally stored in a
records office either:
• central records office serving the whole of an
organization
• decentralized system, a local records office serving
the divisions & branches of the organization within
a single location
• individual division or branches
4. Office of ministers or senior officials as exceptions should
necessary to set up separate, secure & fireproof store or safe for
files containing highly classifies or valuable documents
Nevertheless maintenance & handling should under the control of
the organization’s records manager
Separate arrangements should also be made to safeguard essential
or vital records & back up copies of electronic records in & off-site
locations, often the records center
5. Records office should be located on one of the lowers floors of
the building with floors strong enough to bear the weight of
large quantities of paper
- avoid basement accommodation since it is high risk of
flooding from leaking or burst water or sewage pipes, from
water leakage from outside & from water used to fight fires in
higher floors of the building
6. Entry to files are stored should strictly controlled
- doors & windows should be locked when there is no staff
working
- doors should be in strong construction with good locks,
while windows should should be fitted with shutters,
security grilles or bars
- preventive measures & control outbreaks of fire includes
ban on smoking, installation of smoke detectors & alarms
& maintenance of fire extinguishers
- regular fire drills should be held, and a disaster recovery
plan should be in place & tested regularly
7. As conclusion the accommodation should be adequate to
house the staff of the records office, the equipment they need
& the records which they are responsible. It should be well
maintained & there should be a regular cleaning program
8. Records Office Equipment
File should be stored safely with sufficient containers to ensure
not so packed tightly that cannot be removed or replaced.
Types of equipment should be determined by the volume of
records, level of use made of them & degree of confidentiality
9. Basic ways to store files are:
1. vertical filing in cabinets
2. lateral filing in cupboards or on racking
Vertical filing
- usually in four-drawer filing cabinets
- suitable for small records offices & files stores
- suitable for confidential & personnel records
- suitable secure storage of files held temporarily in
offices
10. Lateral filing
- in cupboards or on a racking (which can safely be higher
that the height of a filing cabinet)
- preferable for large quantities of files in frequent use
- provides savings in space up to 50%
- achieve improve in speed of retrieval up to 30%
- greater saving of space (up to 80%) with the use of mobile
rack but the retrieval may be slow due to the subject heavy
use
- floor in the building must strong enough to take extra load
- risk of mechanical breakdown is higher & cost is much
greater
11. Containers
Boxes are use to this stage especially to store semi-
current files rather than stored loose on shelves as easier
retrieval, limits wear & tear & provides protection
against fire & water
Not necessarily archival quality but cheaper & sufficient
enough, alternatively to leave the file unboxed but to
have rigid shelf dividers at frequent intervals to support
files & prevent from slipping down & become damaged.
It can be locally made or supplied with the equipment
12. Some storage equipment, both horizontal & vertical require
files placed in pocket suspended from rails instead on shelves
because it marginally lighter & easy to use but obtaining
supplies may present problem because
- they are relatively expensive
- they do not offer the same degree of protection as boxes.
- suspended pockets are also liable to become damaged
quickly when files are in frequent use
13. IDENTFYING & RETRIEVING FILES
File stored by series, sub-series & file no. facilitate identification &
retrieval that is in the order corresponding to classification & coding
system with filing cabinets, cupboards, shelves & boxes should be
clearly labeled to indicate their contents
A recommended method of storing files is on their ‘spines’. The file
code or reference no. is found along what becomes the top left-hand
corner of the file when stored using this method. An example of file
cover is shown on Figure 1
14. OFFICE OF THE HEAD OF THE CIVIL SERVICE
Number pages serially at top outer corner in blue pencil.
Number minutes serially beginning a new series for each page.
Write minutes on the last page of the last enclosure, if there is
space, or on the last page, if the paper is suitable otherwise, insert
a minute sheet in the file.
FILE NO.
PB –
Vol.
Name
To Page Date To Page Date To Page Date
Authority to send File to
Record Room
Signature of Authorising
Officer
Date
NUMBER
Fig. 1
Sample File Cover
15. A record of issuing of the file should entered on the grid or ladder
on the front of the file cover includes
officer name & date; also act as address delivery of the file
When the grid is full or the cover is damaged, a new cover should
be fitted around the original cover. Alternately, the front portion
may be detached & annexed to the new file cover
16. Finding a specific file in a long, unboxed run require much trial &
error. This cases require:
- dividers with protruding flags appropriately labeled
- inserted within cabinets or along the shelves of cupboards or
open racking to indicate the beginning of each series or sub-series
- at intervals (such as at every twenty-five files) within it to
facilitate the location of individual files
- dividers may also serve as supporters to prevent files from
slipping down when stored
17. When the storage area is large or where files are stored in a
number of different places, a storage plan and key (or index)
may be maintained. The key may take the form of annotation
(explanatory notes) on the files transit sheets or file dockets
18. CONTROLLING FILE CIRCULATION
Movements of file from records office should be strictly controlled
with rules & procedures should be drawn up, widely distributed &
enforced.
Co-operation between action officers & file users is essential if file
movement records are to be accurate & reliable
19. The rules & procedures will cover such matters as
• who has the authority to access & use files, including any
special restrictions on particular categories of files (such as
classified, other confidential files, including personnel files)
• how the circulation of files is to be recorded & who is
responsible for ensuring that the documentation is kept up to
date
• when files may pass directly from one action officer to
another & when they must pass through the records office
• how long an action officer may retain a file without
reconfirming the withdrawal
20. Documenting Circulation
To be effective, a record office should know the location every
files all the times under their responsibility. Hence, a system to
records each file movement either manual or computerized
should be established & strictly implemented
A manual file file circulation control system will require as a
minimum a file transit sheet. Other controls may include a file
request form, an in-use sheet & a file movement form
21. File Transit Sheet
- also known as ‘tracer card’ created for each file at the time of
the opening of the file.
- in loose-form, easily arranged in file transit books in the same
alphanumerical order as the file codes
- their purpose is to show location at all the files
- all movement must be recorded enable to provide an efficient
& reliable service
22. File Transit Sheet (cont.)
- when a file is closed, it must be indicated on the
transit sheet
- when destroy or transfer, this fact should be
noted on the sheet & transfer to a transit book
covering files are no longer held in the records
office
- sheet should scheduled for preservation; they
provide a record of disposal of the file
23. SECURITY GRADING
(Upgrade as Necessary)
FILE NUMBER
FILE TITLE
INDEX HEADINGS
PREVIOUS FILE NUMBER SUBSEQUENT FILE NUMBER
Sent To Date Sent To Date Sent To Date
Fig. 2: File Transit Sheet
24. File Request Form
- file should leave office only in response to
specific request except it is passed to an action
officer associated with inward correspondence
- a request may be by a personal applications, by
telephone or online by ‘bring-up’ request or by an
appropriately completed file request form & may
combined with the file movement
25. File Request Form
(Please complete this form and send it to the records office
whenever you request a file.)
File number:
File title:
Requested by/Passed to:
Location:
_____________________________
Date: Signature: _______________
Fig. 3: File Request Form
26. In-Use Sheet or Card
- an in-use sheet is completed within the records office & placed
on the shelf or in the filing cabinet in place of a removed file
- it could be kept within the file when the file is in place &
removed when it issued. Alternatively, use a duplicate of the file
request form or the latest file movement form
- another alternative to create a set of in-use cards, each size of the
normal sheet of paper & place one on the shelf or in the drawer
when a file is removed
27. - the cards ruled in columns required information:
• file number
• title
• officer whom the file is sent
• his or her location
- the information can be crossed out when the file is returned &
the card reused many times, saving stationery
- there will also be less likelihood that the sheet will become bent
or inadvertently mixed with the contents of file
28. - the person completing the form should also enter the name of
the new addressee in the grid on the file cover
- on receipt of the file movement form, the records office will
update the file transit sheet & in-use sheet (if one is used). As
already noted, the file movement form may be combined with the
file request form
- consistent use of file movement requires a high degree of
discipline on the part of file users who must aware of the
importance accurate file movements records
29. - when finished with file, the last action officer
will return the file back remembering to enter
the records office as addressee on the file
cover
- its return will be recorded on the file transit
sheet, the file will re-shelved, the in-use
sheet will replace with the file & the file
request form & any file movement forms will
be destroyed
30. - computerized system will follow much the
same sort of process but the individual steps
will usually be on-line amendments to a
database
- the only physical actions required will be
addressing the grid on the file cover &
placing a computer-generated in-use slip on
the shelf in place of the file & retrieving it on
the file’s return
31. FILE MOVEMENT SLIP
Use for long-term file movements
(Please complete this form and send it to the records office
when you pass a file to another officer. This will enable the
records office to ensure that its records are accurate.)
File number
File title
Passed to
Location
Date
Signature
Figure 4: File Movement Slip
32. HOUSEKEEPING
Records office will perform a number of
housekeeping activities in order to maintain its
current records system. These includes:
• conducting file censuses
• tracing missing files
• recalling outstanding files
33. Conducting a File Census
- file census should be undertaken at regular
intervals in a system where there is doubt about
the accuracy of the file movement records
- census can be carried out once a week or
fortnight
- one method is to ask each action officer to
complete a file census form, though on the first
occasion the census may be more complete &
accurate if form completed by a member of
records office staff in collaboration with action
officer
34. The census data should the be compared
with the records office own census of the
files in storage. Any discrepancies should be
investigated
35. File Census Form
Date ________________
File Ref
Number
File Title Location/Officer
SIGNED _______________________________ INITIALLED __________________________
Figure 5: File Census Form
36. Tracing Missing Files
- if it appears a file has been mislaid, it is the responsibility of
action officer to whom the file was last charged out to initiate a
search
- if search is unsuccessful, the records office should circulate a
note to all officers in the organization to check whether the file
with them
- if this request is also unsuccessful, a physical search
throughout the organization should be instituted
37. While the file is missing, the charge-out document should
endorsed ‘file missing’ & a temporary file (clearly marked
as such) should be opened for any paper accruing pending
the discovery of the original file. When the original file is
recovered, the temporary file should be merged with it
38. Recalling Outstanding files
- when a file has been charged out to an action officer for longer
than the permitted period, a file recall or chase-up note should be
sent, asking the officer to return the file to the records office or to
confirm that it is still required for current business
- records office should operate ‘bring-up’ (BU) or ‘bring-forward’
(BF) or ‘re-submit’ system so that the file can send on specific
future date & discourage action officers retaining the files
39. - bring-up action starts when action officer returns the file
together with BU request, providing details of the & the date
when it is to be returned to the action officer
- within the records office, the request is entered in a BU diary.
This may be in the form of a desk diary
- when the file is to be returned, the need is confirmed with the
action officer & the file is located & charge out
40. COPYING RECORDS
- in certain circumstances, it is necessary to copy current records
& should be done after careful consideration of the purpose,
which copies are required & assessment of the most appropriate &
cost-effective form of copying
- it can be valuable process for the management of current
records & for access & dissemination of information.
- copying or reprography is also a tool used for preservation
purposes with process & operations involved in physical
protection of records against damage & deterioration
41. - copy management, aimed to at preventing excessive copying
& the proliferation of paper, is an important constituent of an
organization’s records management system
A variety of copying process are available to the Records
Manager, These include
• electrostatic copies (photocopies or hard copies)
• microform copies
• digital copies
42. Electrostatic Copies
-‘photocopies’ or ‘hard copies’ are the easiest types of copy to
produce in an office & suitable for duplicating short runs of
individual documents
- equipment use for producing copies range from simple to
complex. Best copiers print on plain paper & do not involve any
special chemical preparation
- when equipment is properly maintained & the correct materials
are used, such copies are virtually permanent
43. Microforms
- roll microfilm or microfiche are most suitable for duplicating
multiple documents (complete files or even whole series)
- equipment used complex & expensive, must be maintained &
operated by skilled operators. Also required microfilm &
microfiche readers to read the microforms
- microfilming require comprehensive range of relevant
international standards. Microfilms filmed & process on silver-
gelatin stock will be very stable & last long time if preserved in
correct environment & handled with care
44. Digital Copies
- produced using process called document image processing
(DIP), whereby images of documents are converted into digital
form on optical disks & handled & retrieve electronically
- this process should be distinguished from optical character
recognition (OCR), which converts the individual character of
a text into their standard (usually ASCII) electronic codes for
computer processing but do not reproduce image of the source
documents
45. - equipment required for operating DIP system is expensive & yet
no adequate range of international standards in the field. DIP
system are most likely to be of value into automating the office &
its workflow
- access to information is faster than microform systems however
where information is bulky, is accessed infrequently & speed is
not vital, microfiche are likely to be more cost effective
- information created & maintained in electronic form may be
printed out, where it may range from low resolutions dot-matrix
to high resolution ink-jet or laser printing. It may be produced as
computer output microform (COM)
46. Reasons for Copying
Deciding whether copying is appropriate, it is necessary to
consider what purposes are to be served by the conversion &
whether the cost is justified. Those purpose may include any or
all of the following, separately or in combination:
• to ease storage problems
• to secure or preserve records
• to make records available at various locations
47. Conversion for Storage Purposes
- equipment manufactures & suppliers will suggest substitution
microfilming or image processing & the subsequent destruction of
the original documents, as a solution to an organization’s storage
problems
- any such proposal should carefully examined. Microfilming can
be costly so the costs should be compared with those of operating
a sound records management system includes appropriate &
timely appraisal & disposal procedures & off-site storage of semi-
current records
48. The decision to convert records in order to save space must be
based on a number of considerations, including:
• The cost of microfilming or image processing. Costs are not
confined to equipment, materials, staff & accommodation but
also include preparation, storage, maintenance & retrieval
• The nature of records. If documents are not in standard size,
shade or color, the filming or scanning process may be slower
& the unit cost may be higher. Further, the quality of the
copies may suffer
49. • The legal requirements for keeping originals.
If the documents are of archival value or if they
are likely to be required for legal purposes & only
the originals are admissible as evidence,
destruction is not an option and so there is no
resultant saving
50. Conversion for Security or Preservation Purposes
- security microfilming of essential records or the backup copying
of electronic records is a form of insurance against the loss of the
originals & the information they contain
- security copies of records should be stored separately from
originals to ensure their protection in the event of a disaster
- preservation copying of documents may be necessary to ensure
their survival for as long as they have continuing value to the
organization or archival value for other potential users
51. Reason for preservation copying may include:
• Copying damaged documents: copies can be made by
electrostatic or micrographic means & subsequent consultations
may be confined to the copies (or surrogates) to prevent further
damage to the originals
• Copying records that may fade or deteriorate:
It is wise to make electrostatic copies of fax messages or other
copies printed on coated paper, from which image soon fades
52. • Printing electronic documents: electronic records, include
e-mail messages, may be printed & filed on the relevant
paper files where there is no adequate assurance of long-term
protection of electronic records. In the long term, as
electronic filing systems begin to meet the full range of
records management requirements & electronic documents
become legally admissible, such conversion will cease to be
necessary
53. • Copying for diffusion: records may be copied for
simultaneous use at different locations. Such copying
protects original & may improve efficiency & speed in
decision making & action. Diffusion may be done by
making paper copies, microfilms copies or electronic copies
of records