TOPIC ONE

INTRODUCTION TO RECORDS MANAGEMENT (NCRIM)

DEFINITION OF KEY TERMS AND CONCEPTS OF RECORDS MANAGEMENT

Data Is raw facts / evidence about event present in way that it can be interpreted by the person it is
going to for processing.
Information
Information is processed data which has meaning
Document
Recorded information regardless of medium or characteristics.
Record
A document created or received and maintained by an agency, organization, or individual in
pursuance of legal obligations or in the transaction of business.
Is document regardless of form or medium created, received, maintained and used by an organisation
(public or private).
Archives
These are documents created or received and accumulated by a person or organization in the course
of the conduct of affairs, and preserved because of their continuing value.
These are records which have been preserved for their value or as evidence of history.
Appraisal
The process of determining the value and thus the final disposal of records and the decision regarding
the preservation requirements of each record or series of records.
Retention period
The length of time that records should be retained in offices before they are either transferred into
archival custody or destroyed/deleted.
Records Management A field of management responsible for the efficient and systematic control of
the creation, maintenance, use and disposition of records.
Records management is both a discipline and management function concerned with the systematic
application of management techniques to and control of the information created or received in the
normal information of an organization’s business.
File plan
A pre-determined classification plan by which records are filed and/or electronically indexed to
facilitate efficient retrieval and disposal of records.

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Filing system
The collection of storage system like files, boxes, shelves or electronic applications in which records
are stored in a systematic manner according to a file plan.

Folder
An organized arrangement of records on the same subject accumulated in chronological order within
the same cover/container.
Assignment one:
1. Individual: list down the nature of characteristics of a good record
2. Group: discus the forms of records looking at the following (paper based, micro forms,
electronic, audio –visual)

IMPORTANCE OF A RECORD
ⴟ Administrative value: Records help an organization to perform its operations. Examples include
policy and procedures, manuals and handbooks, organizational charts, major contracts
ⴟ Inventory value: Records can be used to carryout inventory throughout the organization to
identify records as to types, locations, volumes, and conditions in which the records are housed.
ⴟ Fiscal Value: Records can document operating funds or serve tax audit purposes. Examples may
include, tax returns, records of financial transactions e.g. purchase orders, income statements.
ⴟ Legal value: Records provide evidence of physical transaction. Examples include financial
agreements, property deeds e.g. land titles.
ⴟ Historical Value: Records furnish documentation of the organization’s operations and major shifts
of direction over the years. Examples may include; minutes of meetings, public relations

RECORDS LIFE CYCLE

The records life cycle theory maintains that recorded information has a life similar to that of a
biological organism in that is:
it is born i.e. the creation phase,
it lives i.e., maintenance and use

Note
Not all records will need to go through all these stages. Some will be disposed off at earlier stages
depending on their critical nature. At all these stages of the lifecycle- Records Managers must be in
control.
Illustration of life cycle
2. Use and dissemination
(Distribution)
1. Creation or Receipt of info. From out side
3. Maintenance Store file, retrieve and protect
4. Disposition Preserve or destroy.

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Explanation of illustration
There are four major stages in the records life cycle
1.Creation or Receipt.

The first phase of the Records Life Cycle it involves records being created, collected or received
through the daily transactions for example printed reports, emails or even phone messages,
documents that detail the functions of the agency.
2.Distribution and use.

This is the second phase the distribution of recorded information must take place as rapidly as
possible Records are distributed internally by filing clerks and office messengers, electronically by
computers and externally by either post or courier companies like Post Office or Express mail
3.Maintenance

This is the third phase this can include filing, retrieving, use, duplication, printing, dissemination,
release or exchange of the information in the record.
4.Disposition

This is last stage where records are either the preserved or destroyed. When a record has been
determined to be of permanent value it is transferred to the Archive or conserved however, when
record has no value it can be destroyed by Burning, shredding, dumped in trash can, Sending to a
recycling plant.
IMPORTANCE OF RECORD KEEPING
» Control of the creation, volume, redundancy, and growth of records

» Reduction of operating costs through active management and intelligent outsourcing decisions

» Improvement of overall efficiency and productivity

» Assimilation of emerging records management technologies

» Ensuring legislative, regulatory compliance and risk-management concerns, such as litigation

» Safeguarding the organization’s vital information, including historical records

» Supporting enhanced performance and productivity of business processes

» Enabling quicker and better management decision making.

» Other benefits.

BENEFITS OF PROPER RECORDS MANAGEMENT/PROGRAM

It helps to control the creation and growth of records.An effective records management
program addresses both creation control and records retention system for destroying useless records
or retiring inactive records thus stabilizing the growth of records in all formats

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To reduce operating costs. Record keeping requires more funds for equipment, space in offices
and staffing to maintain an organized system or to search for lost records when there is no organized
system. The reverse is therefore true in an organized environment
To improve efficiency and productivity: A good records management program helps an
organization to enhance information retrieval with corresponding improvements in office efficiency
and productivity. A well designed and operated filling system can facilitate retrieval
To assimilate new records management technologies. A good records management program
provides an organization with the capability to incorporate new technologies
To safe guard vital information. Every organization needs a program for protecting its vital
records and information from disaster. Vital records programs preserve the integrity and the
confidentiality of the most im portant records
To preserve a corporate memory. An organization's files contain its institutional memory. This
is an irreplaceable asset that is often over looked

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MODERN SYSTEMS AND PROCEDURES OF RECORDS MANAGEMENT
RECORDS KEEPING SYSTEMS

A record keeping system is the tool used to manage records.

There are three types of records management systems that is a manual system, automated information
and auto manual system.

¥ Manual System
This is defined as a system which requires skilled human labor force to manage and carry out records
management activities. Under this system, managers typically do not know where documents are
filed and must rely on administrative /skilled personnel to locate records.
¥ Electronic / automated management System
This is systems specifically designed to manage the maintenance and disposition of records using
computer technology. The heart of the system is a single repository for all the electronic documents
of an organization.
¥ Auto Manual System
an auto manual system is the system which combines both the component of the manual system and
electronic document management system. The system can be ran even when the electronic system
fails it can continue to function with the manual system such systems cannot fail easily.
All these systems are having the necessary functionality that enables them to carry out and support
the various records management processes such as collection, organization and classification of
records to facilitate their retrieval, distribution, use, disposal or preservation.
RECORDS MANAGEMENT PROCESSES
The records management processes take place in the various and different stages of records life cycle
this may include the following:
ⴟ Records Capture
All records collected or created should be captured into and maintained in an identifiable and proper
recordkeeping system. The purpose of this is to establish a relationship between the record, the
creator and the business context that originated it, and to link it to other records.
ⴟ Registration
A record is registered when it is captured into the recordkeeping system, providing evidence that it
has been created or captured. A record captured into a file is registered through entering the type of
record (e.g. memo), date and name of originator/addressee of the record on the file.

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ⴟ Records Classification
This involves a wide range of activities including identification, capturing and retrieval of records.
Records should be systematically organized according to records classification schemes file plans
whose arrangement of records is according business functions, activities and contents of the records.
(Alphabetical, numerical or alpha-numerical).
ⴟ Records Storage
Records should be stored in such way that facilitates a user access and ensures that they are protected
from unauthorized access, use, disclosure, removal, deterioration, loss or destruction. An
organization should lay guidelines on the storage of records like classified records.
ⴟ Access
An organization should ensure that timely access to records is provided to authorized users for
conducting business. On the other hand, to provide sensitive information with adequate protection,
records should be classified according to their level of sensitivity at a particular time
ⴟ Tracking
In a recordkeeping system, tracking of the movement and use of records is required to identify
outstanding action required, enable retrieval of records and prevent loss or missing of records (e.g.
disposal of records)
ⴟ Records Disposal.
An organization should initiate regular disposal of records in accordance with approved records
retention and disposal schedules to safeguard against premature disposal and destruction of records
having archival value. Specifically, the responsible staff of the organization should ensure the
retention and disposal requirements specified in the respective disposal schedules, and any governing
legislation have been complied with.
RECORDS MANAGEMENT ACTIVITIES
Records management involves the following activities
X Indexing involves recording the records as they arrive and, subsequently, where they are filed.
X Check out. In the event of records or files being lent to users, systems have to be worked out
indicating where and when the files or records were lent to a user.
X File maintenance check the files periodically to ensure that they are in good condition, since they
are prone to wear and tear.
X Retention It involves determining which of the records have an historical value, thereby making
them relevant for future reference. Such records should then be retained.

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X Transfer Records Transfer refers to the movement of records from the ‘active’ record storage
area to another designated area
X Disposal Records record that are obsolete, those that have no historical or other value, may be
destroyed.

TOPIC TWO
FILING
File is an organized physical assembly of documents grouped together because they relate to the
same subject, activity or transaction.
Filing can be defined as is the act of putting documents into file in an organized manner

FILE DESCRIPTION AND FEATURES

FILE DESCRIPTION
FILE COVERS FEATURES
 File covers features like jackets or folders are usually made of plastic Manila paper or board
 File cover is cut larger than the dimensions of the documents to be filed
 File covers are also folded to enclose the documents.
 The covers are often pre-printed with the name of the organisation
 The covers also have a grid or ladder for recording the file’s circulation when in use.
 Some covers may have file type labeled on them e.g spring file
 The cover has space for the file title, index headings or keywords, security classification,
references to previous, subsequent or related files, and file period.

TYPES OF FILES
There are five different types of file available in office environments.
ⴟ Policy and procedure file. includes information associated with the file theme that relate to policy
and procedure of organisation.

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ⴟ Administration file. It includes information associated with the file theme that is of a general
administrative nature i.e. records that are created in the course of the operation of our duties that do
not affect policy.
ⴟ Subject file. it has information associated with the specific theme that relate to a particular subject,
event, body, person or product.
ⴟ Committees file. it includes information associated with the specific thee that are generated or
received by committees, working parties etc.
ⴟ Reports and statistics file. It has information associated with the specific theme that consists of
reports and statistics.

DESIGNING OF FILE COVERS AND COLORS

DESIGNING OF FILE COVERS
File covers can be designed in many ways using different materials like paper, card board, plastic
And designs can be as follows box files, springe file, :
FILE COVER DESIGNS (COLOURS)
 Private Office files - Papers Buff
 Finance files- Blue
 Corporate Administration files- Red
 Record Creators files- Violet
 Projects files- Yellow
 Public and Advisory Services files- Green

FILING SYSTEMS
ⴟ HIERARCHICAL SYSTEMS
This are systems designed to break down the business of an organization into a hierarchy of levels.
The number of levels in the hierarchy will depend on the degree to which the organization’s work
can be broken down into well-defined areas. will also depend on the number of files or records likely
to be created in each area.
ⴟ SYSTEMS BASED ON ORGANIZATIONAL STRUCTURE
These are systems that reflect the administrative structure of the organization and the work carried
out at each level. Systems based purely on organizational structure were used extensively in the past
and will be common in older classification and coding systems.
ⴟ KEYWORD CODE SYSTEMS

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code systems organize files into series. Below the series level, however, keyword systems do not
depend upon an organisation of files into sub-series
ⴟ ALPHABETICAL SYSTEMS

In this system the arrangement is by the name of a person, place or institution, have the advantage of
being self-indexing. However, the indexing can only be based on one term for example, the surname
unless computerized retrieval is possible.
ⴟ A SIMPLE ALPHABETICAL SYSTEM

At this level, there are no file reference numbers, no index and no controlled vocabulary for the file
titles. A simple coding system could be imposed on the system (for example, file 01, file 02, and so
on) enabling files to be assigned a reference number.
2.12 METHODS OF FILE CLASSIFICATION

2.13 FILE CENSUS

FILING METHODS
The basic options of file arrangement are alphabetic, numeric, alphanumeric, and chronological.
¥ Alphabetical filing method.

Files are arranged in alphabetical order with a file guide for each letter of the alphabet. The
alphabetical arrangement is commonly used for correspondence. It is estimated that 90% of all filing
is the filing of correspondence and names are arranged alphabetical.
¥ Numeric filing method.

The records are classified by number rather than name. Numeric files are usually divided into three
basic types: serial number filing for fiscal records; digit filing which is the best method for extremely
large file series and numeric coding of subjects and names, in which number are assigned to replace
the subject or name titles on the folders.
¥ Alpha-Numeric filing method

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Alpha-numeric filing is the classification of records by codes. The codes should give information
about the contents of the folders. Alpha-numeric filings are divided into two types’ subject files and
name files.
¥ Chronological filing method.
In this method files are arranged or according to temporal order at the time.

OPENING AND CLOSING OF FILES

OPENING A NEW FILE

When a document comes into the Registry, the Registry staff must decide whether an appropriate file
already If no appropriate file exists, create a new file and allocate a file number and a title.
Method of opening a file
The Registry Office follows the following procedures in the preparation and opening, of file covers:
File descriptions like the titles, dates its being opened and reference numbers on files must be
printed neatly and legibly with black marking pen. The use of stencil ruler is a must.
The description of the subject on the files should always agree with the description of the subject
in the file plan.
The volume of the file must be indicated on the cover and, as soon as the first volume is opened, it
is marked Vol. 1.
Should a file carry a security classification, it must be indicated on the file cover like top secret,
classified
A brown 50mm thickness masking tape should be applied on the spine of the file to protect its
lifespan.
A hard cover should be placed at the back of the file to protect file from bending.

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CLOSING FILES
Files are closed as soon as they become five (5) centimeters thick. This is necessary because files that
are thicker are hard to manage and this may result in damage to the contents. No further papers
should be added to files that are closed.
Method of closing file
The method of closing a file is to write the word ‘CLOSED’ diagonally in bold letters across the
front cover, together with the date the file was closed.
The file transit index card must be marked to show that the file has been closed. The date when
this was done must also be recorded.
These files should be properly stored and adequately labelled in order to facilitate prompt retrieval
of information as, and when, required.

CONTROL OF FILE MOVEMENT

Officials who need files from the Registry office should adhere to the following procedure(s):
ⴟ No file may be personally removed from or placed back on the shelves by
clients.
ⴟ Files are requested and returned at the counter in the Registry Office and then placed back only by
registry personnel only ⴟ Clients should request for files by providing the file reference number.
ⴟ Clients should not hold up files unnecessarily in offices, but should return files to the Records
Office within five working days or as soon as possible.
ⴟ In cases where the matter cannot be attended to immediately, the file should be sent back to the
Registry Office until it is needed again.
ⴟ Movement of files from the Registry is monitored and controlled by the
Records Office.
ⴟ Access to Human Resource files is limited to Human Resource personnel and
line managers.
ⴟ No document or folio may be removed or destroyed except for written warnings that must be
destroyed after a specific period.
ⴟ Before files are given to an authorized official and when a file is returned
Following information in the usually put on the space of the file: File number, Description of the
contents, Destination (where sent to) and Date of dispatch.
FILE TRANSIT SHEET
The file transit sheets show the location, at all times, of all the files opened by the Records Office.
Each file should have its own sheet. The sheets must be arranged in series and file number order.
They may be kept in a docket book or ring binder. All file movements must be recorded on the
sheets.
The following must be included on the file transit sheet:
ⴟ Security grading (if relevant)
ⴟ File reference number
ⴟ File title
ⴟ Indexing headings (taken from the File Index)
ⴟ Any previous or subsequent file numbers and the file’s location.

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FILE REQUEST FORM

FILE WEEDING

BLACK MINUTES/MINUTE

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TOPIC THREE

MANAGEMENT OF ELECTRONIC RECORDS

Electronic records Information which is generated electronically and stored by means of computer
technology. It can also be defined as A digital record that can be manipulated, transmitted or
processed by a computer.
Management of electronic records is act of controlling creation, use, maintains, preservation and
disposal of electronic records and systems.
DIGITAL IMAGING
A digital imaging is the process of changing or converting documents to images for storage or for
use.
A pixel is like a tiny dot of a particular color
TYPES OF DIGITAL IMAGES
ⴟ Black and White Images
A black and white image is made up of pixels each of which holds a single number corresponding to
the gray level of the image at a particular location.
ⴟ Color Images
A color image is made up of pixels each of which holds three numbers corresponding to the red,
green, and blue levels of the image at a particular location. Red, green, and blue (RGB)
ⴟ Binary or Bi-level Images
Binary images use only a single bit to represent each pixel. Since a bit can only exist in two states on
or off, every pixel in a binary image must be one of two colors, usually black or white. This inability
to represent intermediate shades of gray is what limits their usefulness in dealing with photographic
images.
ⴟ Indexed Color Images
These are color images created using a limited palette of colors, typically 256 different colors.

HOW IMAGES ARE DIGITIZED/ WAYS OF DIGITAL IMAGING

Digitizing or scanning is the process of converting document to an image to pixels and this can be
performed in many different ways.
ⴟ Film Scanners

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Also known as a slide or transparency scanner this are specifically designed for scanning film usually
35mm slides or negatives.
ⴟ Flatbed Scanners
Commonly known as a reflective scanner. They are designed for scanning prints or other flat, opaque
materials.

ⴟ Digital Cameras
One of the most direct ways to capture an image is a digital camera which uses a special
semiconductor to convert light to electrical signals right at the image plane. The quality of the images
created in this manner is closely related to the number of pixels the CCD can capture.
ⴟ Video Frame Grabbers
This type of scanner uses a video camera to capture a scene or object and then converts the video
signal that comes out of the camera to a digital image in your computer memory

FORMS OF ELECTRONIC RECORDS

¥ Databases refers to an organized collection of logically related data and the description of that
data e.g. a database of library users, a library catalogue
¥ Word documents. This are words documents which have been typed using words processing
program like Microsoft word, Libra office, note pad, WordPad or typewriter.
¥ Imaged/scanned documents This are images of paper documents or text book which have
changed /converted using scanning machine which saves them as PDF images.
¥ Spreadsheets This are documents in form of tables for e.g. excel.
¥ E-mail messages This are documents in form of electronic letters for example yahoos, Gmail.
¥ Web documents This are documents in form of page which linked together to form websites.
¥ Graphics This are documents in form of Animation that is cartoon forms.
¥ Video clips This are documents in form of video or moving images.
¥ Multimedia presentations This are documents in form of slides combined and published for
example power point presentation and shore
¥ Voice mail messages This are documents in form of voice recording using phones
recording ,social media voice clips.

CHARACTERISTICS OF ELECTRONIC RECORDS

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ⴟ Content .The are composed of numbers, text, symbols, data, images or sound.
ⴟ Context .The have information about its creator, the time of its creation, or its relationship to other
records.
ⴟ Structure .The have file format, data organization, relationship between fields, page layout, style,
fonts, page and paragraph breaks, hyperlinks, headers, footnotes.

STORAGE AND RETRIEVAL OF ELECTRONIC RECORDS

MICROFILMING
Microfilming refers to the process of photographing records and reproducing them on photographic
film.
Microfilming is a photographic process of creating miniaturized images of records on high-resolution
film.

MICROFILM FORMATS
A wide variety of user needs and applications have given rise to a range of different microfilm
formats. The most common formats in use include:
ⴟ Roll film
Both 16 and 35mm roll film is most convenient where there are large volumes of records. The 35mm
sized roll film is used for larger documents such as newspapers, maps, plans and large manuscripts.
ⴟ Cartridge film
This is created by splicinga 16mm roll film into a fully enclosed single cartridge which gives it a
high degree of protection It is designed to be inserted into readers, reader printers etc.
ⴟ Aperture cards

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These data processing cards usually contain one frame of 35mm film. They are frequently used to
copy images of engineering drawings and maps.
ⴟ Microfiche
A microfiche is a flat sheet of film, normally 105mm X 148mm, containing multiple micro-images in
a grid pattern. Microfiche can be computer generated (COM).
ⴟ Microfilm jackets
Microfilm jackets are transparent holders containing channels into which strips of 16 or 35mm roll
film (or both) are inserted. Each jacket then becomes a microfiche. The jackets can be updated by
adding or removing individual microfilm images, or rows of images.
CRITERIA OF MICROFILMING
When investigating a microfilming programme, the following criteria is necessary to guide :
 What are the goals of the microfilming project?
 Can the goals of microfilming be achieved better using other methods, like conservation?
 is the information in the records of sufficient value to warrant microfilming?
 How many records are there? Are there enough to warrant the expense of filming?
 What are the physical characteristics or condition of the records?
 Are the records well-arranged and in original order?
 If they are not already organized, can they be sorted before filming?
 How much time and effort will be required to remove staples, paper clips or
other fasteners?

QUALITY STANDARDS FOR MICROFILMING

 This ensure the final film is readable, durable and archival stable standards must be set:
 Preservation standards for handling and filming: The process of filming should not cause further
damage to archival materials staff should handle materials carefully and wear cotton gloves.
 Microfilm stock: The film must conform to standards set by the ISO.
 Completeness: All records should be filmed in the appropriate order, including blank pages, so that
the finished product accurately reproduces all information in the originals.
 Identification: All films should include descriptive information (called ‘targets) along with the
actual records, so that all films are fully identified and authenticated as true copies of the originals
 Readability and reproducibility: The film should be clear, sharp and legible, so that clear paper
print copies can be made whenever needed
 Density: Density refers to the tonal contrast of the film; there must be a sharp and clear distinction
between the information and the background.

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 Resolution: Resolution refers to the sharpness of the images themselves; the images should be
clear and well defined.
 Minimal chemical residue: Processing chemicals should be thoroughly washed from the film.
 Duplication: The master original of the film should be stored securely; a sub-master produced and
ideally stored offsite and copies used for research or reference purposes.
 Storage: Original films should be stored in specially manufactured microfilm containers in secure,
clean and dust-free surroundings and stored films should be inspected regularly

ADVANTAGES OF MICROFILMING
 It dramatically reduces the space required for keeping large collections of records, archives
 It is not inexpensive to produce initially, microfilm is relatively low cost to duplicate and ship
 a properly produced microfilm copy is recognised legally as an acceptable
substitute for original
 It Provides multiple copies of records without damaging or risking originals
 It Preserves the original order of records preventing disorder or loss of information
 It helps to ensure the safe preservation of information through the provision of security copies
 protecting original records by providing copies for research use
 Increase in speed of retrieval and improved security.
DRAWBACKS/DISADVANTAGES OF MICROFILMING
 Poorly organized records will be more difficult to use on microfilm
 Microfilming is costly and so, if poorly planned, can be a heavy expense
 In many countries, microfilm copies of records may not be admissible in a
court of law.
 The preservation of microfilm requires good quality environmental which can be difficult
 Microfilming requires high technical standards
 outweighed by the drawbacks of poorly produced or rapidly deteriorating films.
 It is possible to have commercial agencies undertake the filming itself but finding them is hard
 the archival institution may fail to have readers or printers available for public and staff use.
 Users often dislike microfilm as it can be difficult to use and can cause
eyestrain and fatigue.
IMPORTANCE OF MANAGING ELECTRONIC RECORDS
ⴟ Preserving information. When documents are microfilmed the information they contain can be
retrieved regardless of the condition of the paper.

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ⴟ Protection of documents. When you microfilm documents, you can use duplicate in the film for
research, and store the originals.
ⴟ It is easy and relatively inexpensive to make multiple copies of it by duplicating the film.
ⴟ The threat of damage poses no problem when the original record will be destroyed after it is filmed
ⴟ Saving space
ⴟ Increasing access
SAFETY OF ELECTRONIC RECORDS
 Prohibit access to the electronic devises like computer without an accepted permission
 Restrict user access to specific records or aggregations using passwords
 Restrict user access to particular features for example update or delete specific records
 Have windows and doors beggary proofed
 Put security lights or hire security guards to protect the place where they are stored
 Handle them with care like flash disks have lids on their tops.

 Switch of whenever not in use

TOPIC FOUR

APPRAISAL AND RETENTION SCHEDULING

APPRAISAL
Appraisal is the process of making a decision on records on either to keep those of continuing value
and those without value are eliminated.
CATEGORIES OF APPRAISAL

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Functional appraisal: The process of assessing the enduring value of records by determining the
functions of the body to be documented, identifying which offices or individuals created records in
carrying out those functions and selecting the records that provide the most complete and concise
documentation of the functions.
RETENTION SCHEDULING
A retention schedule is a control document that sets out the amount of time that needed to keep
certain types of records. It applies to all records irrespective of the format in which they are
maintained or the media upon which they are held.
PRINCIPLES OF RETENTION SCHEDULES
DEVELOPING RECORDS SCHEDULE AND FORM

1.Identify the records

This is done by starting with a function of the organisation find out do all the types of records that go
towards achieving this function are then listed in your retention schedule.
2. Decide how long you need to keep each record series

For each type of record series consider how long any legislation, regulation or policy requires you to
keep a record and how long the record is useful to you in terms of your day to day business
3.Select records for permanent preservation

When the retention period comes to an end, records are either retained for permanent archive
preservation at the Public Record Office or destroyed. The process that decides what happens to
records at this time is called ‘selection’.
4.Identify any future actions

Typical actions might include: transferring selected records, destroying records securely at the end of
their retention period only if not selected for permanent preservation

5. Sign the schedule off

You and senior managers sign the schedule to confirm that you have taken the steps necessary to
determine how long the records need to be kept and that you have carried out the necessary work on
selection and transfer dates to fulfil your obligations under the Public Records Act.
6.Apply the schedule to your records
Once in place, your retention schedule can be applied to the records series it covers on an ongoing
basis until there is a change in the circumstances of the series it can also sometimes be applied back
across older records in the same series
7.Review the retention schedule regularly

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Your retention schedule is a living document. Periodic reviews will be necessary to take into account
any changes in legislation, your business practices and any new record series that you may have
created since the last review. Please consult with experts when reviewing your retention schedule.

IMPORTANCE OF APPRAISAL AND RETENTION SCHEDULING

† It will help in supporting departments in meeting their statutory responsibilities.
† It helps in maintaining the efficiency by limiting their contents of only those records which are of
continuing value and enabling the controlled destruction of those which are not.
† It helps in ensuring that pertinent material is retained for as long as it is necessary
† Allowing departments to be accountable for the management of resources
† Enabling effective organizational changes that may arise at short notice as a result of Machinery
† Appraisal makes it possible to dispose of records promptly when their continuing utility

TYPES OF SCHEDULES
There are two types of records retention and disposition schedules:
Continuing Schedules
Continuing schedules should be used in the vast majority of scheduling projects. These should be
prepared when you are scheduling:
X Records of an ongoing program, service, function or process
X Records that are still being created
X Records that are active or that have long term value.

One-Time Schedules
All one-time records schedules automatically lapse one calendar year after the date on which they
were approved by the Records Management Committee or sixty days after the final disposition is to
take place, if the final disposition is more.
These should only be prepared when you are scheduling:
X Records of a program, service, function or process that has been discontinued
X Inactive records that will not be converted to a new records classification structure
X Records that are being alienated or transferred outside the custody and control of government.
IMPORTANCE RETENTION SCHEDULE /SCHEDULING
ⴟ It helps in the removal / destruction of unnecessary records.
ⴟ Retention schedules promote control over records, thus enabling organisation to confidently.

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ⴟ Helps to demonstrate clearly that records destruction has taken place in accordance with proper
retention procedures and not as a result of individual caprice or malice.
ⴟ Protection of organizational needs
ⴟ Improved government access to current and active information for executive and management
decision-making.
ⴟ Efficient operation of business activities in all areas of government.
ⴟ Improved public access to appropriate information and protection of privacy in line with the
conditions of the Freedom of Information and Protection
ⴟ Impact on information requests you should be able to say immediately if you have/do not have the
record.
ⴟ You know the minimum retention period for each specific series of records.
ⴟ Costs staff time, space files going to archive storage will have a clear date of disposal and action.
ⴟ Retention periods/disposal actions are relevant to your work.
ⴟ Information stored, organized and disposed enables best use and easy retrieval.

TOPIC 5

INDEXING
According to the British Indexing Standard an index is a systematic arrangement of entries designed
to enable users locate information in a document.
TYPES OF INDICES
Indexes by type of object referred to authors:

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this are indexes made from All types of document creators such as writers, composers, illustrators,
translators, editors, choreographers, artists, sculptors and painters. Subjects (topics or features):
topics treated in documents and/ or features of documentary units .This are indexes made from;
Names: proper nouns, such as names of persons, places, corporate bodies. Numbers or notations:
numerical or coded designations, such as classification notation, patent number, ISBN, date. Words
and phrases: common words and phrases
Indexes by type or extent of index able matter:
These are indexes in which an index is based Full text of documents, Abstracts, Titles only, First
lines only, Citations (reference citations to other documents).
These are indexes which are arranged by Alphabetical or alphanumeric. Classified: Headings
arranged on the basis of relations among concepts represented by headings, for example, hierarchy,
inclusion. Alphabetic-classed: Broad headings arranged alphabetically. Narrower headings are
grouped under broad headings and arranged alphanumerically or relationally on the basis of
hierarchy, inclusion, chronology, or other association.
These are indexes derived from document analysis Human intellectual analysis and identification of
6 Indexes by method of term selection assignment of terms to represent topics and features
This are indexes of a pre-coordinate combination, such as subject heading indexes, string indexes,
chain indexes, keyword indexes and permuted indexes. Post-coordinate combination. Includes the
use of proximity measures, and the combination of weighted terms.
Indexes by type, periodicity, format or medium of document(s) being indexed This include
books, monographs, periodicals, serials, poetry, fiction, short stories, films, videos, illustrations,
pictures, paintings, artifacts, computer-readable texts, maps, and sound recordings.
This are indexes Printed or written, Microform, Electronic media and Braille.
Indexes by proximity of documentary units
This are Indexes published together with the documentary units to which they refer, including both
back-of the-book indexes and full-text database Such as one-time, closed-end indexes, continuing,
open-end indexes.
Indexes by authorship
Authored: An authored index; a separately authored document distinct from the document(s) that is
(are) being indexed. It is created
IMPORTANCE OF INDEXING

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† The function of an index is to provide users with an effective and systematic means for locating
documentary units (complete documents or parts of documents) that are relevant to information
needs or requests.
† To Identify documentary units that treat particular topics or possess particular features.
† Indicate all important topics or features of documentary units in accordance with the level of
exhaustively appropriate for the index.
† To Discriminate between major and minor treatments of particular topics or manifestations of
particular features.
† Provide access to topics or features using the terminology of prospective users.
† Provide access to topics or features using the terminology of verbal texts being indexed when- ever
possible.
† Provide access through synonymous and equivalent terms.
† Guide users to terms representing related concepts (narrower terms, other related terms, and if
possible, broader terms).
† Provide for the combination of terms to facilitate the identification of particular types or aspects of
topics or features and to eliminate unwanted types or aspects.
† provide a means for searching for particular topics or features by means of a systematic
arrangement of entries in displayed indexes

RULES OF INDEXING
ⴟ Correctness or accuracy: This has to do with correct spelling and correct presentation of
information in the index
ⴟ Uniformity or consistency: Since indexing systems vary, indexer must adopt informing in
indexing;
ⴟ Completeness: This simply complete bibliographic data
ⴟ Clarity: There should be specific and concise subject heading
ⴟ Consideration: This must use the language the user can easily understand.
According to Small, Kenneth there are twenty rules in indexing. These are include the following:
1. Index everything useful in the source materials

2. Include all index entries in one alphabetical sequence

3. Choose popular heading, with references from their specific equivalents except where specialist
audience is addressed.

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4. Be consistent in choosing one form of spelling. Use a standard dictionary.

5. Choose the most specific headings which describe the items indexed.

6. Be consistent in the use of singular form or plural terms

7. Combine the word and the action which describes it where it is useful and possible.

8. Invert headings, when necessary to bring significant word to the fore.

9.Check for synonyms and make suitable references

10. Check for antonyms and combine where suitable

11. Where words of the same spelling represent different meanings identifying phrase in brackets.

12. Where possible, give full name of persons quoted

13. Omit the name of the country of a government or department
14. Use capitals for all proper name
15. Make references from main subdivisions of these subjects
16. Subdivide alphabetically by aspects wherever possible.
17. In the case of historical or biographical works, substitute chronological for alphabetical
subdivisions
18. Spell out symbols and abbreviations
19. Avoid the use of bold type wherever possible
20. If references are made to paragraph numbers and to page numbers, include a note to this effect at
the foot of every page of the index.

TOPIC 6

ETHICS IN RECORDS MANAGEMENT

DEFINITION OF ETHICS
Ethics is a guide for our morality when we face complicated situations that eclipse the level of our
prior moral experience.
CODE OF CONDUCT

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Is set of rules outlining the social norms and rules and responsibilities or proper practices of an
individual or party or It is concept which is related to include ethics, honor, moral and religious laws
CODE OF ETHICS FOR RECORD KEEPERS
 They should conduct themselves in good faith that is integrity
 They shall conform/obey existing laws and regulation covering creation, maintance and disposition
of recorded information
 They should protect confidential property and trade secret information obtained from others and
use it only for that purpose
 They shall not accept gifts or granites that is money from clients, business associates that will
influence their decision the make
 They shall use all the reasonable care top obtain factual evidence to support their opinions
 They shall contribute to further research development and education in their records profession

WORK ETHICS
Work ethics can be defined as set of moral principles an employee uses in his or her job.
Principles/work ethics
The following are principles /work ethics in any organisation to be followed by the workers
 Integrity
 Sense of responsibility

 Emphasis on quality

 Discipline

 Sense of team work

6.4 Importance of ethics in Records Management

PROFESSIONAL ETHICS
Following are the key principles found in many codes of ethics adopted by records and archives
professionals around the world.

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ⴟ Records professionals manage, appraise, select, acquire, preserve and make available for use
records and archives, ensuring their intellectual integrity and physical protection, for the benefit of
users both in the present and future.

ⴟ Records professionals perform their tasks without discrimination on the basis of race, colour,
religion, sex, age or national or ethnic origin.

ⴟ Records professionals encourage and promote the greatest possible use of the records in their care,
giving due attention to confidentiality, personal privacy, physical preservation and legislative or
policy requirements.

ⴟ Records professionals carry out their duties according to accepted records and archives principles
and practices, to the highest standard of conduct.

ⴟ Records professionals contribute to the advancement of records and archives knowledge and skills
by sharing their knowledge with other professionals and with the public in general, using their
knowledge for the benefit of society as a whole.
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SUCCESS REMEMBER TO COMPLETE THE WHOLE COURSE FIRST

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