RECORDS MANAGEMENT

Concepts of Records Management

Records Management Processes

DEFINITION OF CONCEPTS

INTRODUCTION

This introductory aspect deals with records management practices, the

definition of records; elements of records management, the
characteristics of records. The records management process will also be
discussed.

Definition of the Records

Records are the sum total of all documentary materials regardless of

their physical form (books, registers, folders) created or received and
maintained by an organization or any other entity in connection, with
business transactions or other activities it is engaged in. On daily
basis,we produce records in our personal lives and our offices. There
records are grouped uniquely and systematically into five types:

1. Personnel records: Contains information about the employees of

the organization. These are very important records in every
organization especially during disasters or when there is an
incidence of fraud, personnel records could be used to track the
employee. Also, it can be used to track an individual’s
employment history and information such as year of birth,
certificates, position in the organization, number of children if
married, etc
2. Administrative records: These records are used in carrying out
enterprise functions and activities. This is where decisions taken
in an organization are recorded including minutes of meetings
held by the executive arm of the organization.
3. Fiscal records: These are also known as financial records. These
records can be used to trace how funds are generated, how
budgets are made and disbursed. Every transaction that has to do
with money is captured in fiscal records. Money is the power
house of any organization, hence such records should be well kept
accounted for.
4. Legal Records: These are records about petitions, complaints,
motions and other papers filed in any case, transcripts or
 testimony taken by the court and findings. Any document that
may be required for litigation in a law court to prove or disprove
a case including records of any court case won or lost, must be
kept intact.
5. Historical records: Also referred to as archival records because
they are records to be exhumed to know the past. History of past
activities of an organization should be safely kept for future
references. Historical records show individual/organizational
pedigree.

According to ISO 15489-1 (2016), records are information created,

received, and maintained as evidence, and information by an
organization or person, in pursuance of legal obligations or the
transaction of business.
Organizations daily create, receive and process a tremendous amount of
information. Without records, an organization may be seen as non-
existing and may end up not having direction. Records remind us of the
past to emulate the good things done in the past or to avoid the mistakes
of the past.

Characteristic feature of a Good Record

Genuineness, consistency, integrity and usability are the physical

characteristics of a good record. The essence of any records management
policy, practices, guidelines, and procedures are to ensure that all the
manuscripts created or generated as records should have these features:

 Genuineness - Genuineness is about the authenticity of any

record, it has to be what it purports to be, that is, it must be
original in all ramifications. Genuineness has to do with
originality.
 Consistency - This is when the reliability of a record is
established when the content can be trusted as a full and accurate
representation of the transactions, activities, or facts to which
they attest. Consistency means continuous, without changing.
 Integrity - The veracity of a record is when the record is presented
complete and unaltered and there are no fake copies in
circulation. Integrity has to do with trust.
 Usability – This is when records can be easily traced, accessed,
presented, and interpreted when the need arises.

 What is Management?
Management has numerous definitions from different people. Harrod
Koontz defined management as the act of getting things done through
others and with formally organised groups. Peter Drucker, defined
management as a multipurpose organ that manages a business,
managers, workers and work. To manage means to be in overall
control or charge of something or someone. Management functions or
process handled by a manager, basically includes leading, controlling,
planning or directing something or somebody.
Management Basics
The first assumption is that once an individual is a manager, he/she is
assumed to be a leader meaning the first person in the organization.
Functions of management include:
Planning, Staffing, Organising, Controlling, Leading, Budgeting,
Reporting.
Records Management
The term records management refers to the planning, budgeting, organizing, directing,
training, and control involved in managing the life cycle of records in any medium.
The International Standard Organization (ISO, 2016) defined records management
practices as the efficient and systematic control of the creation, receipt, maintenance,
use and disposition of records.
Objectives:
To certify that all papers, manuscripts, raw data and information generated and turned
into records are managed and maintained in a manner that meets all internal and
external business needs of the creating company.
To ensures that records comply with all regulatory and statutory requirements;
To defend the institution and its people against external demands and
To provide primary and secondary evidence of transaction or business process which is
admissible in a court of law.
To ensure that records are kept and maintained most economically; meets all
environmental and other requirements and are finally destroyed or transferred in an
auditable way.

Records management practices entail activities such as:

1. Setting policies and standards;

2. Assigning responsibilities and authorities;
3. Establishing and promulgating procedures and guidelines;
4. Providing a range of services relating to the management and use
of records;
5. Designing, implementing and administering specialized systems
for managing records;
6. Integrating records management into business systems and
processes.
 Historical Overview of Records and Records
Management Practices
Record management assumes a tactical position in the efficient and
effective management of any entity. Records management could be
dated back to the history of humans because the need for memory is an
integral part of survival (Nwaomah, 2013). Records keeping could be
traced to the ancient days when Papyrus, Stones, Clay tablets,
Parchments, Potsherds (ostraca) were used to document information in
other to manage history and human activities. According to Duranti
(1993), senior staff of organisations might have been delegated the task
of memorizing business deals, policies and transferring them to their
subordinates through recitation. This method is usually not accurate
because of human memory lapses. This eventually led to the
intervention of pictorial depiction of events to aid in the management of
human activities.
According to Read and Ginn (2011), records in ancient times were
maintained through Hieroglyphics on the rocks, walls and caves, and in
the forms of artifacts and relics. They also noted that the majority of the
records before the advent of printing in 1440 AD were hand-written to
create proofs of financials transactions. The invention of writing, the
typewriter and computer have all transformed records keeping and led to
increase in the volume and diversity of records, which gave rise to the
need for record security.
Schellenberg (1934) suggested how records management practices could
be accomplished. He developed the records cycle in which he argued
that records are like human beings and not static as they appear to be. He
argued that records are “born, live through youth and age before
eventually dying”. Records play vital and significant roles in our
individual lives. What Schellenberg wrote about records in 1934 is still
applicable and relevant today.
Types of Records Management Practices
There are various types of records been managed by several institutions
of higher learning and organizations. This section of the study examined
active and inactive types of records?
Active Records: These are records required to execute current
operations, subject to frequent use, and are usually accessible to the user.
They are records used on a daily or weekly basis. They are active
because they are not stale. Records that appear to not be used daily but
are still needed are retained in basements, stores, or offsite where they
can be reached without wasting time.
Inactive Records: These are records that are no longer required to
conduct current business but are being preserved and conserved until the
end of the retention period, such as when a project ends, a product line is
retired or the end of a fiscal reporting period is reached. These records
may hold business, legal, fiscal or historical, administrative, or a
combination of all. Records are managed according to the retention
schedule in an organization.
A retention schedule means as long as the record is viable, as long as the
record is useful and useable. Once the life cycle of records has been
satisfied according to its predetermined period and there are no legal
holds, the records may be subject to transfer, or permanent preservation
(Elizabeth &Geoffrey, 2003).
Records as a Corporate Memory
Records constitute part of organizations’ memory because records
managers can't remember everything. This fact is attested to by scholars
(Read & Ginn 2011). The records that are created in day-to-day business
activities are the raw materials for future decisions and planning. As
human beings, memory is bound to fail and we are unable to remember
all past events: likewise, organizations are bound to suffer memory loss
too if there are no documented records. Organizations cannot depend on
the obscure memory and conflicting recollections of their workforce and
the reality of the loss of staff either by change of job, death,
retrenchment, retirement hence, records management becomes critical.
Records serve as the chain of communication between the past and
future generations. Records management is important when history is
involved thus it can be used as a tool to describe an event that had
occurred in the past. Records, therefore serve as the memory of an
organization.

Importance of Records Management

Records management is important because it supports an entity that

created it in achieving its aim and goal in:-

 making decisions based on evidence;

 meeting operational, legal, and regulatory requirements;
 being open and accountable;
 enhancing operational efficiency and effectiveness; and
 maintaining organization or collective memory.

Benefits of Records Management

1. Records management is a key driver in increasing an
organization’s effectiveness by reducing the time employees
spend searching for information.
2. Easy accessibility to information: When records are managed
well, it will be easy to access and retrieve such information.
3. Good records management tends to improve decision-making
time.
4. It eliminates or reduces the unnecessary duplication of
information.
5. Reducing the quantity of unnecessary information stored makes it
easier for staff to concentrate on managing user information.
6. Records management helps to Identify the duration records need
to be persevered and conserved before they can be destroyed or
transferred to the archival repository.
7. Storage cost is reduced. Storage space expenses are associated
with servicing information requests for information that the
organization does not need to keep. Optimizes the legal
admissibility of our records and by so doing helps protect the
staff and organization from malicious litigations.
8. The legal admissibility of records proves the authenticity of the information
in the record. In this 21st century, electronic records are the “golden copy”,
and records in this particular format present special challenges such as
technology malfunction and virus attacks. Appropriate consideration must be
given to the legal admissibility of our records both the paper and the
electronic. Identify how long the records are needed and by so doing you also
identify those records that are needed in the medium and long term. Records
management helps to identify those sensitive records that need to be protected
for future use. This is where preservation and conservation of records come
into action.

RECORDS MANAGEMENT PROCESSES

INTRODUCTION
The records management process includes the concepts of records life
cycle, the records continuum concept and the records management
maturity level. Records are expected to have a life cycle like that of
human beings – born, grow, and die. Before record dies there are
processes to pass through and the processes must be well managed
otherwise records will miss or die an untimely death.
Records Lifecycle
The lifetime of records includes their current use and final disposition.
The records life cycle model propounds that all records are not stagnant
rather; they have a nucleus just like any living organism. Just like human
beings, records are born (records creation/receipt) they go through a
youthful phase (records use and maintenance) they grow old (records
transfer to archives) and eventually die (records disposition/destruction)
(Shephard & Yeo, 2003). The records life cycle describes the
advancement of actions taken at every stage in the life of a record;
characteristically, its creation, maintenance and use, retention and
disposal.
Source: UW- Madison Archives and Records Management – 10 Step
Plan for Org Records 2015

-Records creation
-Records maintenance and use
-Records Retention and Disposal

The purpose of records management practices is to certify that records in

any organization’s unit are safe for future referral. According to
Alegbeleye (2014), universities are motivated to keep their records
based on these four reasons discussed below:
Administrative value
Financial value
Legal value
Information value

Records Management Maturity Level

The records management maturity level is designed to help institutions
recognize that effective records management practices have the potential
to enable them to achieve their aim and objectives with compliance to
the Freedom of Information Act and other information-related
legislations. (JISC Info Net, 2017)
Records vital assets of organizations. Organizations depend on their
records because they enhance development of products and services,
critical decision-making, protection of properties and intellectual rights,
advertising, projects, transactions processing, customer service, and
revenues generation. Despite its significance, there is often haziness
about what constitutes good records, yet, this issue gains its importance
daily as all patron and government are increasingly worried about
organizations’ business practices and the non-record information that
support and document those practices. To address this, ARMA (1990)
International developed and promulgated the generally accepted
Recordkeeping Principles (The Principles).
The accepted records keeping principles pinpoints the critical hallmarks
of information and records governance and it delivers both a standard of
conduct used for governing information and the metrics by which to
evaluate that standard conduct. Because the Principles define and
measure fundamental attributes of information governance, they apply to
all sizes of organizations, in all types of industries, and both the private
and public sectors. Since the Principles are independent of local law and
custom, universities, as well as multi-national organizations, can use
them to establish consistent practices across geographic boundaries.
The principles are essential for:

Administrators and executive management in determining how to

protect their organizations in the use of information assets

Legislators in crafting legislation meant to provide certainty in business

and public affairs and to hold organizations accountable to appropriate
standards of conduct

Information management professionals in designing comprehensive

and effective information governance programmes.

Information workers in performing their day-to-day duties

The records maturity level (Maturity Model) – which is based on the
principles, paints a more complete picture of what effective records
management practice is. The Maturity Model goes beyond a mere
restatement of the Principles, defining the characteristics of information
governance programmes at differing levels of maturity, completeness,
and effectiveness. For each of the eight principles, the Maturity Model
describes characteristics that are typical for its five levels of maturity:

level 1 (Sub-Standard): This level refers to a situation where

information governance and recordkeeping concerns are not addressed at
all, are addressed minimally, or are addressed in an ad hoc manner.
level 2 (In Development): This level describes an environment where
there is a developing recognition that information governance and
prudent recordkeeping have an impact on the organization and that the
organization may benefit from a more defined information governance
programme.

level 3 (Essential): This level describes the essential, or minimum,

requirements that must be addressed to meet the organization’s legal,
regulatory, and business requirements. Level 3 is characterized by
defined policies and procedures and the implementation of processes
specifically intended to improve information governance and
recordkeeping.
level 4 (Proactive): This level describes an organization that has
established a proactive information governance programme throughout
its operations and has established continuous improvement for it.
level 5 (Transformational): This level describes an organization that
has integrated information governance into its overall corporate
infrastructure and business processes to such an extent that compliance
with program requirements and legal, regulatory, and other
responsibilities are routine.

Steps Involved in Records Maturity Model

Records Maturity Model is the pioneer in a series of steps an

organization should embark on for the evaluation and improvement of
its information database, control of programs and practices. An in-depth
understanding of the Principles and the Maturity Model levels will help
the organization target the optimum level to achieve concerning each
principle. Based on defined business needs and risk assessments, an
organization may choose to target different levels of maturity for each of
the eight principles and different areas of the organization. However, no
entity should be satisfied with being at a maturity level of 1 or 2 in any
area because this presents a substantial risk to the overall organization.
After deciding whether to evaluate the entire organization or a portion of
it (e.g., department, division, or geographic location), the following
initial steps are recommended:

1. Based on a thorough understanding of the Principles, the Maturity

Model, and the organization’s operating needs, target a specific
maturity level for each of the principles.
2. Using the Maturity Model, determine the maturity level of current
practices and identify the gap between the current practices and
the desired maturity level for each principle.
3. Based upon the greatest maturity gaps, most available
improvement opportunities, and other relevant information,
assess the risk(s) to the organization and the opportunities for the
greatest benefit.
4. Develop priorities and assign accountability for suitable
remediation and improvement strategies and processes.
5. Implement a process to ensure continuous improvement through
routine monitoring and periodic assessments.
Since referencing the Maturity Model alone is a high-level
evaluation, a more in-depth analysis will likely be necessary to
develop the most effective improvement strategy. Obtaining the
 desired improvement will require a continuous focus,
commitment to an ongoing improvement process, and periodic
evaluations of the program against the Maturity Model.
The Records Continuum Model
Ian Maclean developed the records continuum model (RCM) in the
1990s. The concept produced the framework for the task of electronic
records management. Scholars stated that “the electronic environment
makes it quite impossible to use theories and methodologies used in the
paper format environment”. The continuum approach was invented due
to the relevance of the records management practices. The concept is to
set no boundaries between archives and practices of records
management. According to the record continuum model, it is not only
inactive records that get archived; active records can also be archived.
Even from the creation of active records, they can be archived without
waiting for final disposal. Table 1 outlines the concept of the continuum.
One important driver behind the invention of the model was the active
requirements that are present in the electronic records environment
(Upward, 2000).
The record continuum model presents a structure of active records
management that go beyond time and space to capture and manage
records for as long as they are required to fulfill legal, social, business
and cultural. Ngoepe, (2008) asserted that this continuum model is a
better method to adopt in modern records keeping.
The Continuum Concept
Process Records Archives
Management Management
Process Actions
1. Identification Creation Selection and
and acquisition acquisition
2. Intellectual Classification Arrangement and
control within a logical description
system
3. Access Maintenance and use Reference and use
4. Physical Use Disposal by Preservation
destruction/transfer
as archives
Table 1 Source: International Records Management Trust (IRMT)
(1999) cited in Ngoepe (2008)
Records Management Policy
Records management practices exist without having records
management policies guiding them. Policies provide an environment
conducive to proper records management. According to Cook (1993),
records management policies and programmes are critical in enabling
universities to:
1. allocate resources based on principles and directions laid down
by the policy;
2. assist in establishing control over records management activities,
in particular by putting regulatory policies that are required for
coordination, sharing of records, standardization, creation and
maintenance of all types of records;
3. assist in improving accountability, defining organizational
responsibilities and spearheading change in the records
management process;
4. stimulate an integrated approach to records management, or
motivate coordination among existing records unit and the
effective creation and use of professional technological
capabilities
International Organization for Standardization, 15489 (2001) stated that
the objective of policies should be the creation and management of
authentic, reliable and useable records, capable of supporting business
activities for as long as they are needed.
Effective Records Management Processes
Description
Process
Records Capture - Identifying business information as
records and putting them aside for
future use and reference.
- Registering a record by assigning it a
unique identifier
- Entering, generating or copying
metadata into a record profile
Records Classification - for retrieval
- assigning a code, number of index
term that can be used to retrieve the
record
- for disposal
- for security (ie assigning security
classification code to determine who
may have access to the records and
under what conditions).
Records Storage - providing a reliable storage location
and ensuring that records are not
mutilated or tampered with to protect
their integrity
Records preservation - Implementing a preservation plan that,
in the case of electronic records,
anticipates technology obsolescence
and media degradation to protect the
long term usability of the records
Records Access - Enforce records access and security
restrictions
 - Providing record users with search,
retrieve and display tools
Records tracking - Establishing version control and
differentiating originals from
photocopies
- Tracking the current custody and
location of records
- Maintaining audit trails on the access
and use of the records
Records disposal - Transferring records to semi-current,
archival repository for storage.
- Appraising groups of records and
assigning them a common retention
period and final disposal
- Monitoring the retention period for
records and triggering a disposal event
when the retention period elapses.

Table 2 Source: Ngoepe, (2008)

RECORDS STORAGE EQUIPMENT

RECORDS STORAGE

INTRODUCTION

The records managers must certify that all inactive records are properly
stored in appropriate equipment. This unit discusses storage area
requirements, the box identification and the types of storage boxes
available.
Records Storage
Records storage equipment as the name implies means any equipment
used for storing, holding or preserving records over time. The essential
requirements of storage areas are as follows:
1. You should make sure the records storage areas are secured. This
could be achieved through protecting from:
a. Dust:
b. Fire:.
c. Unauthorized access to the record storage area.
2. Shelving: It is best to use metal shelves in storing the records.
Always retain the bottom shelf minimum of two or three inches off
the floor. For easy access to records, you are to organise the shelves
by records types, fiscal years, administrative value, etc. you should
make use of shelf labels.
3. Stack boxes: In a situation where shelving is not available, stack
boxes are used to store and preserve the records. The stack boxes
are placed on wood or any other form of support to raise the boxes
from the floor.

Storage Boxes
There are several types of storing boxes used in securing records; some
of them are discussed in this section.

1. Standard Document Storage Box

2. Permafile Box
a. Hazard
b. Inefficient Use of Space
3. Bankers Box:
Their disadvantages include:
a. Shelving units of the bankers’ box will not support more than
seven full boxes in a stack and when any of the boxes seem to be
worn out, it is expected that the entire stack of boxes will be
dismantled in other to replace the worn out box.
b. Another disadvantage of bankers box is with time and use the
units tend to get weaken making it dangerously unstable for
storage.
4. Custom Box:

Records’ Storage Equipment and Procedures

There are numerous types of equipment for storing non-electronic

records like papers. They include vertical cabinets, lateral file cabinets,
shelf files and mobile shelves. Before deciding which type of storage
equipment to purchase you need to research all options meticulously.

Vertical file cabinets

The vertical file cabinets are an enclosure of drawers where items or
records are deposited. Its drawers extend from the short side of the
cabinet typically 15 inches cabinet.

Characteristics of vertical file cabinets:

a. It is a storage equipment which tends to be deeper than it is wide.
b. The arrangement/classification/organization of records in its file
drawers is from the front to the back.
c. They are straightforward storage cabinets in one-to-five drawer
designs.
d. The width of the vertical file cabinet’s drawers is most suitable
for letters, cards, and legal-size documents.
A picture of vertical file cabinets

Lateral files cabinet

A lateral file cabinet has drawers that extend from the long side (various
lengths) of the cabinet.

Characteristics of lateral file cabinets:

a. The storing capacity is wider than it is deep. The documents
stored in it are accessible from its side horizontally.
b. The stored documents can be arranged in the drawer from front to
back or in some cases from side to side.
c. The file cabinets are more suited for narrow aisle spaces
d. Some of the lateral file cabinets may have a combination of roll-
back drawer and pull- out drawers.
A picture of lateral file cabinets

Shelf files cabinet

This particular file cabinet is designed to accommodate folders with tabs
on the side rather than on the top. It has no drawers, but shelves. Though
some shelf files can come with doors that recede into the cabinet. They
are usually 12 or 18 inches deep.
Characteristics of shelf files cabinets:
 a. They are open-shelving equipment in which that the documents
can be accessed horizontally from the open side.
b. They can be open-style or may have roll-back or roll-down fronts.
c. Shelf files have motionless shelves or shelves that are arranged in
a rotary form.
d. As its name implies, the rotary type of shelf files make space
available in the back of a cabinet by as its name implies rotating
the bank of the shelves so that the documents can be reserved
safely and also accessed from both sides of the shelves.

A picture of shelf file cabinets

Mobile Shelves
The mobile shelves, also known as the mobile aisle shelving, compactus roller racking or
rolling stack are fitted with wheeled traction system. The
units can be closely packed when there is restricted access and can be
readily moved to open up an aisle to allow easy access.
Characteristics of a mobile shelf are:
a. It is a series of shelving units that moves on tracks equipment that
is attached to the floor for easy access to the files.
b. It does not occupy space and can roughly double the storage
capacity of an area.
There are two types of Mobile shelves:
a. Mobile aisle system: This consists of rows of shelving used for
compact storage, situated on wheel-fitted carriages that travel on
tracks. It allows more than one aisle to be opened at a time in
 other to access the stored records.
b. Motorized rotary storage. This storage unit rotates the shelves
within the unit around a central hub which brings the files to the
operator.
A picture of mobile shelves cabinets

Storage Capacity
1. When choosing your storage cabinets, it is advisable to do a
comparison of the file capacity and the required and
recommended floor space. This will help you to determine the
cost-effectiveness.
2. Due to fire hazards, fire protection is a major safety measure to
be considered.
3. The shelf file saves time as well as floor space because of its
nature no drawers to open before records can be accessed.
4. It is advisable to use open- shelf for confidential or vital records.
These records need to be positioned in a records cellar for
maximum security so that only the designated staff assigned to
them can access them.
Storage Supplies
Storage supplies are items used in the storage of records. They are tools
that help to provide easy access to records. Examples include the guides,
folders, OUT indicators, labels and sorters.
Guides: A guide is a rigid divider used to identify a section in a file. It
helps to facilitate references to a particular location. There are two types
of guides:
  Primary guide: This is a divider that identifies a main division of
file; it always precedes all other material in a section.
 Special guide: This helps in identifying an individual, subject or
organization’s records. It is also known as an auxiliary guide.
Characteristics of a guide:
a. Guides help to reduce the time spent searching through the same
titles to find the part of the alphabet needed if properly placed.
b. Guides serve to keep the contents of the cabinet upright. Keeping
records upright promotes efficient storage and easy retrieval of
the records.
c. It is recommended to use about 20 guides for each file cabinet or
28 for each linear inches of stored records
d. When too few guides are used, you spend more time looking for
the right place to store records. On the other hand, too many
guides will result in evenly distributed files, which also slows
down record storage and retrieval.
Folders: Folders are used behind every guide to keeping the same type
of records together. There are three types of folders: General folders,
individual folders and special folders.
General folder: These are folders for records to and from correspondents
with a small volume that do not require an individual folder(s). The
records in general folders are arranged alphabetically by the
correspondents’ names or titles. The most recently dated record is
usually placed on top within each correspondent’s records.
Individual folder: These are folders used to store the records of an
individual correspondent with enough records to authorize a separate
folder. In an individual folder, records are arranged chronologically with
the recently dated record on top. The records relating to a particular
correspondent will be removed from the general folder and an individual
folder will be opened for the correspondent when his/her records have
reach the predetermined number for an individual folder reached.
Individual folders are placed in alphabetical order between the primary
guide and its general folder.
Special folder: This is a folder that follows an auxiliary guide in an
alphabetical arrangement. The special folder is divided into units such as
Accounting, Office Support, Administration, Audit, etc.
Care of the Folders
1. The documents should be inserted with their tops to the left-hand
side
2. When records start to bulge in any folder, they should be reduced.
Records should never appear bulging or protruding from the
folder edges.
3. Folders do last longer and conveniently are easier to use if it is
not stocked beyond its capacity.
New folders are opened when:
1. a new group of names are to be added to a file
2. older folders are duly filled up
3. pre-determined number of records have been reached, new ones
must be opened to avoid overload of the folders
4. the folders have dilapidated due to constant use
5. the retention time of the year according to the organization’s
policy has arrived for replacing folders and transferring inactive
folders to inactive storage.
Types of Folders
1. Suspension Folders: These are also known as hanging folders.
They are constructed with built-in hooks hanging from parallel
metal rails on each side of the file drawer. The suspension folders
should not leave a file drawer. It usually has 10 slots across the
upper edge for the placement of plastic tabs that can be inserted.
They are made to clamp several interior folders to partition a file.
2. Bellows Folders: These are also known as expansion folders.
They usually have a top flap and sides to enclose the records in a
case with creases that permit it to expand like an accordion.

Follower Blocks: These are devices seen at the rear of a file drawer that
can easily move to allow contraction and expansion of the contents of
the drawer.
Out Indicator: This is a device that shows the exact whereabouts of any
borrowed records. They contain form that is used in writing the details
of the borrower, the date it was borrowed and the due date.
Out Guides: This is a special kind of guide used to replace any record
that has been removed from the storage and also used to indicate what
record was taken and by whom.
Out Folders: This is a special folder used to replace a complete folder
that has been removed from storage.
Out Sheets: This is a form that is inserted in place of a removed record
in a folder.
Labels: A label is a device that contains the identity or title of the
contents of a folder, drawer or container. Most Microsoft processing soft
wares can prepare labels. Label is different from caption. Caption is the
title or heading or the description of record(s) printed on a label. There
are two types of labels:
 Container Labels: These are labels on shelf, drawers or other
storage containers.
  Guides Labels: These are labels seen on guides that consist of
letters, numbers or words.
How to Locate Labels
1. Place the folder labels near the left edge of the shelf and near the
top of the label
2. If the label is in alphabetic filling, the letter of the alphabet is
typed first, about half an inch of blank space is followed; then the
filling segment. Note that the label is typed in capital letters with
no punctuation.
Bar Codes: In filling of records, barcodes can be generated along with
the name on a label. Bar codes tracking systems are used to keep track
(location) of all records in the storage at all time. In a situation where a
record is borrowed out of the storage area, a scanner is used to scan the
bar code. Every information about the record is updated and saved in the
computer by the staff that charged it out.
Sorters: A sorter is a filling device used to arrange records into
alphabetic or numeric order. It can be used to hold records temporarily
before storage. The reason for arranging records alphabetically is to
improve the speed and accuracy of the storing system. Though this
depends on the volume of the record flow in the organization.
Selection of Storage Equipment
The selection of the storage equipment requires appropriate
consideration of the following:
The type and volume of records to be stored and retrieved as at when needed.
 The extent of required protection of these records
 The efficiency and easy accessibility of the storage equipment
and systems
 The space to be used must be considered
 The cost implication is to be determined. This is usually the last
element to be considered because the cost of the staff needed to
work , compatibility of the storage equipment, the benefits of
using the right type and quality of storage devices are inclusive in
the cost implication.
FILLING SYSTEM

INTRODUCTION

There are two major filing systems. – Alphabetic and Colour. Each of
these systems has their rules and regulations which must be followed.

Alphabetic filling System

In an alphabetic filing system, all records are filled in an alphabetic
order from letter A to letter Z. Within each word that starts with the
same letter, there must be a way to know which documents go before the
other. Let us start from the advantages of this system. Some records start
with numerals; in this case, numbers are filled first.
Advantages of Alphabetic filling system
1. It does not need an index; it is strictly a direct access filling
system. This saves time and reduces costs of operation.
2. All the records for correspondents whose names begin with
numbers written as their digits are filled before all alphabetical
features of names. Knowledge of this rule facilitates easy access
and retrieval of records.
3. It uses the alphabetic arrangement (A-Z)which is simple to
recognize and remember.

Storage in an alphabetic filling system is very easy if the standard

procedures are adhered to.
4. Misplaced records or files are easily detected by examining the
alphabetic sequence.
5. Related records are grouped together.
Disadvantages of Alphabetic filling system
1. Misfiling is bound to occur if the alphabetic storage rules are not
adhered to.
2. Filling under the wrong name can result in misplacement or worst
even loss of records.
3. If there are similar names in the filling system, this can cause
mix- up especially when the spellings are not exact.
4. Classified or confidential records are not secure in an open
storage drawer because anyone can see the names on the folders
by a mere glance.
The Selection and Design of an Alphabetic Filling System
In the selection and design of alphabetic filling system in a records
management system the records manager should know the following:
1. The total volume of records to be stored
2. The number of records in each alphabetic section and which
letters of the alphabet contains a large number of records
3. The expected activity of the files that is, how frequently the
records are requested.
4. The organization’s policy on how long records are to be kept.
5. The efficiency of the filling personnel
6. The available time and resources available for capacity building
of the staff.
 The staff in charge of the records must keep the needs of the
organization in mind. They must not be influenced by the beauty or
complexity of the system. In the alphabetic filing system, records are
arranged according to name - either the name of the person, company or
subject - following the letters of the alphabet. This system is also called
the topical alphabetic filing system. The topical alphabetic filing system,
also known as a dictionary system, files individual records in
alphabetical order. These filing systems work well when storing a small
number of records, usually less than 5,000 files, as recommended by
Ancom, a filing system company.

When the first words or names of the documents are the same, check the
next letter of the alphabet, continue until you find a difference. Usually,
we have word by word filing system and letter by letter. There are slight
differences between the two.

Using Colours in Filling Records

The use of colour in filling helps to enhance the efficiency of a record
storage system. The use of colours has two denotations:
Colour Coding: This is used as an identification aid in a filing system.
Different colours can be used to divide or demarcate the alphabetic
sections in the storage system. This means that even when you are using
alphabetic filing, it could be interfiled with colour filing.
Colour Accenting: This is the consistent use of different colours for
different records in the storage system. A colour could be used for the
guides, while variety of colours could be used for the folders, a
particular colour could be used for the OUT indicators and another
colour could be used for the labels.
Having blocks of coloured folders act as a visual guide that leads the
user or researcher quickly to a section of the alphabet. Colour bars can
be used to as correspondence to the first letters of the record’s name or
title to create blocks of colours. The use of colours in filling system of
records speeds retrieval of records because it reduces the urge to stop
and read other documents in the file. It is better to use contrasting
colours for special folders; this would make locating them easy. When
the colour pattern is broken, misfiling becomes easily noticeable.
Records can be filled in a centralized, decentralized and centrally
controlled no matter which filling system is used, the filling procedures
do not change.
Filling Procedures
1. Inspected: This means to check for release mark
2. Indexed: this means to read the record content to determine which
filing segment to use
3. Coded: This means mark filing on record
 4. Cross-Referenced: This means to indicate the record location
under alternate filing segment.
5. Sorted: This means to arrange records alphabetically by filing
segment.
6. Retrieved: This means to locate the record by filing segment.
Five characteristics of a good filing system are:
1. easy to use
2. flexible to maintain
3. accessible to every individual who needs it and when they need it.
4. physically compact as it does not occupy or litter every space in
the storage room.
5. secured, safe from every threat within and out the storage area.
RECORDS DISPOSITION

INTRODUCTION

Disposal of records is a vital aspect of records management. As records

are created/maintained stored and preserved, they are also disposed of
when the need arises. Records must be disposed of when they are no
longer needed or considered valuable. Proper disposition of records
ensures that organizations can maintain and retain their existing records
for a longer period provided they are of value. Records are disposed of
either by transferring them to an archive or by simply burning them off
or by other methods. Record disposition if well managed saves storage
space; it saves storage costs and efforts that could have been expended
in storing and maintaining records that are of no value. It also shows
compliance with the principles of archives.

Organizational Value of Records.

As earlier discussed, the retention period depends generally on the
organizational value of the record. You may ask; how does one identify
a record that has organizational value? Remember we have established
that records may have administrative, historical, legal fiscal or
geographical value. These are the parameters you will consider in
determining the value of records. The organizational value of records is
determined by considering the importance of the records in terms of the
functions they support; their relevance in protecting the interest and
legal rights of the organization and the policy of the organization.
Archival Value
This is almost the same as the organizational value of records. The only
difference between the two is that archival value of records has a
broader and more expanded time frame. Archival value is the
significance of records as business establishment’s memory as well as
their legal, fiscal and historical or cultural relevance. The main reason
 why we keep or store records is because of their enduring value for the
organization that created them. For instance, existing records in a bank
have archival value for the origin and legal status of the bank; its
obligations, rights and entitlements and of those with whom it deals,
evidence of compliance with regulations and procedures where there
may be long term environmental and health impacts; evidence of the
bank’s organizational structure, its policies and key decisions; key
activities, programmes, projects such as the bank’s corporate social
responsibilities in the communities where its branches are situated.

Disposal Program and Records Disposal Schedules

The sole aim of a business organization is to make a profit.

Consequently, they are held accountable for the way they use and
dispose of their assets and this includes their records. When there is a
legal case where a record is missing, their legal unit must be ready to
explain to the management the reason for the loss of the records that
were in their custody. For this and so many other reasons, disposal
policies and schedule of an organization must be documented so that no
unit can dispose records without the managements’ consent. According
to The Ohio State University (2017), some basic elements of records
management are: records classification system, disposition and training
of staff.

Records Classification System

A records classification scheme provides a basis for making correct decisions about
records in the holding. Institutions can establish ten or (fewer) broad record functions
such as Human Resources, Legal and Financial. These top record functions are broken
down into record classes, which are in turn, broken down to record types. The records
manager determines which method of classifying records will best show their character,
significance and relationships. The method listed may be followed either or in
combination: records groups, sub groups, series, file units and documents.

Disposal Program
The record managers determine the retention period of all the records in their custody.
They should confirm the disposal is carried out regularly as the excessive retention of
records would cause difficulties in retrieving records and would result in space
problems. The example the procedure for disposal of records in a university system is as
follows:
Records cannot be destroyed or deleted (disposed of) if:

1. They have not been duly identified in the establishment’s records

disposal schedule.
2. The minimum retention period of the records based on the
university’s policy on retention has not been met;
 3. There is a current disposal freeze imposed on the records by the
Federal Government or State Government;
4. The university is aware of a matter, such as a legal case, which
may require the records be retained.

Records that are ready to be disposed of must go through the following

procedures:

1. The senior records manager responsible for the records must

approve and ‘sign-off on the destruction;
2. The manager, records and archives must approve and sign-off on
the destruction;
3. The electronic records due for disposition must be destroyed in a
way such that they are not recoverable once the destruction has
taken place, such as data shredding;
4. Hard-copy records must be destroyed through an approved
contractor by pulping, shredding or incineration;
5. Destruction must be handled securely. Due to the sensitive nature
of records, it is advisable to have the disposition process in a
secluded area devoid of any interference by man, animal or thing.

Records Disposal Schedules

Developing records disposal schedules involves a thorough and
systematic analysis of the business activity of the university and an
assessment of the records produced as a result of that activity. Records
disposal schedules will identify types of records and specify the length
of time the records must be retained.

Records retention decisions must be based on:

1. The current and future business needs of the university;
2. Compliance with legal and governance requirements of the
university; and
3. The current and future needs of internal and external
stakeholders, including the wider community.

Development and Maintenance of Records Retention Schedules

The records and archives branch of any organization, institution or
community will establish records disposal schedules in line with the
Records Management Standards for Public Sector which all members of
the community or organization must adhere to.

The Records Disposal Schedules will:

1. Meet retention requirements under applicable legislation and
regulations. Many records may be subject to appeal processes or
other legal scrutiny often for unanticipated events;
2. Categorize records and identify appropriate retention periods;
3. Identify triggers for these categories to enable the eventual
disposal of many records and a provision for the permanent
archival of other records;
4. Be approved by the Director, or any authorized signatory before
they can be utilized; and be reviewed on a minimum of every
three years.