LEGAL PRACTICE • ________________________________________________________

MANAGEMENT: • ________________________________________________________

ATP 106 • ________________________________________________________

• ________________________________________________________
LECTURE 8
• ________________________________________________________

• ________________________________________________________
COURSE INSTRUCTOR: MS. MARGARET MOUNDE

• ________________________________________________________

• ________________________________________________________

FILING AND RECORDS • ________________________________________________________

MANAGEMENT • ________________________________________________________

• ________________________________________________________

• ________________________________________________________

Records Management Definitions: • ________________________________________________________

“….the creation, management, storage and destruction of records.”
Kimari M.; (2019); Legal Practice Management; Nairobi, Kenya; LawAfrica Publishing (K) Ltd. at page 77
• ________________________________________________________

“….field of management responsible for the efficient and systematic

• ________________________________________________________
control of the creation, receipt, maintenance, use and disposition of
records, including processes for capturing, and maintaining evidence of
and information about business activities and transactions in the form of • ________________________________________________________
records”
Svärd, P.; (2017); Enterprise Content Management, Records Management and Information Culture Amidst e-Government • ________________________________________________________
Development; Chandos Publishing

“….the efficient and systematic control of the creation, receipt, • ________________________________________________________

maintenance, use and disposition of records.”
The United Nations archives and Records Management Section

Purpose of Maintaining Records: • ________________________________________________________

• For future reference
• Legal evidence • ________________________________________________________
• Planning and budgeting
• Evaluating performance • ________________________________________________________
• Legal requirement
• ________________________________________________________
• Settlement of disputes
• General reference • ________________________________________________________
• Comparison purposes
• Cross reference • ________________________________________________________
• Policy and decision making

Advantages of a good record management • ________________________________________________________

system:
• ________________________________________________________
• Improved accessibility of information
• Increased productivity as time is saved when retrieving records • ________________________________________________________
• Improved accountability
• Proper preservation of information thus enhanced viability of the • ________________________________________________________
information
• Observance of legal obligations due to proper compliance • ________________________________________________________

• ________________________________________________________

ATP 106: LEGAL PRACTICE MANAGEMENT 1

 • ________________________________________________________
Principles of Good Records Management:
• ________________________________________________________
• The Association of Records Management and Administrators
(ARMA) International came up with principles that can be utilized to
ensure proper maintenance of records. The standard is divided into • ________________________________________________________
two sections i.e.: -
oISO 15489 Part 1; General • ________________________________________________________
oISO 15489 Part 2; Guidelines
• ________________________________________________________

• ________________________________________________________

The principles of good records management include: - • ________________________________________________________

• Principle of accountability • ________________________________________________________

• Principle of integrity
• ________________________________________________________
• Principle of retention
• Principle of protection • ________________________________________________________
• Principle of disposition
• Principle of transparency • ________________________________________________________
• Principle of compliance
• ________________________________________________________
• Principle of availability

Factors to consider in Retention of Records:

• ________________________________________________________
• Importance / Effectiveness of a record
• Need for future reference • ________________________________________________________
• Need for legal reference
• Cost of storage • ________________________________________________________
• Legal requirements
• ________________________________________________________
• Volume of records
• Frequency of reference • ________________________________________________________
• Nature of documents
• Existence of duplicate records • ________________________________________________________
• Company policy

Methods of Records Disposal: • ________________________________________________________

• The method utilized for destruction of a record is dependent on its
sensitivity. • ________________________________________________________
• Destruction of paper records:
oRecycling • ________________________________________________________
oShredding
oPulping • ________________________________________________________
oIncinerating
• Destruction of electronic records: • ________________________________________________________
oDeleting
oOverwriting • ________________________________________________________
oDegaussing (magnetic media)
oPhysical destruction

FILING • ________________________________________________________

• Process of classifying, arranging and sharing records so that they • ________________________________________________________

can be retrieved as quickly as possible.
• Documents are stored in files or folders. • ________________________________________________________
• Importance of filing: -
oPromotes the safety and protection of documents. • ________________________________________________________
oEnsures that records are available for future reference.
oPromotes neatness in record keeping. • ________________________________________________________
oEnhances security of the information.
oEnsures that records are quickly accessible when required. • ________________________________________________________

ATP 106: LEGAL PRACTICE MANAGEMENT 2

 General Rules for Filing: • ________________________________________________________
• All records should be authorized for filing
• File daily • ________________________________________________________
• File neatly
• Properly punch the documents • ________________________________________________________

• Avoid using bulky files

• ________________________________________________________
• Avoid removing records from a file but if necessary use an outguide
• If a whole file is removed from the shelf, there should be an “absent • ________________________________________________________
marked” to indicate where the file has been taken
• Label all the files clearly • ________________________________________________________
• File correctly

Steps to be Followed in Planning for a Filing

System: • ________________________________________________________
• Determine the period of storage
• Consider the cost effectiveness of the system • ________________________________________________________
• Acquire storage space
• ________________________________________________________
• Plan the storage arrangement
• Decide on the appropriate location. • ________________________________________________________
• Consider the equipment necessary for filing
• Consider the safety of the documents • ________________________________________________________
• Establish the classification system
• Train staff • ________________________________________________________
• Ensure security of documents

Measures to Put in Place to Ensure Proper Control

• ________________________________________________________
and Handling of Filed Documents:
• Use of charge out system • ________________________________________________________
• Limit access to cabinets and files to authorised personnel only
• Indicate the time limit for staying with a particular file • ________________________________________________________
• Keep a resume to be utilized incase a file is misplaced
• Have a follow-up system • ________________________________________________________
• Transfer inactive records and maintain only the active ones
• ________________________________________________________
• Record incoming mail
• Indicate the document folio number • ________________________________________________________
• Use lockable cabinets

FILING METHODS • ________________________________________________________

• Horizontal Method: Documents are kept in a flat position on top of each • ________________________________________________________
other mostly using shelves.
• Vertical Filing Method: This is a system where files are kept in an • ________________________________________________________
upright position lying on their spines. The labels appear on the top edge
of the file for easy identification. • ________________________________________________________
• Suspension Filing: Similar to vertical filing, however, the filing cabinets
have “packets” into which the files are suspended so that the spine of the • ________________________________________________________
file does not touch the bottom of the cabinet and this helps to preserve
the files.
• ________________________________________________________
• Lateral Filing Method: Files are placed side by side with their spines
facing out. Uses lateral filing cabinets or shelves.

Principles/Characteristics of a Good Filing System: • ________________________________________________________

• Economy
• Compactness • ________________________________________________________
• Simplicity
• Accessibility • ________________________________________________________
• Flexibility
• Classification • ________________________________________________________
• Suitability
• Up-to-date • ________________________________________________________
• Safety and security
• Cross referencing system • ________________________________________________________
• Out guides

ATP 106: LEGAL PRACTICE MANAGEMENT 3

 FILING CLASSIFICATION SYSTEMS • ________________________________________________________

• ________________________________________________________
• This is where records are grouped according to different titles or
sections. These include: -
oAlphabetical classification • ________________________________________________________
oNumerical classification
oAlpha – numerical classification • ________________________________________________________
oGeographical classification
oSubject classification • ________________________________________________________
oChronological classification
• ________________________________________________________

Alphabetical Classification • ________________________________________________________

• Files are arranged according to the letters of the alphabet i.e. A-Z order.
• Advantages: - • ________________________________________________________
o Simple to understand
o No separate index is required • ________________________________________________________
o Enables direct filing
o Flexible
• ________________________________________________________
o Has a wider application
• Disadvantages: - • ________________________________________________________
o Some letters are more widely used thus some files are bulkier than others
o Has limited usage / capacity
o Difficult to estimate space requirements for different letters of the alphabet • ________________________________________________________
o Person filing must have a thorough knowledge of filing rules

Rules for Alphabetical Filing

• ________________________________________________________
• Individual’s names are filed according to their surnames. If the surname and the first
name are the same, the middle name or initials are utilized
• File short names / fewer names before long names / many names • ________________________________________________________
• Titles, decorations and degrees are ignored and are put at the end in brackets
• A surname prefix is considered as part of the surname • ________________________________________________________
• A Hyphenated name has the hyphen ignored and the name treated as one
• The prefix st. is considered as saint and filed as though written in full and is always
considered first • ________________________________________________________
• Articles, conjunctions and prepositions are ignored when filing. When “the” is the
first word in the name, it is usually written at the end
o Companies with personal names are filed under the surname • ________________________________________________________
o If a company has several names, the name listed first as the surname is considered first
• Numbers in a company or in associations name are treated as though written in full • ________________________________________________________
• Government departments and Ministries are filed under the key words

Numerical Classification
• ________________________________________________________
• This is a system where filing is done according to numbers or a
numerical code as illustrated below. • ________________________________________________________
o001: Accounts
o002: Human Resources
• ________________________________________________________
o003: Production
• Advantages: - • ________________________________________________________
oFlexible for future expansion
oSuitable for large companies that have many customers and employees
oEasy to locate and identify records • ________________________________________________________
oPossible to add new records
oSuitable and convenient for filing documents that have serial numbers • ________________________________________________________
oFile number can be quoted as the file reference when writing official mail

• Disadvantages: - • ________________________________________________________
oExpensive as requires a separate index
oTime consuming to prepare a separate index • ________________________________________________________
oDelays when filing or retrieving records as one has to refer to the index
oRequires training on how to use the index • ________________________________________________________
oTransposition errors can lead to misfiling
• ________________________________________________________

• ________________________________________________________

• ________________________________________________________

ATP 106: LEGAL PRACTICE MANAGEMENT 4

 Alpha-Numerical Classifications • ________________________________________________________
• Alphabets and numerals are combined so that each class has an alphabetic
title and a number.
• ________________________________________________________
• Suitable for large organisations where neither the alphabet nor numerical
classification is adequate.
• ________________________________________________________
• Advantages:
oAccommodates more records
oAllows for better reference
• ________________________________________________________
oReduces confusion found in alphabetical and numerical methods
• Disadvantages: • ________________________________________________________
oComplicated
oRequires qualified personnel. • ________________________________________________________
oForces the organization to adopt a centralized filing system even when the
organization is small

Geographical Classification • ________________________________________________________

• This is where files are classified according to geographical location.
• Also known as geographical by alphabet. • ________________________________________________________
• Advantages:
oEasy to use as long • ________________________________________________________
oDirect filing is possible
oPossible to group records under a geographical location
• ________________________________________________________
oEach location can have a backup in case of a disaster
oFacilitates easy identification and location of documents
• ________________________________________________________
• Disdvantages:
oPossibility of errors if the clerk has poor geographical knowledge
oMisfiling if the origin is not indicated • ________________________________________________________
oExpensive as it may require an index

Subject Classification • ________________________________________________________

• Records are classified according to a particular subject or based on origin.
• Records may also be sorted alphabetically. • ________________________________________________________
• Advantages:
oEase of reference • ________________________________________________________
oEasy to operate
oAllows direct filing
• ________________________________________________________
oFlexibility of expansion
• Disdvantages:
• ________________________________________________________
oUnsuitable for filing miscellaneous records
oExpensive as a separate index has to be prepared
oMisfiling can occur if the subject is not well known • ________________________________________________________
oUnsuitable for companies with a huge number of files

Chronological Filing
• ________________________________________________________
• Records are classified according to dates received with the most recent
record appearing at the top.
• Advantages: • ________________________________________________________
oEasy to operate
oDirect filing is possible • ________________________________________________________
oEasy to use
oThe system can be applied in other filing systems • ________________________________________________________
oAllows grouping of records under specific dates
oConvenient method for opening and closing files
• ________________________________________________________
• Disadvantages:
oMisfiling if the date is not indicated
• ________________________________________________________
oInconvenient for organizations that have a large number of files
oCauses delays and inconveniences when retrieving old files

Factors to be Considered When Making a Decision • ________________________________________________________

on an Appropriate System Of Classifying Office
Documents: • ________________________________________________________
• Cost
• Accessibility and ease of reference • ________________________________________________________
• Availability of space
• ________________________________________________________
• Flexibility
• Volume of records • ________________________________________________________
• Ease of use
• Nature of records • ________________________________________________________

ATP 106: LEGAL PRACTICE MANAGEMENT 5

 Factors cont…… • ________________________________________________________
• Availability of skilled labour to operate the system
• Training required to operate the system • ________________________________________________________
• Suitability of the filing system depending on the filing equipment
available • ________________________________________________________
• Safety / security of records
• Level of technology available in the office • ________________________________________________________

• ________________________________________________________

• ________________________________________________________

INDEXING OF RECORDS • ________________________________________________________

• An index is a separate list of records under different classifications • ________________________________________________________

utilized for ease of reference and retrieval.
• Importance of indices: - • ________________________________________________________
oGuides the user on where to get a record
oAllows fast and easy access to records • ________________________________________________________
oAvoids misfiling of records
oActs as a guide to the filing clerks and provides training to new • ________________________________________________________
clerks/users

• ________________________________________________________

Types of Indices:
• ________________________________________________________
Page Index
• Booklet containing a list of records e.g. in texbooks • ________________________________________________________
• Advantages:
oCheap to prepare • ________________________________________________________
oTime saving
oPages are not easily lost because they are clipped or stapled together • ________________________________________________________
• Disadvantages:
oDifficult to add new records to the index • ________________________________________________________
oUntidy to remove unwanted records
oUnsuitable for large companies • ________________________________________________________

Loose Vertical Card Index • ________________________________________________________

• Loose cards are kept vertically inside a box or drawer.
• Advantages: • ________________________________________________________
oCheap to operate
oTime saving to operate • ________________________________________________________
oEasy to add new records
oEasy to remove unwanted records
oFlexible for future expansion • ________________________________________________________
• Disadvantages:
oSystem is “blind” • ________________________________________________________
oCards are subject to wear and tear
oCards may get lost • ________________________________________________________
oTime consuming to flip through the cards

Visible Card Index • ________________________________________________________

• Index cards are filed in a binder so that they overlap in such a way that
the labels are visible • ________________________________________________________
• Advantages:
oEasy to identify cards • ________________________________________________________
oEasy to add a new card or remove an unwanted ones
oCorrections can be made on a card without removing it from the binder • ________________________________________________________
oCards do not easily get lost
• Disadvantages: • ________________________________________________________
oLimited space for expansion
oCards are subject to wear and tear • ________________________________________________________

ATP 106: LEGAL PRACTICE MANAGEMENT 6

 Strip Index • ________________________________________________________
• Records are typed on a strip of adhesive paper which is then stuck
onto the page of a book or file. • ________________________________________________________
• Advantages:
oUnlimited space for expansion • ________________________________________________________
oEasy to add new records and remove unwanted ones
oEasy to read the labels on the strip of paper • ________________________________________________________
oRecords are not easily lost
• Disadvantage: • ________________________________________________________
oExtra cost of adhesive paper
• ________________________________________________________

Rotary Index
• ________________________________________________________
• This is a type of cylinder or drum onto which cards are inserted
vertically. • ________________________________________________________
• Advantages:
oSpace saving • ________________________________________________________
oHas the capacity to fit many cards
oEasy to add new cards and remove unwanted ones • ________________________________________________________
oEasy identification and quick reference
• Disadvantages: • ________________________________________________________
oEquipment is expensive
oCards are subject to wear and tear • ________________________________________________________
oCards can easily be lost

Punched card Index / Computerized Index

• ________________________________________________________
• A punched card index has a series of holes which are punched and each hole
represents some information. It is used on the computer.
• ________________________________________________________
• Advantages:
o Unlimited space for expansion
o Accuracy of information • ________________________________________________________
o Space saving
o Easy to add and remove records • ________________________________________________________
o Quick access and identification of records
• Disadvantages: • ________________________________________________________
o High cost of purchasing and maintaining equipment
o High training cost
• ________________________________________________________
o Requires skilled operators
o Subject to the problem of power failure and equipment breakdown

Micro-Filming
• A document is photographed and reduced to a micro-size which cannot • ________________________________________________________
be read with the naked eye.
• The film is stored using a cartridge or roll of film or plastic envelops. • ________________________________________________________
• Micro film records can only be read using a micro-film reader.
• ________________________________________________________
• The system is commonly used in libraries, museums and archives etc.
where important data is stored in large volumes.
• ________________________________________________________
• Advantages:
oSpace saving
• ________________________________________________________
oEconomy in the use of filing cabinets
oMore permanent than paper
oLess bulky and therefore cheaper to transport • ________________________________________________________
oReduces paperwork and economises on stationery

• Advantages cont…. • ________________________________________________________

oSecurity of information
oQuick access and identification of records
oPromotes the safety and protection of valuable documents • ________________________________________________________
oDocuments can be enlarged and a hard copy produced
oSystem is compatible with other equipment • ________________________________________________________
• Disadvantages:
oEquipment is expensive with a high maintenance cost • ________________________________________________________
oDocuments cannot be read with the naked eye
oRequires skilled operators • ________________________________________________________
oSubject to power failure and equipment breakdown
oDelays in retrieving records • ________________________________________________________
oFilm is sensitive to light, dust and humidity

ATP 106: LEGAL PRACTICE MANAGEMENT 7

 • Disdvantages cont….
• ________________________________________________________
oLoss of the film can cause the company a great loss of documents
oImpossible to correct mistakes
• ________________________________________________________
oFilms can become illegible due to poor processing
oProcess of developing films takes a long time
oHigh cost of processing as well as complimentary equipment • ________________________________________________________

• ________________________________________________________

• ________________________________________________________

• ________________________________________________________

APPLICATION OF MODERN TECHNOLOGY IN • ________________________________________________________

RECORDS MANAGEMENT
• ________________________________________________________
Electronic Record Management
“….consists of information or data files that are created and stored in digitized
form through the use of computers and applications software.” • ________________________________________________________
Kimari M.; (2019); Legal Practice Management; Nairobi, Kenya; LawAfrica Publishing (K) Ltd. at page 85

• Electronic records include numeric, graphic, audio, video and textual • ________________________________________________________
information.
• Electronic records systems require partnerships with information technology • ________________________________________________________
and records management fields to support requirements for data control and
access. • ________________________________________________________
• Modern technology aids in electronic record management.

Access Criteria: • ________________________________________________________

• Policies stipulating who has access records and on restricted • ________________________________________________________

records
• Assurance that access and retrieval are timely • ________________________________________________________
• Assurance that records are retrievable by authorized users only
• ________________________________________________________
• Relevant metadata applicable to the captured record is maintained
for the lifecycle of the record or until otherwise designated
• ________________________________________________________
• Recognition on privacy issues
• ________________________________________________________

Controls on Records:
• ________________________________________________________
• Measures to monitor who has access to records
• Safeguard the records from unauthorized access
• ________________________________________________________
• Has an audit trail
• Demonstrates that migration, system malfunctions, upgrades, and regular
maintenance of records systems will not infringe upon the integrity of the • ________________________________________________________
records
• Has methodologies to protect the confidentiality, privacy, and security of • ________________________________________________________
records
• Has validation / verification techniques • ________________________________________________________
• Ensures records protection and preservation
• Records system has the ability to preserve records and their associated • ________________________________________________________
metadata
• Able to archive data

Advantages of Electronic Record Management: • ________________________________________________________

• Strengthens corporate governance
• Reduces human recourse costs
• ________________________________________________________
• Increases efficiency
• Risk mitigation • ________________________________________________________
• Better accountability
• Reliable back-up • ________________________________________________________
• Less deterioration of records
• Increased internal and external collaboration • ________________________________________________________
• Lower archiving costs
• Improved version control • ________________________________________________________
• Consistent content
• Improved task management

ATP 106: LEGAL PRACTICE MANAGEMENT 8

 Challenges and Concerns Over Electronic • ________________________________________________________
Records:
• Some storage formats are not stable
• ________________________________________________________
• Documents created are dependent upon technology to interpret them
• ________________________________________________________
• Harder to authenticate thus giving room to corruption and fraud
• Requires institutional policies and guidelines addressing the management of
electronic records • ________________________________________________________
• Due to low cost of electronic storage, organizations are tempted to retain records
who's lives have expired • ________________________________________________________
• Greater risk for potential security breaches and damage via virus attacks and
hacking • ________________________________________________________
• Requires hiring of highly trained staff

LEGAL FRAMEWORK FOR RECORDS • ________________________________________________________

MANAGEMENT
• ________________________________________________________
The Constitution of Kenya, 2010:
• ________________________________________________________
• Article 31: Privacy
• Article 33: Freedom of expression • ________________________________________________________
• Article 227: Procurement of public goods and services
• ________________________________________________________

• ________________________________________________________

Acts of Parliament: • ________________________________________________________

• Records Disposal Act: Gives provision for the disposal of court records. The
Chief Justice must decide on which records to dispose of. This is done in
• ________________________________________________________
consultation with the Chief Archivist (subject to the provisions of the Public
Archives and Documentation Services Act).
• ________________________________________________________
• Public Archives and Documentation Services Act: provides for archiving of
public records. it also provides for management and destruction of national
documents (see section 5A, 6 and 7) • ________________________________________________________
• The Public Procurement and Disposal Act: section 127 gives provision to
be utilized by public organizations for the disposal of unusable equipment. • ________________________________________________________
• Kenya Information Communication Act (as read together with the Revision
of Laws Act): this Act provides the legal basis for electronic publication of • ________________________________________________________
laws (section 27A & 102 A of the Kenya Information Communication Act).

International Laws and Standards: • ________________________________________________________

• ________________________________________________________
• ILO Code of Practice on Protection of a Worker, 1997
• International Financial Reporting Standards • ________________________________________________________
• International Standard ISO 15489 & 9001
• ________________________________________________________

• ________________________________________________________

• ________________________________________________________

ATP 106: LEGAL PRACTICE MANAGEMENT 9