RECORDS MANAGEMENT

By

Dr Stanford Nartey
Email narteystanford@yahoo.com
 Introduction
 Records are created and managed daily in
organizations whether for profit or not for profit.

 Schools, hospitals, churches, businesses and

governments as well as other organizations
create and receive records to enable them
engage in the activities that they engage in.

 Imagine your SHS certificate gets stolen and

your former school hasn’t got any records to
prove that you were there
 Definition
 Records are all those documents, in whatever medium,
received or created, used, and retained by an
organisation in the course of its business; it is also used
as evidence of its activities or because of the information
it contains ( Emmerson 1989).

 Records are defined as information received and

maintained as evidence and information by an
organization or persons in pursuance of legal obligations
or in the transaction of businesses (International
Standard Organization)
 Implications
 Records serve as evidence of an organisation’s activities
 They are either received or created by an organisation
 They are generated from the functions, activities,
processes and transactions of the creating organisation.
 The definitions are often associated with document.
 A record can be either tangible object or digital
information which has value to an organisation.
 Examples of records
 Birth certificates
 Application data
 Annual reports
 Email
 Books
 Catalogues
 Contracts
 Letters
 Memorandums, etc
 Kinds of Records
 Current Records-These are frequently used

 Semi Current Records-Not frequently used

 Non Current Records-Disposed or sent to

archives
 Characteristics of Records

 Authenticity
 Reliability
 Integrity
 Usability
 Uniqueness.
 What makes a record unique
 Records are evidence of actions and transactions

 Records should support accountability

 Records are related to processes

 Records must be preserved

 Discussion Question

 Discuss the characteristics that recorded

information must have.

 Provide your own definition of a record.

Lecture TWO
RECORD/INFORMATION MANAGEMENT

 Records management can be defined as an

administrative system by which an organisation seeks to
control the creation, distribution, filing, retrieval, storage
and disposal of the records created or received in the
course of its business.

 Information Management on the other hand refers to

data-based information systems in computer
environments in which information is stored
electronically.
Objectives of Records and Information
Management
 To furnish accurate, timely and complete information for
efficient decision-making in the management and
operation of the organisation.

 To process recorded information as efficiently as

possible.

 To provide information and records at the lowest

possible cost

 To render maximum service to the user of the records

 To dispose of records no longer needed.

The Scope of Records Management
 Setting policies and standards

 Assigning responsibilities

 Establishing and promulgating procedures and guidelines

 Providing a range of services relating to the

management and use of records

 Designing, implementing and administering system for

managing records

 Integrating Records Management into business systems

and processes
 Principles of Records Management
For records management to be successful, it must be based
on the following sound principles:

 Principle of purpose: Records must be kept for certain

purposes. If a particular record has no purpose, it should
not be preserved.

 Principle of verification: Facts that are recorded

should be those that can be verified when the need
arises. If records cannot be verified, we cannot use them
as evidence in a court of law.
 Principle of availability: Records must be available
when needed. It does not necessarily mean that all
records must be instantly available.
 Principles of Records Management

 Principle of classification: Records must be

properly classified so that they can be used.
– When facts are classified, it helps in proper analysis
of a business condition.

 Principle of Cost: All records do not have the

same value for the organisation. Therefore Care
should be taken to avoid unnecessary cost in
record management.
 The Practice of Records Management
The practice of record management involves:
 Creating, approving and enforcing records policies,
including a classification system and a record retention
policy.

 Developing a records storage plan which includes the

short and long term.

 Identifying the existing and newly created records,

classifying them and storing them according to the
standard operating procedures
 The Practice of Records Management

 Executing a retention policy to archives and

destroying records according to operational
needs, operating procedures, statutes and
regulations.

 Coordinating the access and circulation of

records within and outside the organisation
 The Importance of Records
 Organised records facilitates orderly, efficient and
accountable business.

 Records help to deliver services in a consistent and

equitable manner

 Records provide support and document policy

formulation and managerial decision making.
– its availability provides support for the organisation’s business
decisions.
– It ensure that management has the right information to make
decisions.
 Records facilitate the effective performance of activities
throughout an organisation. It indicates whether the
organisation is doing well or not.
 The Importance of Records
 Record helps organisations to continue an activity
started even when a disaster occurs.

 It enable organisations to meet legislative and regulatory

requirement including archival, audit and oversight
activities.
– For example every organisation is required by law to keep
records. eg filing tax returns, academic records-grades as well
as scripts

 It can be used as evidence to support an organisation’s

claim during litigation

 It provides evidence of business, personal and cultural

activities
 The Importance of Records

 Records serve as reference material eg medical

records, academic records etc

 Records help to preserve corporate memory. The

historical files of an organisation or an institution
constitute its institutional memory

 To foster professionalism in running the business

Classification of Corporate Records

 Classification by type of use

– Transactional documents: These are records that are used in
day-to-day activities of an organisation. These include invoices,
requisition, purchase and sales orders, cheques and bank
statements
– Reference documents: These are documents that contain
information needed to carry on the operations of the
organisation over a long period of time. Eg. information about
previous decisions, quotations on items to purchase, statement
of administrative policy, plans for running the organisation,
business letters, price list.
 Classification of Corporate Records
 Classification by Place of Use
– This refers to external and internal records. An external record is
that which is created for use outside the organisation. (letters or
faxes that are sent to customers or clients, to suppliers or to the
government).
– internal records contain information needed for the operation of
an organisation. This may be created inside or outside the
organisation. (communications between a firm and its employees
(payroll records, bulletins, newsletter and government
regulations and communications among an organisation’s
department
Classification of Corporate Records

 Classification by Value of the Records

– Vital Records: these have Administrative value (generated for
administrative purposes); Financial Value (tax returns,
purchases, sales orders, invoices, financial statements); Legal
Value (have some legal backing, which can serve as evidence at
the law court e.g. proof of transactions contracts, financial
agreements, deeds and titles have legal value); Historical Value (
These are records that deal with the history of the organisation).

Vital records are not replaceable because it will be difficult to get

them when they are damaged.
– Important Records: These are replaceable but at a cost. They
assist in the performance of the organisation’s business
operations and can be replaced in case there is destruction Eg
sales records, tax records

– Useful records: They are helpful in conducting business

operations and may be replaced but at a least cost. Examples
include letters, bank statements, memos, etc

– Non Essential Records: These are records which have no

predictable value after the organisation has used them. They are
normally destroyed after their usage. Examples are bulletins to
employees, announcements and routine telephone messages.
 Questions
 Examine the benefits of records to an
organisation.

 How would you classify corporate records?

LECTURE THREE
ESTABLISHING A RECORDS MANAGEMENT
POLICY

 When developing a records management policy it is

essential to be aware of:
– what business or authority the policy is designed to serve
– what it considers as its main reason for existing and
– what it considers as important in achieving its strategic goals.

 The records management operation must have a clear

set of strategic goals which match those of the
organisation, against which it can measure its
achievements and within which it can determine the
resources it needs.
Before establishing a policy, the manager must establish
clearly the environment in which the policy will be
introduced.

Questions that need to be asked include:

 How great is the demand for live information?
 To what extent does storage or volume dominate the
thinking of the organisation in its approach to the
management of its records?
 Is the inability to produce the right record at the right
time likely to cost the organisation substantial loss either
financially or in terms of reputation?
 How is the organisation structured and how will this
influence the way records management might be
introduced?
 What is the organisational culture and how receptive will
it be to a new set of guidelines and instructions on any
subject?
 What kind of records management arrangements exist at
present?
 Are they seen as effective and who is responsible for
them?
 What resistance will be put forward by those who see
their territory being impinged upon in the organisation
as a whole or within individual departments?
 Records Management Policy
For any records management policy to succeed, the policy
should have high level support within the organisation.
 The status of the policy within the organisation, its aims
and objective should be established.

 The policy may be very broad in terms of statement of

intent or it can be a very detailed set of precise
instructions captured in a detailed manual or handbook.

 The aim of the records management policy is to improve

the quality of records and information management in
line with the organisation’s established needs and critical
success factors
 Objectives of a records management policy
 To establish records control systems

 To improve information retrieval from records by improving

classification and indexing system and introducing the use
of information technology

 To establish a retention control system for records with the

development, following analysis, of retention schedules
covering all records in use within the organization

 To develop rules throughout the organization for the

preparation of file titles
Objectives of a records management policy

 To develop a system for the management of special

reports

 To make recommendations for the development of

storage facilities

 To establish a system for controlling the design and

development of forms

 To identify those records which are vital to the survival

of the organization and arrange for them to be suitably
protected.
 The role of the records manager

 He advises on the establishment of records management

policy and develops standards for the management of
records across the organisation.

 He plays a key role in the development and

implementation of records policy. Hence it is necessary
the right person is employed

 He initiates, control and implement the programmes and

systems which go into making up records management.
 Selecting and Training the Records
Management Staff

 The records manager should be involved in the selection

and training of records management staff.
 He is responsible for the continuing training and
education of staff through courses, seminars and
individual tuition
 Questions

 What are the key issues that a records

manager would consider before
establishing a policy?

 Discuss the role that a records manager

plays in the development and
implementation of a policy for the
management of records.
LECTURE FOUR
 RECORDS/INFORMATION LIFE CYCLE

 Every recorded information like every living organism

has a life cycle.

 The life of a record starts when it is created or received

by the organisation, and goes through its
use, maintenance and temporary storage before finally
being destroyed or archived permanently.
 Stages of Record Life cycle
 Creation and acquisition is likened to birth
 Maintenance and use is likened to life/growth
– filing records,
– retrieving records,
– retention and
– control.

 Disposition is likened to death.

A record has a format which includes the date,

content and authorisation.
 Record transfer/ Disposition
 As records become inactive they are moved to the
archives to make way for active records.

 Apart from occupying valuable space, and equipment,

inactive records get in the way of the efficient use of
active ones.

 Regular transfer of records reduces volume and storage

equipment cost.
 Perpetual transfer and periodic transfer
methods.

 Perpetual transfer is a continuous process of moving

records from active to inactive storage areas.

 Periodic transfer is a procedure for moving records at

stated intervals from active to inactive storage areas.
 Transfer Procedures

The process of transfer involves five steps.

 Determining when records are to be transferred.
 Determining what records are to be transferred
 Preparing records for transfer
 Arranging the transfer
 Receiving records in the storage areas.
 Record Disposal
Records that are no longer needed are destroyed. There
are several ways of disposing documents:

 Shredding: Putting them in a shredder that tears the

document into pieces

 Recycling the document: regenerating the document into

different forms like toilet roll

 Burning: burn the document completely

 Burying documents: done by digging holes and burying

the documents in them so that they decompose.
 Discussion Questions

 A record just like any biological organism

has a lifecycle. Discuss.

 How would you as a records manager

handle the transfer and disposal of
records.
 ASSIGNMENT
In Groups of Five (5) each, identify a company
with which you are familiar. Approach the
Professional responsible for Record Management.
Find out from him/her 1. what they do on their
jobs (2) What has changed in their jobs over the
past five to ten years? (3)Where do they see the
Record management field heading in the next five
to ten years?
Deadline for submission strictly 14/04/17. No
extension.