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MANAGEMENT OF RECORDS IN
ORGANIZATIONS
IMR
Examination Paper Part A : Define the following terms : a) Records A document regardless of form or medium created, received, maintained and used by an organization (public or private) in the transaction of business, of which it provides evidence. b) Current Records Records regularly used for the conduct of the current business of an organization or individual. Also known as active records. Current records will normally be maintained in or near their place of origin or in a registry or records office. c) Private Records Records created, received and maintained by non-governmental organizations, families or individuals relating to their private and public affairs. d) Preservation Is a crucial element in an Integrated Records Management Programme. If records are not
well protected physically throughout their life cycle, they will not survive long enough to serve their administrative and cultural purposes, as evidence and information of present and past activities. e) Archival Repository A building or part of a building in which archives are preserved and made available for consultation. Also known as an archives. Part B : QUESTION 1 : a) - List six (6) roles of records in the public and private sectors.
- Human Rights
- Governance and Accountability
- Infrastructure and Sustainability
- Knowledge Management
- Management of Human Resources
- Financial Management b) Describe two (2) main categories of records.
- Public records: Records created or received and maintained in any public sector agency.
- Private records: Records created, received and maintained by non-governmental organizations, families or individuals relating to their private and public affairs.
QUESTION 5
Explain five (5) essentials in developing emergency plans to protect records in the organizations.
- implementing and maintaining preservation measures
- developing and testing emergency plans to protect records
- controlled temperature and humidity
- controlled lighting
- adequate shelving for all records
- adequate storage containers, such as boxes and file folders
- secure access to storage areas to prevent loss or damage to records PART C QUESTION 1 Discuss five (5) importance of good records management practices in the public organizations. Record management system has several benefits such as improving efficiency, better traceability and ensuring regulatory compliance. Record management and retention allows organizations to make sure its staff has complete access to accurate information in a timely and cost-effective manner. Following are the most important benefits of setting up a good records management practices in the public organizations :
- Control the Generation and Growth of Records Even though we are increasingly becoming reliant on electronic files, the amount of paper used in offices has not significantly reduced. If a record management system is adopted, an organization can control the creation of records or copies and retain only those records that are actually needed or are active. This controls the growth of records and thus reduces the storage space needed.
- Effectively Retrieve and Dispose Records The consequences of spending too much time searching for misfiled records can be quite severe; you may not only lose in terms of billable hours but also lose valuable customers. This is why it is important to invest in a well-designed filing system that can facilitate retrieving records and disposing of records past their end-of-life date.
- Assimilate New Records Management Technologies Investing in record management software can prove to be helpful if a company has physical record management system in place. The new record management technology can be assimilated with existing records system to make the system stronger.
- Cut Costs and Save Time & Efforts Handling Records takes up a lot of time and money in terms of storage space, printing, filing and staffing to maintain an organized record system. It also takes a lot of time and money to search or reproduce lost records in absence of organized system. Records management system can help save considerable expenses by reducing operating costs and improving efficiency of employees.
- Better Management Decision Making Making relevant data easily accessible allows companies to take decisions faster so that they can stay ahead of the competition or make an informed decision. Records management software makes useful data accessible and disposes off unwanted data, so that relevant data can be accessed faster. Indexing and retrieval capability allows managers and authorized executives to search and find files faster. Conclusion Records are valuable assets of organizations. Good records management not only helps protect records but also enhances organizations’ operational efficiency. Recognizing the importance of good records management and of preserving the documentary heritage.
PART B
Answer ALL questions. QUESTION 1 Describe four (4) nature of records. a) Records are Static If a record is changed or manipulated in some way, it no longer provides evidence of the transaction it originally documented. For example, if someone alters the correspondence after they have been official signature, the correspondence can no longer be considered an accurate record of the business or organization communication. b) Records have Authority Records provide the official evidence, trustworthy or reliable content of the activity or transaction. The reliability of a record is linked to its creation. It is referred to the person or department that generated or issued the record, under what authority or purpose, can authority be proved, the signatures, letterheads, seals and office stamps are obvious indicator of the official nature of records. c) Records are Unique Records must be unique in which it maintained in their appropriate context, records must be filed in a unique compilation or sequence of transactions. Records are not isolated bits of information. They have meaning because they were generated during a particular transaction or business process. The records make sense within the context of the overall functions and activities of the individual or organisation that created or used them. They have a relationship with other records that makes them unique. d) Records are Authentic Records are authentic in sense that of it content, context and structure where it must be possible to prove that records are what they say they are. The authenticity of a record cannot be judge from the record-keeping system in which it was created or received, maintained and used. But, a record is authentic if it can be verified that it is now exactly as it was when first transmitted or set aside for retention. For example, in order to prove that the ‘official’ minutes are in fact authentic, it is necessary to be able to show that they were produced, approved and then filed appropriately in the organisation’s record- keeping system.
QUESTION 2
a) Explain with example three (3) forms of records. a) Paper - correspondence, minutes, reports, memoranda (normally filed systematically), ledgers, registers, notebooks, appointment diaries, maps and plans (cartographic records), architectural and engineering drawings, pictures (iconographic records) or computer printouts. b) Non-paper - roll microfilm, microfiche or computer output microfiche (COM) formats (microforms); photographs, including prints, negatives, transparencies and x-ray films; sound recordings on disk or tape; as moving images on film or video (audiovisual records); c) Electronic - text or images copied on magnetic tape or magnetic or optical disk or held in online databases (electronic records; formerly known as machine-readable records); as three- dimensional models, scientific specimens or other objects; or as combinations of any of the above formats in an electronic form (multimedia). b) List four (4) symptoms of the collapse of recordkeeping system. i. the existence of different versions of the same information and the absence of a definitive or authentic record ii. the loss of contextual information, such as the originator and the date of creation iii. the ease with which electronic records can be changed iv. the misuse of records, such as unauthorised access to or alternation of records. QUESTION 3 a) List four (4) requirements in the development of computerization of recordkeeping in an organization. i. adequate management structures and assignment of responsibilities ii. appropriate allowances for upgrading and supporting the computer system iii. appropriate environmental conditions and physical security iv. adequate number of information technology staff with appropriate skill levels b) Explain three (3) levels of arrangement and description. Subgroup: A discrete subdivision in the arrangement of archives below the level of the group, usually the archives of a subordinate administrative unit with its own record-keeping system. Series: The level of arrangement of the files and other records of an organisation or individual that brings together those relating to the same function or activity or having a common form or some other relationship arising from their creation, receipt or use. Also known as a file series, records series or class.
QUESTION 5
Explain four (4) principles of records and archive care.
- Life cycle concepts is difference between life cycle of records where life cycle of records is contributing with records creation, use, maintenance and lastly disposition. the Life Cycle Concepts which defined as a concept that draws an analogy between the life of a biological organism, which is born, lives and dies, and that of a record, which is created, is used for so long as it has continuing value and is then disposed of by destruction or by transfer to an archival institution.
- The Continuum of Care concepts can be defining as a consistent and coherent process of records management throughout the life of records, from the development of record- keeping systems through the creation and preservation of records, to their retention and use as archives.
- The principle of respect des fond consists of two related concepts: provenance and original order. Provenance refers to the ‘office of origin’ of the records; original order refers to the order and organization in which the documents were created or stored by that office of origin.
- Level of arrangement and description is key principle that been practices in the archives care. Arrangement and description are two subsequent practices which integrated each other in order to make records and archives physically and intellectually available for use and access. When arranging records or archives, the institution must recognise the internationally accepted principles of respect des fonds concepts which referring to the provenance and original order.
PART C
Answer TWO (2) questions only. QUESTION 1 Justify five (5) benefits of records management in organizations.
- Better Management Decision Making Making relevant data easily accessible allows companies to take decisions faster so that they can stay ahead of the competition or make an informed decision. Records management software makes useful data accessible and disposes off unwanted data, so that relevant data can be accessed faster. Indexing and retrieval capability allows managers and authorized executives to search and find files faster.
- Preserve Organizations Knowledge An organization’s files are its knowledgebase, which forms an integral part of its future planning and decision-making. Every single record created in a business day is a potential background data for future management decisions and planning. These records document the activities of the organizations, which managers may use in future to research the workings of the organizations.
- Effectively Retrieve and Dispose Records The consequences of spending too much time searching for misfiled records can be quite severe; you may not only lose in terms of billable hours but also lose valuable customers. This is why it is important to invest in a well-designed filing system that can facilitate retrieving records and disposing of records past their end-of-life date.
- Cut Costs and Save Time & Efforts Handling Records takes up a lot of time and money in terms of storage space, printing, filing and staffing to maintain an organized record system. It also takes a lot of time and money to search or reproduce lost records in absence of organized system. Records management system can help save considerable expenses by reducing operating costs and improving efficiency of employees.
Examination Paper July 2017 Choose TRUE (T) or FALSE (F) for the statements below : Questions: Answer:
- Public records are created or received and maintained by public sector agencies.
T
- Original records are created in archival institutions (^) F
- Archival materials are purely private records. F
- The National Archives Act 2003 provides details of records management processes.
F
- The life-cycle concept is also applicable to archive management (^) T
- Archives are always meant for permanent preservation. T
- The registry is responsible for managing active records in an organization
T
- Classification is a process to identify and to arrange records and archives in categories according to rules and procedures.
F
- Records appraisal is the process to determine value of records for further use.
T
- Lifecycle concept applies to archive management (^) T
- Current records are maintained in a registry or records office. T
- Original order is one of the principles relating to the concept of Respect Des Fonds.
T
- A registry is responsible for acquiring and to receive archives. F
- Non-current records also known as semi active records F
- The continuum concept suggests an ideal integration for documents, records, and archives management.
T
- Retention schedule is a list of records series of an organisation which has directions on how the records are to be disposed of after their creation and initial use.
T
- Vital records are crucial records which without them, an organisation could not continue to operate its business.
T
- Private records are maintained by non-governmental organizations T
- Series is a group of related records that are used and filed as a unit. F
- Records center is a fully air-conditioned storage facility where temperature and humidity are controlled to preserve records
T
- Preservation is the intrusive protection of archival materials using minimal physical and chemical treatments to resist further deterioration.
F
PART B
Answer ALL questions. QUESTION 1 Define the following terms: a) Respect des fonds Respect for the creator of the records or archives, involving the maintenance of provenance and original order. b) Records lifecycle The life-cycle concept of the record is an analogy from the life of a biological organism, which is born, lives and dies. In the same way, a record is created, is used for so long as it has continuing value and is then disposed of by destruction or by transfer to an archival institution. c) Registry Registry is a unit or department in the organization which responsible in managing active records of the organization. Registry is the first place of the new born of records. Normally registry recognize as a registry room which is also known as a file room or file registration rooms d) Retention period The length of time, as provided for by legislation, regulation or administrative procedure or based upon an estimate of the frequency of continuing use, that records should be retained in an office or records centre before they are transferred to an archival institution or otherwise disposed of.
QUESTION 2
a) Describe two (2) categories of records. Records are created by all sorts of people and institutions. Individuals, families, businesses, associations and groups, political parties and governments all create and use records every day. So, records can be categorised into two categories a. Public Records - Records created or received and maintained in any public sector agency. For example, correspondence that received by other government agency. b. Private Records - Records created, received and maintained by nongovernmental organisations, families or individuals relating to their private and public affairs. For example, birth certificate or invoice from private organization. b) Describe three (3) phases of records lifecycle. Phases of Life Cycle of Records: i) Current Records Records that are frequently used for conducting the business transaction in daily and current business activity of an organization or individual. Current records normally are maintaining in the registry, active file room, records office or near their place of origins. The key person who is responsible in managing current records is Records Officer, Document Controller or Registrar. Current records also recognized as Active Records. ii) Semi-Current Records Records are only infrequently requiring and used in the conduct of current business transaction. It normally is maintaining in a Records Center or other offsite intermediate storage facility pending their ultimate disposal. The key person who is responsible in managing semi-current records is Records Manager. Semi-Current records also identified as Semi-active Records. iii) Non-Current Records Records are no longer needed in conduct of business transaction. Normally this record will be destruct by a few methods of destruction such as incineration, maceration, pulping, shredding, Recycling and etc according to the types of records. Non-current records also known as inactive records.
QUESTION 4
Propose four (4) initiatives to educate public in applying a systematic records management. i. Provide training in records management for the public especially student and private sector. ii. Awareness about the important of record management especial related with personal vital records for example birth certificate, land title and etc. iii. National Archives can educate public through activities like exhibition of Historical document. iv. Strategic partnership with mass media (television, radio or social media) to encourage understanding and give information about important of records management QUESTION 5 Explain five (5) benefits of an integrated records management program. There are many benefits to the implementation of an IRMP. These may include: a) The development of co-ordinate information management program b) The elimination of duplication of services c) Improved accessibility to and use of information and records d) Reduced expenses for records management services e) The ultimate preservation of records of historical and research value through a planned records management process.
PART C
Answer ONE (1) question only. QUESTION 2 Explain three (3) primary values and three (3) secondary values of records. Primary value: The continuing utility of records or archives, by virtue of their contents, for the transaction of the business that gave rise to their creation. The primary value of records can be further subdivided into three categories. i. Operational value : The primary value of records for the continuance of the administration or operations of the creating agency or a successor in function or as evidence thereof. Also known as administrative value. Note: the term ‘administrative’ in this context refers not to ‘housekeeping’ records but to those records with operational or core value to the organisation; to avoid confusion in these modules, the term ‘operational value’ is used. ii. Financial (or fiscal) value: The primary value of records for the continuance of the financial of fiscal business of the creating agency or a successor in function or as evidence thereof (such as for audit). iii. Legal value : The primary value of records for the continuance of the legal business of the creating organisation or a successor in function or the protection of its legal rights or those of its employees or third parties. Secondary value: The enduring value that records or archives possess, by virtue of their contents, for purposes other than the transaction of the business for which they were created. This value also divided into three categories; i. Evidential value: The secondary value of records or archives in providing information on the origins, structure, functions, procedures and significant transactions of the organization that created them. ii. Informational value: The secondary value of records or archives for reference and research deriving from the information contained in them and often incidental to their original purpose. iii. Intrinsic value: The secondary value of records or archives by reason of their age, historical associations, physical form or features, aesthetic or artistic quality or monetary value.
