TDL 201: RECORDS MANAGEMENT AND ARCHIVES ADMINISTRATION

Introduction
It is undeniable that information is a key resource in all places, from homes to work places. It
is estimated that 80% of office employees are information handlers. Thus, efficient and
effective management of information underpins all areas of government and facilities
immeasurably to their success.
Documentary evidence provides the framework for accountability, which is the cornerstone
of good governance. ecords management is now becoming an important instrument of
management of change process upon which principles and practices of modern management
depend. The success depends on the e!tent to which information and records are organi"ed,
stored and managed by an organi"ation throughout their life cycle. esponsibility for this
rests primarily with the custodians who must work closely with the users of records. In this
conte!t, therefore the effectiveness of this partnership will depend upon the understanding
and cooperation between them.
Definition of Term
Record
Information kept in various forms such as paper or computer disk needed for carrying
out business.
The information captured by either individual or an organi"ation or an institution in
whatever media for carrying out business.
Those documents, in whatever medium, received or created by an organi"ation in the
course of e!ecuting its business, retained by that organi"ation as evidence of its
activities.
In line with the above definitions, records are recorded information, regardless of
form or medium, created or received and maintained by any institution or individual
in the transaction of business and kept as evidence of such activity.
ecords come in whatever form or medium#
$rint
%udio&visual
'lectronic records.
Archives
(. The documents created or received and accumulated by a person or organi"ation in the
course of the conduct of affairs and preserved because of their continuing value.
). The building or part of a building in which archives are preserved and made available for
consultation. %lso referred as an archival repository.
*. The agency or program responsible for selecting, ac+uiring, preserving, and making
available archives. %lso referred as an archival agency, archival institution, or archival
program.
Archiving
(. To back up electronic records or data or to store such information offline yet available for
future use.
). To conduct all activities related to caring for records of continuing value.
Archivist
% person professionally occupied in the administration of archives and,or management of
archives.
Active record
% record needed to perform current operations, sub-ect to fre+uent use, and usually located
near the user. %lso referred to as current records.
Inactive record
% record no longer needed to conduct current business, but preserved until it meets the end of
its retention period.
Semi active record
% record that is infre+uently referred to but is still needed for reference.
Retention period
The length of time a record must be kept to meet administrative, fiscal, legal, or historical
re+uirements.
Retention program
% system established and maintained to define retention periods for records in an
organi"ation.
Retention schedule
% comprehensive list of records series, indicating for each the length of time it is to be
maintained and its disposition. %lso referred to as records retention schedule or records
schedule.
Records survey
% broad overview of the +uantity and type of records within an organi"ation, which is usually
completed prior to a detailed inventory.
Records inventory
% detailed listing that includes the types, locations, dates, volumes, e+uipment, classification
systems, and usage data of an organi"ation.s records in order to evaluate, appraise, and
organi"e the information.
Records and information management (RIM)
The 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. %lso referred to as records management.
Records inventory
% detailed listing that includes the types, locations, dates, volumes, e+uipment, classification
systems, and usage data of an organi"ation.s records in order to evaluate, appraise, and
organi"e the information.
Vital records
The records that are fundamental to the functioning of an organi"ation and necessary to
continue operations without delay under abnormal conditions.
Electronic records
Information which is generated electronically and stored by means of computer technology.
Im!ort"nce of efficient "nd effecti#e Record M"n"$ement
The importance,significance of effective records management is as follows.
ecords are necessary for growth, efficiency and successful operation of an
organi"ation
/rom records an organi"ation gets information that can assist to achieve its ob-ective,
monitor the performance of its operations, identify emerging problems and to have
possible solutions ready, improve the +uality of performance and productivity.
0ood records can also ensure organi"ations to e!ecute their obligations smoothly,
unneeded records are transferred or destroyed regularly, keeping the storage area clear
and accessible and key records can be found +uickly, saving time and resources.
educe,minimi"e customer.s complaints towards inefficient records keeping and
ensure the proper filing system.
%enefit of Good Record M"n"$ement
There are several benefits an organi"ation can en-oy when establishing good records
management systems,
'fficiency in decision making1
/aster access to information,easy retrieval1
2ess staff time wastage in searching for records,
3etter physical protection of records1
%ssist records staff and non records staff to manage records in support of public
accountability and good governance1 and
Inform policy makers and administrators the day to day operations of an organi"ation.
&'"t "re record ued for(
4rgani"ations use records in the conduct of its business, to enable decisions to be
made and appropriate actions being taken.
The records provide access to precedents or previous work and thus save time and
money by eliminating the need to create resources once again.
4rgani"ations also use records to support accountability, when they need to -ustify
that they have accomplished their obligations are complied with best practice.
4rgani"ations are accountable in various ways, such as when meeting legal,
regulatory and financial re+uirements especial during audits and inspections of public
funds.
The organi"ation also uses records to respond to challenges made against them,
whether in a court of law, the legislators, regulations or civil society.
ecords are also used to monitor or assess performance of an organi"ation as well as
individuals in an organi"ation.
Record M"n"$ement T'eorie "nd )r"ctice
ecords management can be defined from different perspectives as far as different writers are
concerned. In this part, three different scholars will be given an account by comparing and
contrasting their propounded ideas on records management perspectives.
%nn, $ederson., et al., 5(6878, for e!ample, they e!plain records management as, 9The area of
general administrative management concerned with the design and operation of programs to
achieve economy and efficiency in the creation, distribution, organi"ing, maintenance,
retrieval, use, protecting and disposal of all types of records:;
<ennedy and =chauder 5(66>8, on the other hand, view records management as1 a systematic
control of recorded information from creation to final disposal, they focused on procedures
and systems for creation, storage, retrieval, and disposal of an organi"ations records and the
comple! issues surrounding the selection, implementation and maintenance of such system.
2astly, $en. I, et al, 5(66>8, e!plains records management as1 9% logical and practical
approach to the creation, maintenance, use and disposition of records and, the information
that those records contain;. They said through records management organi"ation can control
both the +uality and +uantity of the information that it creates, and can maintain them in the
manner that can efficiently serve its needs, and ultimately dispose them when they are no
longer valuable.
The three definitions from the above scholars vary in terms of approach, focus and scope
to which the management of records could be applied. $ederson et al., for e!ample, their
approach to the records management is confined in setting general administrative and
management principles while <ennedy and =chauder sought to control recorded information
systematically. $en et al insisted on logical and practical approach to the management of
records.
The three scholars also differ in focus, for e!ample, while $ederson et al., focused on
achieving economy and efficiency in managing records, <ennedy and =chauder focused on
setting procedures and systems in which records could be managed. $en et al, on the other
hand focused on maintaining +uality and +uantity of records throughout its life cycle.
?owever, both scholars have the same view of the e!tent,scope to which records could be
managed, i.e. from the creation to its disposal, but $en, et al., +ualified by insisting that not
only records that can be managed, but also the information that records hold should be
effectively managed as well.
Difference %et*een Record "nd Inform"tion M"n"$ement.
The following are the key distinctions between records and information management1
Information @anagement deals with the wide range of information services,
information technology and networking while records management is confined
only to document management.
Information @anagement deals with all issues or feedback, whether formally or
informally addressed to the organi"ation for the purpose of e!changing ideas,
whereas records management, confined into a formal way of presenting
information, e.g. it might be oral, written or signs but should be physically
documented in whatever media for easy sharing and further reference.
Information management controls both records and information that records
present, the e!tent to which the access is granted and how effective the conte!t of
information is presented by records. 4n the other hand, records management gets
hold of physical document as evidence and keeps for future reference.
ecords management may also be viewed in the conte!t of the broader field of
information management. ?owever, it should be borne in mind that 9not all
information are records, although all records provide information;
Record M"n"$ement )ro$r"mme in "n Or$"ni+"tion
% records @anagement $rogramme is the programme which is conducted in an organi"ation
for controlling the entire lifecyle of organi"ations. records. The programme covers the wide
range of records keeping, records management systems, procedures and policies. There are
several advantages for an organi"ation to have a well established records management
program as stipulated below#
Record M"n"$ement )ro$r"mme in "n Or$"ni+"tion enure t'"t,
The record is present: that the organi"ation has the information that is needed to form
a reconstruction of activities or transactions that have taken place.
The record can e accessed: that information can be located and accessed, and that
the current version is identified.
The record can e interpreted: that the conte!t of the record can be established# who
created the document and when, during which business process, and how the record is
related to other records.
The record can e trusted: that the record reliably represents the information that was
actually used in or created by the business process, and its integrity and authenticity
can be demonstrated.
The record can e maintained through time# that the +ualities of accessibility,
interpretability and trustworthiness can be maintained for as long as the record is
needed, perhaps permanently, despite changes of formats.
Re"on for et"-.i'in$ Record M"n"$ement )ro$r"mme
The following are the reasons why an organi"ation embrace and encourage good records
and information management programme in e!ecuting its business#
(. To control the creation and gro!th of records: Despite decades of using various non&
paper storage media for keeping records, the amount of records created in various
organi"ations is increasing. This proliferation needs an organi"ation to have a well
established records management program which will control the creation,generation
of records or copies not re+uired to operate the organi"ation business1 and to develop
records useless records or retiring nonactive records.
). To reduce operating costs: <eeping records re+uire organi"ations, resources for filing
e+uipment, space in offices and staffing. %n effective ecords management
programme helps an organi"ation to spend less financial resources and time in
utili"ing them.
*. To improve efficiency and productivity: Time spent searching for missing or misfiled
records is non productive. % good records management programme can help an
organi"ation to upgrade its records keeping systems so that information retrieval is
enhanced, with corresponding improvements in office efficiency and productivity. %
well designed and operated filling system with an effective inde! can facilitate
retrieval and deliver information to users as +uickly as they need them.
>. To assimilate "e! Records Management Technologies: % good records management
programme provides an organi"ation with the capability to assimilate new
technologies and take advantage of their many benefits. Investments in new computer
systems do not solve filling problems unless current records keeping systems are
analy"ed before further automation is applied.
A. To ensure compliance !ith the #a!: The only way an organi"ation can be reasonably
sure that it is in full compliance with laws and regulations is by operating a good
records management programme which takes responsibility for regulatory
compliance. /ailure to comply with 2aws and regulations could result in severe fines,
penalties or other legal conse+uences.
B. To minimi$e #itigation ris%s: @ost organi"ations implemented records management
program in order to reduce the risks associated with litigation and potential penalties.
% consistently applied records management program can reduce the liabilities
associated with document retention and disposal by providing a systematic and
routine appraisal and retention of records for permanent preservation.
7. To safeguard vital information: Cital records are those records which represent most
critical functions of an organi"ation. 'very organi"ation, public or private, needs a
comprehensive programme for protecting its vital records and information from
catastrophe or disaster, because every organi"ation is vulnerable to loss. Identifying
and protecting vital records will save valuable time and resources after emergency
and will allow recovery personnel to concentrate on restoring operations rather than
finding the information or spending money and time on restoring unnecessary
information.
8. To support etter management decision ma%ing process: In todayDs business
environment, the manager that has the relevant data first often wins, either by making
the decision ahead of the competition, or by making a better and more appropriate
decision. % records management programme help manager and e!ecutives to have
the right information when they need them.
6. To preserve &orporate Memory of an organi$ation: %ll records created in an
organi"ation contain institutional memory# an irreplaceable asset that is often
overlooked. ecords which are created to provide background data for future
management decisions and planning. ecords document activities of an organi"ation
which future scholars and policy makers may use for research.
(0. To foster professionalism in the organi$ation: %n officer with files askew stacked on
top of filing cabinets and in bo!es everywhere, creates a poor working environment.
The perceptions of customers and the public, and Eimage. and E morale. of the staff,
though hard to +uantify in cost&benefit terms, may be among the reasons to establish a
good records management programme.
0ood arrangement and storage of records enhance easy retrieve of information. The @a-or
aim of managing ecords is to provide# The ight record to the right person at the right time
at the least possible cost.
T*e.#e Com!onent of " Record M"n"$ement )ro$r"mme
ecords management programme encompasses the following key components#
Information map to identify the functions of the organi"ation and the records
generated by those functions.
'iling scheme to organi"e records into meaningful files and series.
'iling systems to capture the records and implement the filing scheme and retention
schedule.
Trac%ing and monitoring systems to ensure that the location of each record is
always known.
Inventory to keep a record of the records held by a business area and their ultimate
disposition.
Survey to identify which records a business area holds.
Retention schedule to identify how long particular types of records should be kept.
Storage arrangements to avoid using to e!pensive office accommodation to store
little&used records.
Records disposal procedures to implement and document the operation of the
retention schedule recommendations.
Access policy to identify who is allowed to have access to which records, and to
highlight if special security precautions are re+uired for any records.
Vital records programmes to identify the vital records of the organi"ation and ensure
that backup procedures are in place in the event of a disaster.
% preservation strategy to ensure that records remain accessible over time.

Ro.e of )u-.ic Ser#"nt in M"n"$in$ Record "nd Inform"tion
@anagement of ecords and Information in The $ublic =ervice is a responsibility of each
individual in an organi"ation. /ormally, many people believe that only registry clerks had
this responsibility and it had nothing to do with other employees.

T'e Record Office i t'e .in/ -et*een t'e #"riou uer, &'0 i it im!ort"nt to m"n"$e
record
They are a resource( In order for an organi"ation to increase productivity and good
performance in service delivery needs the following fundamental resources, information
being one of them#
'+uipments
/inance
Information
$eople
%ccommodation
&'"t !ro-.em *ou.d 0ou e1!ect to find *'en record m"n"$ement i )oor(
)ro-.em of )oor Record M"n"$ement
There are several problems that an organi"ation can e!perience if its records management
system is poor. %mongst are#
2oss of management information
2oss of ability to supply ministerial information
2oss of ability to fulfil legal,contractual, statutory responsibilities
2oss of ability to provide information to the general public
2oss of ability to follow normal procedures 5staff under&occupied8
Fause of financial loss to third parties
$olitical embarrassment,loss of confidence
Gnauthori"ed disclosure of classified information
3reach of confidentiality or national security
Fomplaints from the customers and stakeholders
Inconsistency in decision making
S0m!tom of )oor Record M"n"$ement in "n or$"ni+"tion
Hhat are the tell&tale signs which show us that there are records management problems in an
organi"ationI The following are the indicators that show there are records management
problems in an organi"ation1
Jon& active records kept unnecessarily on storage location where active records are
kept
@anagement has no knowledge of numbers of files handled or the costs involved
=taff does not understand our being aware on records management system and
procedures
=taff send files to storage only when they need more space files too bulky, difficult to
handle, have loose papers
Information disseminated more widely than necessary
Incoming mail not +uickly associated with files
Information is collected that is not needed
/iles,papers cannot be located +uickly
=taff maintains private systems
4ver&duplication of documents
Jo retention,disposal lists
ecords are piled up on desks
Too many unregistered files
$apers put on wrong files