Dr. M.

Adams

TOPIC FOUR

PROCESSING AND

CONTROL OF

RECORDS

I N T R O D U C T I O N T O R E C O R D S MA N A G E ME N T

Dr. M.

Adams

CLASSIFICATION Records classification is the process of bringing

similar records together, arranging them

systematically and assigning identification

codes to them using numbers, alphabets or

combination of numbers and alphabets

Classification system is a predetermined logical

scheme for the physical and intellectual

arrangement and storage of records

I N T R O D U C T I O N T O R E C O R D S M A N A G E M E N T

Dr. M.

Adams

IMPORTANCE OF CLASSIFICATION

Easy Identification of records

Assignment of specific locations to records

Facilitation of retrieval

I N T R O D U C T I O N T O R E C O R D S M A N A G E M E N T

Dr. M.

Adams

TYPES OF CLASSIFICATION SYSTEM

Numeric

Alphabetic

Alphanumeric

I N T R O D U C T I O N T O R E C O R D S M A N A G E M E N T

Dr. M.

Adams

NUMERIC CLASSIFICATION

It uses numerals to identify records. There are two

types of numeric classification system.

Serial numeric system: records are numbered

serially or continuously. That is, the next

available number in the sequence is allocated

to a document regardless of the subject matter

Hierarchical numeric system: assigns numerical

codes that have meaning and significance to

documents. It is usually a three(3) or four(4)

digits code assigned to documents.

I N T R O D U C T I O N T O R E C O R D S M A N A G E M E N T

Dr. M.

Adams

HIERARCHICAL NUMERIC SYSTEM CONT…

The first digit represents the broad subject area

The second represents a narrower subject area

The third represent a specific subject area

within the narrower subject area

The last digit represent the personal

identification number of the document

The digits could be separated by dashes(-),

slashes(/), decimal points(.) or nothing at all

I N T R O D U C T I O N T O R E C O R D S M A N A G E M E N T

Dr. M.

Adams

ALPHABETIC CLASSIFICATION SYSTEM

It groups records alphabetically by letters, words

and unit. Records are arranged by name, subject

and geographical location.

I N T R O D U C T I O N T O R E C O R D S M A N A G E M E N T

Dr. M.

Adams

ALPHANUMERIC CLASSIFICATION SYSTEM

The alphanumeric is the most common classification system used in organizations.

It is a combination of words and numbers to arrange and code records.

Example. TA = Technical Assistance

6 = World Bank Assistance

1 = Small Scale Farmers

Therefore, the file “World Bank Assistance to Small Scale Farmers” will have the classification code

TA/6/1

I N T R O D U C T I O N T O R E C O R D S M A N A G E M E N T

Dr. M.

Adams

FILE REGISTRATION The registration of files in a file diary must record the

following

File or document title

File or document reference number or code

Date of creation

WHEN TO FILE

Filing should be done immediately an action is completed on a correspondence

WHO SHOULD DO FILING

Officers who are well versed in the activities of the organization and have obtained training in filing

I N T R O D U C T I O N T O R E C O R D S M A N A G E M E N T

Dr. M.

Adams

FILE REGISTRATION CONT…. HOW FILING IS DONE

• Papers relating to a particular transaction or department should be filed together

• Document should be filed in a chronological order of the transaction which they form a part.

The chronological order can be

Back-to-front: new documents are added on top of the preceding documents.

Front to back: new documents are added below the preceding documents.

I N T R O D U C T I O N T O R E C O R D S M A N A G E M E N T

Dr. M.

Adams

FILE REGISTRATION CONT….

What is to be filed

All documents received or created within an agency, at all levels needs to filed

However, some documents cannot be physically placed in a file. Eg. Published annual reports, photographs, maps, plans etc. these records should be placed in appropriate containers (boxes, envelopes etc)

Duplicate copies of documents, rough drafts, ephemerals etc. should not be filed

I N T R O D U C T I O N T O R E C O R D S M A N A G E M E N T

Dr. M.

Adams

RELATIONSHIP BETWEEN FILING AND CLASSIFICATION

Filing system and classification system go hand

in hand

The classification system determines the

specific position a file should occupy within the

storage segment

I N T R O D U C T I O N T O R E C O R D S M A N A G E M E N T

Dr. M.

Adams

FACTORS TO CONSIDER WHEN SELECTING

STORAGE EQUIPMENT

Record types (functional and physical features)

Rate of use of records (rotary equipment is appropriate when records are accessed simultaneously by more than one user

Space available (lateral filing is more space efficient than vertical filing

Environment (lighting, heat, humidity levels)

Security (use lockable equipment for vital records)

I N T R O D U C T I O N T O R E C O R D S M A N A G E M E N T

Dr. M.

Adams

TYPES OF STORAGE EQUIPMENT

Manual storage equipment

Mechanized storage equipment

Automated storage equipment

I N T R O D U C T I O N T O R E C O R D S M A N A G E M E N T

Dr. M.

Adams

MANUAL STORAGE EQUIPMENT

These are equipment that demand that the user

physically moves to the equipment to effect

storage or retrieval. Examples are

File boxes

Pigeon holes

Drawer cabinets

Open shelf units

I N T R O D U C T I O N T O R E C O R D S M A N A G E M E N T

Dr. M.

Adams

MECHANIZED STORAGE EQUIPMENT

These are storage equipment whose functions are

aided by mechanical means. Examples include

Mobile shelves

Rotary units

Conveyor belts

I N T R O D U C T I O N T O R E C O R D S M A N A G E M E N T

Dr. M.

Adams

AUTOMATED STORAGE EQUIPMENT

These are computerized storage units specifically

designed to accommodate electronic records.

They come in two categories:

Internal storage device (hard disk)

External storage device (optical disk, magnetic

tapes, pen drives etc.)

I N T R O D U C T I O N T O R E C O R D S M A N A G E M E N T

Dr. M.

Adams

RETRIEVAL SYSTEM

Records retrieval is the process of intellectually

identifying records using retrieval tools and

physically locating the records and removing the

identified records from their storage area for use.

Objectives of Records Retrieval To identify and provide relevant records within the

shortest possible time and at a lower cost for use.

I N T R O D U C T I O N T O R E C O R D S M A N A G E M E N T

Dr. M.

Adams

TYPES OF RETRIEVAL SYSTEM

The manual retrieval system

The mechanical retrieval system

The automated retrieval system

I N T R O D U C T I O N T O R E C O R D S M A N A G E M E N T

Dr. M.

Adams

THE RETRIEVAL PROCESS Every retrieval exercise begins with an enquiry

(input). The enquiry is subjected to the following processes:

Identification of records

Location of relevant records

Removal of relevant records

Charging out of relevant records

The end results of the processing is relevant records (output) which satisfy the enquiry made

I N T R O D U C T I O N T O R E C O R D S M A N A G E M E N T

Dr. M.

Adams

EVALUATION OF THE RETRIEVAL PROCESS

Relevance: is an indication of how appropriate

the output of the retrieval process is satisfying

the information needs of the user requesting for

the record. Pertinence and precision are factors

of relevance.

Retrieval Response Time: it refers to the

time it takes to produce a record from the time

the request is made.

I N T R O D U C T I O N T O R E C O R D S M A N A G E M E N T

Dr. M.

Adams

EVALUATION OF THE RETRIEVAL PROCESS

An increase in the retrieval response time

reduces the efficiency of the retrieval system

Irrelevance or reduction in relevance, pertinent

and precision make the retrieval system

inefficient.

I N T R O D U C T I O N T O R E C O R D S M A N A G E M E N T

Dr. M.

Adams

FACTORS THAT INFLUENCE THE

EFFICIENCY OF A RETRIEVAL SYSTEM The classification system in use

The intellectual control tools in use

The filing and storage methods

The storage equipment in use. (eg. Drawer cabinet, open shelves etc.)

I N T R O D U C T I O N T O R E C O R D S M A N A G E M E N T

indexing Cross-referencing

Vertical storage Lateral storage Vertical storage

Dr. M.

Adams

WHEN TO UNDERTAKE CROSS-

REFERENCING When one record can be requested or accessed

in more than one way

When related records are in different locations

When titles of records change

When records have been re-classified

I N T R O D U C T I O N T O R E C O R D S M A N A G E M E N T

Dr. M.

Adams

End Of Slides

I N T R O D U C T I O N T O R E C O R D S M A N A G E M E N T