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Records management is a vital function within Library and Information Management, ensuring that information assets are organized, accessible, and preserved for future use. Updating the record-keeping system involves the systematic filing of new records, grouping related documents, and maintaining policies that govern these processes. In Kenya, where libraries and information centres serve diverse user communities from county offices to universities, efficient filing systems improve service delivery and compliance with national standards such as the Kenya National Archives and Documentation Service guidelines.
Filing new records systematically is fundamental to maintaining an organized information repository. It involves categorizing documents according to a consistent scheme, grouping related records to facilitate retrieval, and adhering to policies that standardize the filing process across the institution. Kenyan public libraries, for example, rely on precise filing methods to support research and administrative functions, enabling quick access to historical records and current information alike.
The procedure for filing records requires a structured approach to ensure records are stored logically and retrievably. This process begins with the identification of the type and category of the record, followed by its preparation for filing, actual placement in the filing system, and continuous monitoring.
Identifying the nature and importance of each record is essential before filing. Records are classified based on subject matter, date, origin, or function. For instance, in a university library, academic research papers might be grouped by faculty and year, while administrative records are classified by department and date.
Once classified, records require preparation, which includes sorting, labeling, and ensuring they are complete and legible. Preparation also involves removing duplicates or obsolete documents to maintain the integrity of the filing system. At a county government records office, this step ensures that only valid documents enter the filing system, reducing clutter.
Filing involves placing the prepared records into appropriate folders, files, or digital systems. The process follows the chosen filing method, whether alphabetical, numerical, or subject-based. For example, a hospital records department files patient records alphabetically by surname to facilitate quick access during emergencies.
After filing, continuous monitoring ensures records are not misplaced or damaged. This includes periodic audits and updates, especially for active files in frequent use. In a SACCO office, regular checks prevent misfiling of member loan documents, ensuring efficient service delivery.
A filing records policy sets the framework that governs how records are handled, stored, and accessed. It ensures consistency, security, and compliance with legal and institutional requirements. In Kenyan libraries and information centres, such policies align with national regulations like the Data Protection Act and standards set by the Kenya National Archives.
The primary purpose is to standardize filing procedures across the organization, ensuring all staff follow uniform practices. This consistency reduces errors and enhances the reliability of the records system, which is critical in environments like universities where academic integrity depends on accurate document management.
Policies define who can access certain records and under what circumstances. Confidential records, such as personnel files in a county government office, require restricted access to protect privacy and comply with data protection laws.
The policy outlines how long records should be retained and the proper methods for disposal when they become obsolete. For example, financial records of a cooperative society must be kept for a minimum period as stipulated by the Kenya Revenue Authority before secure destruction.
Filing policies ensure adherence to national laws and international standards, preventing legal liabilities. Libraries under the Kenya Library Services Act must maintain records that support accountability and transparency in service delivery.
Choosing the appropriate filing method is crucial for efficient record retrieval and management. Various methods exist, each suited to different types of records and organizational needs.
This method organizes records based on names, titles, or subjects in alphabetical order. It is widely used in libraries for cataloguing authors or subjects, enabling users to locate materials quickly by known terms.
Records are assigned numbers, either sequential or by category, facilitating easy indexing. Hospitals often use this method for patient files, where a unique number corresponds to each patient, reducing the chance of misfiling due to similar names.
Files are grouped according to subject categories or topics. This approach is common in information centres where documents relate to specific themes, such as agricultural extension materials grouped under crop production, livestock, and soil management.
Records are arranged by date, useful for legal documents, contracts, or correspondence where tracking timelines is essential. For example, a county government office files procurement contracts chronologically to monitor expiry and renewal dates.
This method organizes records based on location or jurisdiction, suitable for organizations managing regional data. A national cooperative society might file records by county to streamline regional reporting and service delivery.
Filing equipment supports the physical organization and preservation of records, ensuring accessibility and protection against damage. The choice of equipment depends on the volume and type of records managed by the institution.
| Name | Specification | Use |
|---|---|---|
| Filing Cabinets | Metal or wooden with lockable drawers | Secure storage of paper files |
| File Folders | Durable manila or plastic folders | Grouping and protecting individual records |
| Label Makers | Electronic or manual label printers | Creating clear, consistent labels for easy identification |
| Shelving Units | Adjustable metal or wooden shelves | Storing boxes or files in an organized manner |
| Digital Scanners | High-resolution, flatbed or sheet-fed | Converting paper records to digital format |
| Box Files | Strong cardboard or plastic with lever arch or spring clip | Holding loose papers and bulky files upright on shelves |
| Registers | Bound books with ruled columns and numbered pages | Recording files opened, received or issued |
| Date Stamp | Handheld or self-inking stamp with adjustable date | Marking the date of receipt or filing |
A box file is a rigid container with a spine label and a lid or clamp, used to hold loose papers, brochures and bulky documents upright on a shelf. It protects records from dust and bending, and is suited to materials that do not fit well in a folder. Example: the accounts office of a Kericho tea factory keeps supplier invoices for each quarter in a labelled box file.
Cabinets are lockable pieces of furniture with drawers or doors for storing files securely, usually made of steel or wood. They protect records from theft, dust, fire and pests and keep files in their filing order. Example: the personnel registry of a Nakuru county hospital stores staff files in lockable four-drawer steel cabinets.
A register is a bound book or electronic list in which files and records are entered in order, so that their existence, location and movement are known. It provides a permanent index to the filing system. Example: the registry of a Machakos secondary school keeps a file register listing each file's number, title, date opened and location.
A folder is a sheet of stiff paper or plastic, folded to hold documents and carry a tab with the file title or number. It is the basic unit in which individual records are grouped and protected. Example: the credit section of a Kisumu SACCO keeps each member's loan application, guarantee forms and correspondence in one manila folder.
A date stamp is a hand tool that prints the date on a document, usually with adjustable numbers and an ink pad. It shows when a record was received, filed or acted on, which is important for tracking time limits and proving the sequence of events. Example: the registry of a county land office stamps every incoming application on the day it arrives, which fixes the start of the processing period.
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Create a free accountThis chapter focused on the processes involved in updating a record keeping system, starting with the filing of new records and the grouping of related documents. It outlined the procedure for filing records, emphasizing the importance of discussions and adherence to filing policies to maintain an organized system. Various methods of filing were assessed alongside the essential equipment required to manage records effectively. The chapter then covered the assignment of labels, which is critical for easy retrieval and identification of records. Compiling a disposal list was discussed in the context of updating the record keeping system, including the definition of what a record keeping system entails and the criteria used to select an appropriate system. Setting up a record keeping system was also addressed, highlighting the necessary steps to ensure functionality. Finally, the chapter examined the security aspects of record keeping systems, detailing the categories of hazards that can threaten records and the methods used to protect them from unauthorized access or damage.
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