By the end of this chapter, you will be able to:
Mastering this skill helps you keep important information safe and accessible, which is essential for smooth and efficient work in any trade.
Records management is a core responsibility for Library and Information Management professionals in Kenya, ensuring that documents and data are systematically organized and accessible. Updating the record keeping system involves filing new records accurately, following established procedures and policies, and using appropriate methods and equipment. This chapter focuses on the practical and policy aspects of filing new records within libraries, archives, and information centers, highlighting best practices that enhance retrieval efficiency and information security.
Filing new records is a critical stage in maintaining an effective records management system in Kenyan libraries and information centers. Proper filing ensures that newly created or received documents are systematically stored for easy access, reference, and preservation. This process must align with organizational policies and utilize suitable methods and equipment to support the integrity and confidentiality of the records.
The procedure for filing records in library and information management must be systematic, standardized, and consistently followed to maintain order and ease of retrieval. Filing involves several key steps that transform raw documents into well-organized records within the filing system.
The first step is to receive new records from various sources such as acquisition departments, users, or external agencies. Records are then sorted according to their type, date, subject, or classification scheme applied by the institution. For instance, at a county government library, documents may be sorted into categories like procurement, correspondence, or reports before filing.
Classifying involves assigning records to categories based on a classification system such as the Dewey Decimal Classification or a customized scheme suitable for the organization. Indexing creates a reference point for each record, often through a unique identifier or code, to facilitate easy retrieval. For example, a university library might use accession numbers combined with subject codes for indexing.
Once classified, files must be labeled clearly with relevant information such as title, date, and classification number. Coding may include alphanumeric identifiers that correspond to the filing system, enabling quick location by staff. In a SACCO office library, labels might include member account numbers and document types to ensure precise filing.
The actual placement of physical documents into designated folders, cabinets, or shelves follows labeling. Care must be taken to file records in the correct order, whether alphabetical, numerical, or chronological. At a hospital library, patient records are typically filed by patient ID numbers and date of visit to facilitate clinical follow-up.
To maintain accountability and track the location of files, a filing register or record log is updated with details of the filed documents. This may be manual or computerized, depending on the system used. For example, a county government records office may update both a physical logbook and a digital database to record the filing of official correspondence.
A filing records policy provides the framework that guides consistent and secure management of records in libraries and information centers. It ensures compliance with legal requirements and institutional standards, supporting the integrity and confidentiality of information.
The policy defines the objectives of filing, such as ensuring accessibility, protecting records from loss or damage, and facilitating efficient information retrieval. For instance, a national archive sets filing policies to preserve historical documents while enabling researchers to access them responsibly.
This section outlines which types of records and departments the policy covers, specifying whether it applies to physical, electronic, or both types of records. For example, a university library policy might include digital theses and physical books, detailing different handling procedures for each.
The policy prescribes filing methods, classification schemes, and retention periods for different record categories based on legal and operational needs. A banking institution’s records policy may require retention of loan documents for a minimum of seven years according to regulatory standards.
It stipulates controls to protect sensitive information, including access restrictions, secure storage, and procedures for handling confidential records. In a hospital library, patient medical records are filed with strict confidentiality and limited access to authorized personnel only.
The policy mandates periodic audits and reviews to ensure filing practices adhere to standards and adapt to changes such as new regulations or technologies. For example, a county government records office might conduct annual compliance checks and update policies accordingly.
Selecting the appropriate filing method is essential to optimize record retrieval and space utilization. Various methods suit different types of records and organizational needs in Kenyan information centers.
This method organizes files based on names or titles in alphabetical order, suitable for records like correspondence and personnel files. For example, a school library may file student records alphabetically by surname to facilitate quick access.
Files are arranged according to assigned numbers, often used for large volumes of records requiring precise tracking, such as membership or account files. A SACCO library might use member numbers to file loan application documents numerically.
Records are grouped by subject matter or topic, ideal for collections like research papers or policy documents. A university research library may file reports on agriculture under a specific subject heading to support thematic retrieval.
Documents are filed by date, supporting activities like financial recordkeeping or meeting minutes. At a county government office, correspondence could be filed by date received to maintain a timeline of communications.
This method arranges records according to location or region, useful for organizations dealing with regional data. For example, a cooperative’s records might be filed by branch location to streamline access to local member information.
Efficient filing depends on the use of appropriate equipment designed to protect and organize records while facilitating access.
| Name | Specification | Use |
|---|---|---|
| Filing Cabinet | Steel or wood, lockable, multiple drawers | Secure storage of physical files |
| File Folders | Cardboard or plastic, various sizes | Organizing documents within cabinets |
| Label Maker | Thermal printing, portable | Creating clear, durable file labels |
| Shelving Units | Adjustable metal or wooden shelves | Storing bulky files and boxes |
| Computerized Filing System | Software with database management | Managing electronic records |
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Create a free accountThis chapter explored the process of updating a record keeping system, beginning with the filing of new records where proper procedures, policies, methods, and necessary equipment were examined to ensure effective organization and easy retrieval. It then covered the importance of assigning accurate labels to records, which facilitates quick identification and management. The compilation of a disposal list was discussed as a critical step in maintaining an updated record system, including the criteria for selecting records to retain or discard and the steps involved in setting up an efficient record keeping system. Further, the chapter examined the meaning and significance of a record keeping system, highlighting how it supports organizational operations. Attention was given to updating the record keeping system regularly to reflect changes and maintain accuracy. Finally, the chapter addressed the security of record keeping systems by identifying various categories of hazards and exploring methods to safeguard records from unauthorized access or damage.
Type: Individual
| Tools & Equipment | Materials |
|---|---|
| Permanent markers | File folders |
| Pair of scissors | Manila papers |
| Ruler | A4 Black book (record log) |
| Masking tape | Dust coat |
| Pens / pencils |
| S/N | Item | Quantity |
|---|---|---|
| 1 | File folders | 5 Pcs per Candidate |
| 2 | Permanent markers | 1 Pc per Candidate |
| 3 | Manila papers | 3 Sheets per Candidate |
| 4 | Pair of scissors | 1 Pc per Candidate |
| 5 | Ruler | 1 Pc per Candidate |
| 6 | Masking tape | 1 Roll per Candidate |
| 7 | Pens / pencils | 2 Pcs per Candidate |
| 8 | Dust coat | 1 Pc per Candidate |
| 9 | A4 Black book (record log) | 1 Pc per Candidate |
| 10 | Working table | 1 Pc per Candidate |
| Items to be Evaluated | Marks Available | Marks Obtained | Comments |
|---|---|---|---|
| TASK 1: Preparation and PPE | |||
| Donned dust coat before handling records (Award 1 mark for correct PPE use) | 1 | ||
| Arranged working table for filing activity (Award 1 mark for neat and organized workspace) | 1 | ||
| Checked all tools and materials are ready (Award 1 mark for preparedness) | 1 | ||
| Sub-Total | 3 | ||
| TASK 2: Labeling and Sorting | |||
| Labeled each file folder clearly with the correct category using permanent marker (Award 1 mark per correctly labeled folder, max 3) | 3 | ||
| Sorted the 20 records into correct categories before filing (Award 1 mark for each correctly sorted batch, max 3) | 3 | ||
| Prepared manila paper dividers with appropriate labels (Award 2 marks for neat and accurate dividers) | 2 | ||
| Sub-Total | 8 | ||
| TASK 3: Filing Process | |||
| Filed the records sequentially inside the correct folders (Award 1 mark per correctly filed batch, max 4) | 4 | ||
| Used masking tape and scissors to secure any loose documents (Award 2 marks for proper securing of loose papers) | 2 | ||
| Updated the A4 black book record log with file details (Award 1 mark per correct entry, max 3) | 3 | ||
| Sub-Total | 9 | ||
| TASK 4: Finalizing and Tidying | |||
| Ensured all folders are closed and stacked neatly (Award 2 marks for neat final arrangement) | 2 | ||
| Cleaned working area and returned tools to designated places (Award 2 marks for proper housekeeping) | 2 | ||
| Removed dust coat and disposed PPE properly (Award 1 mark for correct PPE removal) | 1 | ||
| Sub-Total | 5 | ||
| PRODUCT CHECKLIST | |||
| File folders correctly labeled with neat handwriting (Award 4 marks for clear and accurate folder labels) | 4 | ||
| All 20 records filed in correct folders without damage or misplacement (Award 6 marks for complete and accurate filing) | 6 | ||
| Record log accurately updated with file details (Award 3 marks for complete and legible log entries) | 3 | ||
| Sub-Total | 13 | ||
| GRAND TOTAL | 38 | ||
Type: Individual
| Tools & Equipment | Materials |
|---|---|
| Permanent markers | File folders |
| Pair of scissors | Manila papers |
| Ruler | A4 Black book (record log book) |
| Pens | Dust coat |
| Masking tape |
| S/N | Item | Quantity |
|---|---|---|
| 1 | File folders | 10 Pcs per Candidate |
| 2 | Manila papers | 3 Sheets per Candidate |
| 3 | Permanent markers | 1 Pc per Candidate |
| 4 | Pair of scissors | 1 Pc per Candidate |
| 5 | Ruler | 1 Pc per Candidate |
| 6 | Masking tape | 1 Roll shared per 5 Candidates |
| 7 | Pens | 2 Pcs per Candidate |
| 8 | A4 Black book (record log book) | 1 Pc per Candidate |
| 9 | Dust coat | 1 Pc per Candidate |
| 10 | Working table | 1 Pc per Candidate |
| 11 | Filing cabinet with labeled shelves | 1 Pc shared per 5 Candidates |
| Items to be Evaluated | Marks Available | Marks Obtained | Comments |
|---|---|---|---|
| TASK 1: Preparation and Labeling | |||
| Donning dust coat before handling records (Award 1 mark for wearing dust coat) | 1 | ||
| Arranged working table and materials neatly (Award 1 mark each for tidy table and organized materials) | 2 | ||
| Measured and cut manila papers correctly for folder inserts (Award 2 marks for correct measurement and neat cutting) | 2 | ||
| Labeled file folders clearly with client names and reference numbers using permanent marker (Award 1 mark per correctly labeled folder, max 3) | 3 | ||
| Prepared masking tape labels and affixed securely on folders (Award 2 marks for neat and secure labeling) | 2 | ||
| Sub-Total | 10 | ||
| TASK 2: Sorting and Filing | |||
| Sorted records in correct order according to alphabetical sequence (Award 3 marks for correct sorting) | 3 | ||
| Inserted records properly into respective labeled folders (Award 3 marks for proper insertion without damage) | 3 | ||
| Filed folders neatly on the designated shelves in the filing cabinet (Award 3 marks for neat and accessible filing) | 3 | ||
| Recorded details of filed records accurately in the A4 Black book (Award 2 marks for complete and accurate log entries) | 2 | ||
| Sub-Total | 11 | ||
| PRODUCT CHECKLIST | |||
| File folders labeled legibly with correct client names and reference numbers (Award 5 marks for correct and clear labeling on all folders) | 5 | ||
| Records sorted alphabetically and filed in correct sequence on shelves 500mm wide by 1200mm high (Award 5 marks for correct sorting and neat filing) | 5 | ||
| A4 Black book record log with complete and accurate entries matching filed records (Award 3 marks for comprehensive and accurate logging) | 3 | ||
| Overall neatness and accessibility of filing cabinet shelves (Award 3 marks for neat and accessible filing arrangement) | 3 | ||
| Sub-Total | 16 | ||
| GRAND TOTAL | 37 | ||
At the start of this chapter we promised you would be able to:
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