PROCESSING AND CONTROL OF RECORDS

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Avice Floyd
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1 TOPIC FOUR PROCESSING AND CONTROL OF RECORDS

2 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

3 IMPORTANCE OF CLASSIFICATION Easy Identification of records Assignment of specific locations to records Facilitation of retrieval

4 Numeric TYPES OF CLASSIFICATION SYSTEM Alphabetic Alphanumeric

5 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.

6 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

7 ALPHABETIC CLASSIFICATION SYSTEM It groups records alphabetically by letters, words and unit. Records are arranged by name, subject and geographical location.

8 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

9 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

10 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.

11 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

12 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

13 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)

14 TYPES OF STORAGE EQUIPMENT Manual storage equipment Mechanized storage equipment Automated storage equipment

15 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

16 MECHANIZED STORAGE EQUIPMENT These are storage equipment whose functions are aided by mechanical means. Examples include Mobile shelves Rotary units Conveyor belts

17 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.)

18 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.

19 TYPES OF RETRIEVAL SYSTEM The manual retrieval system The mechanical retrieval system The automated retrieval system

20 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

21 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.

22 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.

Cross-referencing The filing and storage methods Vertical storage Lateral

23 FACTORS THAT INFLUENCE THE EFFICIENCY OF A RETRIEVAL SYSTEM The classification system in use The intellectual control tools in use indexing Cross-referencing The filing and storage methods Vertical storage Lateral storage Vertical storage The storage equipment in use. (eg. Drawer cabinet, open shelves etc.)

24 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

25 End Of Slides

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