RECORDS CLASSIFICATION AND INDEXING SCHEME Presented by Josephine

RECORDS CLASSIFICATION AND INDEXING SCHEME Presented by Josephine Wangutusi

A word on file plan • Records classification and indexing scheme is the most valuable instrument for management of records, both manual and electronic records

1. BACKGROUND WHAT IS RECORDS MANAGEMENT? Records management is an area concerned with systematic planning, controlling and directing the efficient and economical creation, registration, use , maintenance and disposal of records.

OBJECTIVES OF R. M • • • Timely identification and preservation of valuable records Accurate and efficient retrieval of information Economical production and servicing of records Economical preservation and disposal of records Efficient management of registries

THE TERM CLASSIFICATION SCHEME? • Classification of records is a system of grouping and categorizing records in an orderly manner that will allow location and retrieval of the same when needed. • A classification scheme organizes all official files and documents within a filing system into an orderly and systematic manner

Def, Cont…. • • • It is a tool that provides for a system for identification of all official records of an organization and places the records related by function together into a distinctive class. A class denotes a broader function or subject in which there are several distinctive but interrelated activities Records are best classified according to their functions. In other words according to purpose for which they were created.

PURPOSE: WHY CLASSIFY RECORDS? • • • To facilitate the retrieval of records relating to a particular function or activity To facilitate filing of incoming and outgoing mail To facilitate cabinet filing and storage of records To facilitated distribution of records for action To provide linkages between individual records which accumulate to provide a continuous record of activity

Purpose Cont…. • • To assist in naming the files in consistent manner To aid in determining security protection and access appropriate for sets of records To aid in allocating user permission for access to , or action on, particular groups of records To aid in determining appropriate retention periods and disposition actions for records

THE BASIS OF SELECTION OF CLASSIFICATION SCHEME • There are many classification schemes. It is important that a filing classification scheme be designed to match the requirements of the organization that it will serve. Some of the factors to consider when choosing the right filing system are: • The size and complexity of the organization • The function and activities of the organization • The range of the organization’s business • The stability of organizational structure

Basis Cont… • The rate of creation/accumulation of records • Registry system in use • The cost of installing and maintaining the system • The ease or difficulty with which the files and records can be organized into mutually exclusive categories reflecting actual functions and activities • Training requirement to sustain the system • Skills level of records staff that will operate the system

CHOICE OF A SCHEME • The size and complexity of the organization • The functions and activities of the organization • The stability of the organizational structure • The rate of creation/accumulation of records • Registry system in use • The cost of installing and maintaining the system • Training requirement to sustain the system • Skills level of records staff that will operate the system

UON ADOPTED SYSTEM • File plans developed to cater for the following categories of records: Ref: UON/OP/02 • SUBJECT FILES • STAFF FILES • STUDENT FILES • ACCOUNTING DOCUMENTS • PROCUREMENT RECORDS

UON RECORD SERIES • ADMISSION RECORDS • ACADEMIC RECORDS • STUDENT RECORDS • EXAMINATION RECORDS • RESEARCH RECORDS • ADMINISTRATIVE RECORDS

UON RECORD SERIES CONT… • HUMAN RESOURCE MANAGEMENT RECORDS • STAFF FILES • FINANCE RECORDS • AUDIT RECORDS • PROCUREMENT RECORDS • PLANNING RECORDS • FIX ASSET RECORDS (LAND & BUILDINGS)

SERIES CONT… • PUBLICATION AND REPORTS • RECORDS ON CONSTRUCTION & MAINTENANCE • INFORMATION MANAGEMENT RECORDS • RECORDS OF UNIONS, SOCIETIES AND ASSOCIATIONS • RECORDS ON LINKS AND COLLABORATION • RECORDS OF COMMITTEES AND BOARDS

UON CODING SYSTEM (Subject-numeric) – combination of letters and numerals • UON – University of Nairobi • Name of college: CAVS, CHS, CBPS, SWA, CEES or in case of campus KSM, MBS • Name of department/School/Faculty/Institute • Class number • Item/file number

FILE NAMING • Example from Central Administration • (VC, DVC (FP&D) HR&A and administration department • UON/CA/1 – Class on administration record series Note: The units share a common registry

FILE NAMING EXAMPLE UON/CA/3/19 UON – UNIVERSITY OF NAIROBI CA CENTRAL ADMINISTRATION 3 – HUMAN RESOURCE DEVELOPMENT 19 – RECORDS MANAGEMENT TRAINING

OTHER EXAMPLES IN CAMPUSES UON/KSM (DIRECTOR’S OFFICE) UON/KSM/SOB UON/KSM/SOL UON/KSM/ODEL NOTE: ALL THE THREE HAVE OWN REGISTRIES

REQUIREMENTS OF A GOOD SYSTEM SIMPLICITY • The system should be simple. It should indicate to searchers /action officers where documents are filed and to classifiers /registry officers where the documents should be filed.

Requirement cont… PRECISION • It should minimize doubt about where to file papers and it should allow quick identification and retrieval of files. • It should allow insertion of new headings to take care of records resulting from new activities and divisions of old main headings as records relating to activities become more voluminous and complicated • It should cover all the files that need to be included

SUPPORT OF BUSINESS ACTIVITIES • A file classification system should support business or organizational requirements • It should suit the organization it serves and support decision making and the activities of the organization. • It should be cost effective and provide the best, easiest and simple solution

AUTOMATION • A file classification system should be easily automated • It should be capable of some form of useful automation, regardless of whether automation is planned, such as for word processing, computerized indexing, data base management or computerized record keeping system

ANOTHER EXAMPLE : UON/CHS/GEO/6/4 • UON – ABBREVIATION FOR UNIVERSITY OF NAIROBI • CHS - ABBREVIATION FOR COLLEGE OF HEALTH SCIENCES • GEO – ABBREVIATION FOR GEOLOGY DEPARTMENT • 6 – STANDS FOR CLASS OF PERSONNEL • 4 - STANDS FOR ITEM ON STAFF LEAVE • VERDICT: GOOD, IT HAS BEEN ADOPTED IN THE UON SYSTEM

ANOTHER EXAMPLE: UON/CHS/DOS/1/5 • • UON - STANDS FOR UNIVERSITY OF NAIROBI • Verdict: has already been adopted in the uon system CHS - STANDS FOR COLEGE OF HEALTH SCIENCES DOS - STANDS FOR DEPARTMENT OF ORTHOPEDIC SURGERY 1 - STANDS FOR ITEM NUMBER ( The fifth file in class of examination. ) could b setting of exams or marked exams)

NOTE • All mail generated within the University bear the heading – University of Nairobi, bears the name of the division or college and bears the name of the department or unit, • There is no point repeating every thing.

RECOMMENDATION: • Duplex numeric system/subject-numeric • UON/CHSS/3/1 • Abbreviate university of Nairobi • Abbreviate college name • Adopt class number • Adopt item/file number

CONCLUSION • Records classification is not a matter of theory, it has to be practical. • Participants to form groups based on existing units and come up with class inventory. An assignment for 30 minutes. • Thank you for your attention, !!!!!!!