INFS 331

RECORDS MANAGEMENT

Session 4 – Conditions for Establishing a Record Management System

Lecturer: Dr. Musah Adams,

Department of Information Studies
Contact Information: madams@ug.edu.gh

College of Education
School of Continuing and Distance Education
2014/2015 – 2016/2017
 Session Objectives
After completing this Session, the student should be able to:
• Identify conditions that necessitate the need for a new
records management system.
• Explain the first two stages in setting up a record keeping
system which are;
a) Defining the project
b) Data collection
• Outline the various methods for collecting data

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 Session Outline
This session has been divided into four sub topics
The key topics to be covered in the session are as follows:
• Topic One : Identifying the problem
• Topic Two : Defining the Project
• Topic Three : Data Collection for the Project
• Topic Four : The Survey methodology

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 Reading List
• Cox, R.J. (2001). Managing records as evidence and
information. West Port: Quorum Books.
• Franks, C. (2013) Records and information
management. London facet Publishing
• Shepherd, E. and Yeo, G. (2005). Managing records.
London: Facet Publishing.

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 Topic One

IDENTIFYING THE PROBLEM

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 Identifying the problem
• Before tackling any project or programme it is
necessary to understand what tasks lie ahead. In
setting up or establishing an effective records
management system there is the need to first
identify the problem.
• Generally, there are four situations which may lead
to the establishment of new record keeping systems.
These are the following:

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Situations that lead to the establishment of
a new record keeping system
• When a record keeping system has collapsed

• When elements of a record keeping system are not

meeting information requirements

• When a new agency is created or an existing agency

is restructured

• when electronic systems are introduced

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 Situations that lead to the establishment of
a new record keeping system.
• When a record keeping system has collapsed
In this case, an institution may have a records
management system that may have ceased to function
effectively or does not function at all. In this situation,
the records management may have collapsed and only
a restructuring of the system can make it functional
again.

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 Situations that lead to the establishment
of a new record keeping system. Cont..
• When elements of a record keeping system are not
meeting information requirements
An institution’s records management system may be
functioning but certain elements may not be functioning
well. For example, retrieval may be slow even though
the records are available. A backlog may have
developed because the appraisal and disposal of
records is not functioning effectively. A restructuring of
the records management system to identify the lapses
and find solutions to them may be necessary.
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 Situations that lead to the establishment of
a new record keeping system. Cont..
• When a new agency is created or an existing
agency is restructured.
In a country where there is rapid growth, new agencies
may be created or existing ones expanded, being given
more functions. If the existing records management
system is not considered before or during the creation of
the new agency or the expansion programme, the system
may be inadequate to meet the needs of the new
agency. This may necessitate a restructuring of the
records system.
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Situations that lead to the establishment of
a new record keeping system. Cont..
• When electronic systems are introduced
In an institution where a manual records management
system is practiced, an introduction of an automated
system will lead to a restructuring of the existing system
for it to be effective. This is because the two systems
(manual and electronic) will have to run side by side
initially before full automation.

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 Topic Two

DEFINING THE PROJECT

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 Defining the Project
In the first phase, the terms of reference for the
restructuring exercise have to be defined, agreed to and
organizational arrangement put in place. This may include;
• The scope of the exercise and what it will involve
• Who is responsible for each activity
• The expected outcomes of the exercise
• The time scale of the project
• Cost to be incurred

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 Defining the Project. Cont..

In carrying out such a project it is very important that the

management of the institution where the exercise is
taking place is involved. This is achieved through a
meeting between the head of the records and archives
department (eg. PRAAD) and the head of the public
institution (MDAs) to ensure that the institution is fully
committed to the restructuring exercise.

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 Defining the Project. Cont..
• The records or archives institution appoints a
restructuring team and a team leader
• The head of the public institution appoints a facilitator
to act as a mediator throughout the exercise
• The team leader draws up a schedule of activities. The
schedule should take account of staff leave, agency
activities, and public holidays. This should be
communicated to the facilitator to agree on regular
meeting times throughout the exercise

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 Topic Three

DATA COLLECTION FOR THE

PROJECT

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 Data Collection
a)Collecting background information
This information include ;
• The history of the agency since its establishment
• The institution’s organizational chart to know the size,
spread, functions and flow of information
• Job specifications and descriptions
• Key contacts of senior level staff conversant with policies
and procedures
• Location of records offices and storage areas

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 Data Collection. Cont..
b) Record survey (records audit)
gathering information about when records were created
and received by the agency to ascertain what records
exist within the institution, locate them and understand
how the records were created and accumulated.
The survey must be carried out systematically to ensure
that each office and storage area is fully covered.

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Topic Four

THE SURVEY METHODOLOGY

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 The survey methodology
The information required is obtained by using the
following methods, documentary sources; interviewing,
questionnaires and observation.
The choice of methodology is guided by factors such
as the size of the agency, the quantity and condition
of existing records, the capabilities and willingness of
the staff to co-operate and the extent and complexity
of the problems to be solved.

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 The survey methodology. Cont..
Documentary sources
Documentary sources such as records office statistics (if
available) can form the initial basis for data collection.
Some of the documentary sources are annual reports,
organizational charts, strategic plans, (corporate plans,
business plans) and media releases regarding the
establishment of the institution; policies and procedures

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 The survey methodology. Cont..
Questionnaires
Questionnaires should be addressed to all units within an
institution, (including the offices of ministers and senior
officers) in the case of public institutions. A copy of the
directive authorizing the records survey should
accompany the questionnaires and it should indicate
clearly to whom the questionnaire should be returned to
and by what date.
• More difficult and complex questions can be
addressed through observation and interview.

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 The survey methodology. Cont..
Interview and Observation
It is advisable to follow up the questionnaire with
interviews and observation or inspection. This follow up
will both verify and supplement the information
gathered through the questionnaire. The interview can
be carried out in two phases – the first by the team
leader with senior personnel and the second by team
members with action officers and records office staff.
• In practice, a useful approach is to combine a
questionnaire with observation and interview.

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 Sample Questions for Consideration

• Outline the four situations that lead to the

establishment of a new records centre.
• What are the main activities carried out during the
establishment of a new records centre?
• What survey methodologies are used to collect data
for the exercise?

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 References
• Cox, R.J. (2001). Managing records as evidence and
information. West Port: Quorum Books.
• Franks, C. (2013) Records and information
management. London facet Publishing
• Shepherd, E. and Yeo, G. (2005). Managing records.
London: Facet Publishing.

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