FUNCTIONS OF RECORDS CENTRE

(CHAPTER 2)

MANAGEMENT OF RECORD CENTRE

(IMD 256)

APPRAISALS AND DISPOSITION OF RECORDS

APPRAISAL- Process to determine the value of the records.

There are 2 basics appraisal categories:

1. Records of a permanence nature to be preserved.2. Records that is disposable.

First is the process of deciding what records need to be kept for their continuing value to their creators and users for the conduct of business, and how long they should be kept.

Second is the process of deciding what records have an enduring value for purposes other than those for which they were created, such as historical research.

Appraisal Involves Two Tasks:

Action taken in due course as a result of appraisal.

Note: Disposal is not synonymous with destruction, though that may be an option.

DISPOSITION

HOW AN ORGANIZATION CAN REMOVE ITS RECORD

1. Store the records for a period of time and destroyed when retention period has expired.

2. Transfer to RC after being kept for a period of time in the department.

3. Transfer to archival unit or archival institution4. Duplicate in microfilm copies and

destroying the original records to save storage space.

5. Immediate destruction of records. 6. Destruction after complying with the retention periods specified in the records disposal schedule.

(An outcome of appraisal is a Disposal schedule.)

Disposal Schedule is a document that contain appraisal decisions and prescribes disposal action. Also known as Retention Schedule.

Is a document that contain appraisal decisions and prescribes disposal action. Also known as Retention Schedule.

These schedule set out instructions for transferring records from the agency records office to the records center.

These schedule also provide instructions for the eventual disposal of the records, either by destruction or by transfer to the archival institution.

DISPOSAL SCHEDULE

1. To ensure destruction process for records without value.

2. Ensure transferring process (Record Transfer) for valuable (Permanent) records to archive and temporary records to RC.

OBJECTIVE OF APPRAISAL AND DISPOSITION

RECORDS APPRAISAL PROCESS

Formation of departmental Committee

Collecting data and information

Appraise the records

Preparation of Records Inventory

Preparation of Retention Schedule

Head of the department/agency appoint:

1. Officer and staff who prepare the records retention schedules (Record Manager and Registry Staff)

2. Head of all divisions within the department eg: Legal and Financial advisor, Archivist (if any)

FORMATION OF DEPARTMENTAL COMMITTEE OF APPRAISAL

It can be done by conducting record survey eg. conducting interview or circulated questionnaire.

The record survey will enable appraisal team to:

• Understand the functions of the agency.

• Identify the various type of records created and used.

• Identify the frequency use of information.

• Identify current, semi current and non current records.

COLLECTING DATA AND INFORMATION

• Identify records management legislation.

• Locate the records and understand how they are used.

• Identify the value of records.

• Prepare records inventory.

• Develop retention/disposal schedules.

From the information gathered by appraisal team, the committee will appraise the records according to the following appraisal criteria:

Primary value : Administrative value

: Fiscal Value

: Legal value

Secondary value : Research value

: Information value

: Evidential value

: Historical /Cultural / National Value.

APPRAISAL OF RECORDS

PREPARATION OF RECORDS INVENTORY

Records Inventory is a list of every records series in a department/agency. It consists of:

• Categories of records

• Contents and values of records

• Total volume of records

• Different format of records

• Retention periods

• The disposal action suggested in records retention schedule must be clearly worded.

• The Committee should suggest the most suitable retention period for every records series that are inventoried.

• The complete retention schedule must be endorsed by the Appraisal Committee, approved and signed by the Director of the department/Agency and then implemented.

PREPARATION OF DISPOSAL SCHEDULE

1. To ensure records of continuing value are retained for as long as they are required.

2. To disposed records appropriately, either by

destruction or transfer to an archival repository, as soon as that value has ended.

THE OBJECTIVE OF APPRAISAL AND DISPOSITION

● Financial Records must be carried out in accordance to the Treasury circular Letter 3rd. November 1993 and General Circular Letter No 1/1997

● Record pertaining of Legal claims are control by the Limitation Act which specifies a minimum period of 6 years where by claims can be made.

THINGS TO NOTE WHEN PREPARING THE RECORDS INVENTORY AND RECORDS

RETENTION/DISPOSAL SCHEDULE:

● Disposition of Public Records must be accordance to the National Archives Act no 44/1966 and government instruction from time to time.

● Disposition of business records must be accordance to the Companies Act, the Evidence Act, Banking and Financial Institution Act, Employees Act and other company internal instructions and procedures.

1. T.R. Schellenberg

Appraisal should refer to primary value and secondary value.

2. Sir Hilary Jekinson

“A manual of Archive Administration, 1966” suggested :

• Appraisal manage by the agency that create the documents.

• Appraisal should refer the operational value of the records.

• Records with historical value should be protected.

FOUNDER OF APPRAISAL OF RECORDS

3. Sir James Grigg

The Public Records Act 1958 suggested to have an appraisal process in 2 stages:

Stage 1 : Appraise records after 5 years of the date of created.

Stage 2 : 2nd appraisal after 25 years

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