Records Inventory & Appraisal

Where do I start?

Get to know your records Doing a records inventory will help you determine: Who has records What are the records Where are the records Why are those records there How to manage those records

Doing a records inventory will help you determine:

Who has records

What are the records

Where are the records

Why are those records there

How to manage those records

Do a data map Knowing where and what your data is is just as important as where your file cabinets are and what they contain Will reduce your costs in disclosure and discovery

Knowing where and what your data is is just as important as where your file cabinets are and what they contain

Will reduce your costs in disclosure and discovery

Records Inventory issue the pre-survey memo decide on the type of survey prepare forms to be used schedule the survey do the survey compile survey results evaluate & report

issue the pre-survey memo

decide on the type of survey

prepare forms to be used

schedule the survey

do the survey

compile survey results

evaluate & report

Records Inventory… issue the pre-survey memo To : All Employees Fr : Management Our institution has a serious filing and recordkeeping problem, and we have begun to take steps to find a solution. Beginning May of this year, a records inventory team will conduct a survey of all files, including computer records. Please give them all of your assistance. We apologize for the inconvenience but we are certain that the resulting improvements will benefit us all. Thank you.

To : All Employees

Fr : Management

Our institution has a serious filing and recordkeeping problem, and we have begun to take steps to find a solution. Beginning May of this year, a records inventory team will conduct a survey of all files, including computer records. Please give them all of your assistance.

We apologize for the inconvenience but we are certain that the resulting improvements will benefit us all. Thank you.

decide on type of survey questionnaire committee physical survey

questionnaire

committee

physical survey

design the survey form provenance type of record age (dates) volume storage media or equipment used filing system legal/audit requirements problems

provenance

type of record

age (dates)

volume

storage media or

equipment used

filing system

legal/audit requirements

problems

evaluate & report what useless records should be destroyed? what inactive records should be stored? what records are insufficiently protected? what records have archival value? what filing systems need improvement? what duplication can be eliminated? what records can be consolidated? what filing equipment should be used?

what useless records should be destroyed?

what inactive records should be stored?

what records are insufficiently protected?

what records have archival value?

what filing systems need improvement?

what duplication can be eliminated?

what records can be consolidated?

what filing equipment should be used?

Records Appraisal …the act of determining the worth of records to their creator or user in terms of use: primary or secondary in terms of content: evidential informational categories: administrative value fiscal value legal value historical/research value intrinsic value

in terms of use: primary or secondary

in terms of content: evidential informational

categories: administrative value fiscal value legal value historical/research value intrinsic value

Record Types based on Value… Evidentiary – documents activities of individual or group or agency Informational – contains information about individual, group, or subject Intrinsic – document has intrinsic value for cultural, historical, or monetary reasons

Evidentiary – documents activities of individual or group or agency

Informational – contains information about individual, group, or subject

Intrinsic – document has intrinsic value for cultural, historical, or monetary reasons

Records with evidential values organizational charts annual reports directives/policy memos official histories correspondence audit/inspection reports legal opinions/decisions handbooks and manuals minutes of meetings

organizational charts

annual reports

directives/policy memos

official histories

correspondence

audit/inspection reports

legal opinions/decisions

handbooks and manuals

minutes of meetings

When Value Ends… Intrinsic Value – typically has no end date, value does not expire with time Informational Value – end date dependent on subject being described (information may be obsolete, updated, altered, or revised Evidentiary Value – end date dependent on the activity being documented (expires with time)

Intrinsic Value – typically has no end date, value does not expire with time

Informational Value – end date dependent on subject being described (information may be obsolete, updated, altered, or revised

Evidentiary Value – end date dependent on the activity being documented (expires with time)

Record groups general correspondence transitory correspondence case files references audiovisual materials cartographic records engineering drawings cards machine-readable records microforms

general correspondence

transitory correspondence

case files

references

audiovisual materials

cartographic records

engineering drawings

cards

machine-readable records

microforms

Other record groups Administrative records academic records accounting/financial records legal records personnel records personal records “ convenience” copies

Administrative records

academic records

accounting/financial records

legal records

personnel records

personal records

“ convenience” copies

Exercise Make a quick survey of the records you are handling, and prepare a list using the suggested form: Provenance or office of origin type of record age (inclusive dates) volume (in linear feet, or no. of folders) storage media or equipment used filing system (alpha, numeric, subject, etc) legal/audit requirements Problems/concerns

Make a quick survey of the records you are handling, and prepare a list using the suggested form:

Provenance or office of origin

type of record

age (inclusive dates)

volume (in linear feet, or no. of folders)

storage media or equipment used

filing system (alpha, numeric, subject, etc)

legal/audit requirements

Problems/concerns

Contact fe.verzosa@dlsu.edu.ph Questions?