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Records Inventory And Appraisal
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Records Inventory And Appraisal

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Part 2 in the series of lectures on Effective Records Management presented on Aug1 & 8, 2009

Part 2 in the series of lectures on Effective Records Management presented on Aug1 & 8, 2009

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Records Inventory And Appraisal Records Inventory And Appraisal Presentation Transcript

  • 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
  • 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
  • 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
  • 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.
  • decide on type of 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
  • 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?
  • 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
  • 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
  • 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
  • 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)
  • Record groups
    • 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
  • 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
  • Contact fe.verzosa@dlsu.edu.ph Questions?