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Records Management
 

Records Management

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Part 1 of a Training Course on Establishing An Institutional Records Management and Archival Collection Development Program for RVM Schools (held at the RVM Regional House, Singalong, Paco, Manila on ...

Part 1 of a Training Course on Establishing An Institutional Records Management and Archival Collection Development Program for RVM Schools (held at the RVM Regional House, Singalong, Paco, Manila on 2002 Dec. 11-2 , at the RVM Regional House, Cebu on 2003 Jan. 24-25, at the RVM Regional House, Davao City on 2003 Feb. 28-March 1, and at the RVM Regional House, Cagayan de Oro City. on 2003 March 7-8

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    Records Management Records Management Presentation Transcript

    • RECORDS MANAGEMENT
      • by Fe Angela M. Verzosa
    • Why need an integrated approach to records management ?
      • Lack of uniform classification and filing system
      • lack of systematic and orderly transfer of inactive records
      • lack of standardization and control to the creation of forms and directives
      • loss or misfiling of records
      • lack of storage space and filing equipment
    • Goals of a records management program
      • create only necessary records for efficient and successful operation of the office/institution.
      • produce the records when needed.
      • retain/preserve only records needed for continued operation of the office/ institution, and dispose what is not needed.
      • RECORD : information captured in reproducible form required for conducting any transaction or activity.
      • RECORDS MANAGEMENT: a logical and practical approach to the creation, maintenance, use and disposition of records.
      • LIFE CYCLE CONCEPT: records pass thru three stages from its creation and active use to its final disposition.
      Definitions
    • LIFE-CYCLE CONCEPT
    • FUNCTIONS
      • RECORDS CREATION recording of information on paper, print, tape or any transmitting medium
      • RECORDS MAINTENANCE producing the records when needed
      • RECORDS DISPOSITION determining the ultimate fate of the records
    • CRITERIA in creating records
      • is it necessary?
      • what constitutes adequate documentation?
      • is it desirable to have it in
      • a consistent format ?
      • what is its future life ?
      • what is the best way to store and retrieve it?
    • Records creation
      • CORRESPONDENCE MANAGEMENT
      • REPORTS CONTROL
      • FORMS ANALYSIS AND DESIGN
      • DIRECTIVES MANAGEMENT
    • Records maintenance
      • adoption of a files plan
      • choice of equipment/supplies
      • mail management
      • files management filing procedures cross-referencing releasing checking sorting
    • Records disposition
      • inventorying
      • appraising
      • scheduling
      • retiring disposal policies transfer guidelines archival procedures
    • Personnel involved
      • Creator/originator
      • user/processor
      • office clerk
      • records clerk
    • Appraisal 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
    • Records with evidential values
      • organizational charts
      • annual reports
      • directives/policy memos
      • official histories
      • correspondence
      • accreditation records
      • legal opinions/decisions
      • handbooks and manuals
      • minutes of meetings
    • 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
    • basic categories
      • Active
      • inactive
      • dead
    • University/college Filing system
      • Institutional records
      • administrative records
      • academic dept records
      • faculty records
      • student/alumni records
      • school publications
      • theses and dissertations
      • memorabilia
    • Files management - ensures control at the file level
      • Filing involves
      • Arranging records according to a simple, logical system
      • Placing records in a storage container in correct sequence
      • Retrieving the records so that they can be used
    • Filing systems
      • provide only the
      • mechanical structure
      • for arranging records.
      • inadequacies of filing stem
      • from human failing, not
      • system failure.
      • most suitable system should
      • be applied to a particular
      • type of record, uniformly.
    • Filing systems CRITERIA of a good filing system
      • Simplicity
      • Flexibility / Expansibility
      • Adaptibility
    • Filing methods
      • numerical
      • alphabetic
      • functional
      • geographic
      • form
      • chronologic
      • determining the length of time that the records should remain in the originating office
      • usually influenced by such factors as their administrative values to the creator
      • as a general rule, records are to remain in the originating office as long as they are active
      • records that are inactive should remain in a storage facility; while records with no archival value should be disposed of
      • records with archival values should be transferred to the archives
      Retention scheduling
    • Suggested Retention Periods
      • Keep permanently and preserve.
      • Keep permanently (transfer to Archives at intervals of 5 years)
      • Keep for 10 years, then destroy.
      • Keep for 5 years, then destroy.
      • Keep for two years, then destroy.
      • Review at intervals, keeping only those with continuing value.
    • Keep permanently and preserve.
      • annual reports
      • minutes of meetings
      • papers relating to policies & decisions, development plans, budget approvals, etc.)
      • property/investment records
      • contracts/agreements
      • personnel records (201 files)
    • Keep permanently and transfer to Archives
      • accreditation records
      • employment contracts
      • ledgers (summaries of receipts and disbursements)
      • audit reports
      • building maintenance and operations files (including plans, blueprints, cost records)
    • Keep permanently and transfer to Archives
      • Students’ transcripts of records (inactive)
      • reports / plans (including working papers)
      • projects (proposals, progress reports, etc)
      • government permits
      • court records/decisions
      • photo/clippings files
      • publications
    • Keep for ten years, then destroy.
      • budget records and ledgers (including vouchers, requisitions, cancelled checks, payroll records, deduction registers, etc.)
      • building maintenance inventories
      • purchase orders, requisitions, invoices for major items
      • accounts (audited after 5 years)
    • Keep for five years, then destroy.
      • purchase orders, requisitions, etc.
      • payroll transactions
      • credit investigation reports
      • job evaluation reports
      • school calendars
      • price lists/maps/brochures/flyers
    • Keep for two years, then destroy.
      • acknowledgements
      • application records
      • attendance / job performance reports
      • duplicate/multiple copies of minutes, reports, plans, printed material (catalogs, brochures), etc.
      • survey questionnaires
      • unused forms
    • Subject to Regular Review/Appraisal
      • correspondence and other papers (review every five years, keeping/ transferring to Archives those with continuing value)
      • accreditation records/government permits
      • projects/program proposals
      • student files (correspondence, etc.)
      • student accounts
    • Records for disposal
      • drafts
      • routine transmittals
      • acknowledgments
      • specific financial transactions
      • requests/replies to questionnaires
      • blank/unused forms
      • multiple copies
    • VITAL RECORDS
      • records needed for continued operation
      • records with long retention periods
      • irreplaceable records
      • records where no other copies are available
      • records of historical/ permanent value
    • METHODS OF PROTECTION
      • built-in dispersal
      • duplication
      • microfilming/microfiching
      • vaulting
      • digitization
    • A good records system:
      • contains complete and comprehensive files thereby enabling effective decision making;
      • provides integrity and continuity regardless of changes in personnel;
      • facilitates protection and preservation of records;
      • provides low cost and efficient maintenance of records;
      • reduces the possibility of misfiling and duplication; and
      • means less time spent searching for files and documents.
    • Summary
      • The ultimate test of a good records management program is whether the records are available to those who need them, when and where they are needed ( effectiveness) , the manner in which they are made available ( efficiency ) , and at what cost ( economy ) .