RECORDS MANAGEMENT by Fe Angela M. Verzosa

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

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.

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

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.

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

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?

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

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

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

inventorying

appraising

scheduling

retiring disposal policies transfer guidelines archival procedures

Personnel involved Creator/originator user/processor office clerk records clerk

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

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

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

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

basic categories Active inactive dead

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

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 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.

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

Simplicity

Flexibility / Expansibility

Adaptibility

Filing methods numerical alphabetic functional geographic form chronologic

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

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

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.

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)

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)

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

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)

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

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

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

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

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

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

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.

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 ) .

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 ) .