Archiving the Registrar’s Records                                              by Fe Angela Verzosa  Annual Convention of ...
Topics • Records Management   basics • Records of enduring   value • Records disposition/   retention • Digitization • Ide...
On the   average,     each  employee spends 3.5  hours per week every     yearsearching for information  they can’t     fi...
What is records management?“ the efficient and systematic control of thecreation, receipt, distribution, use, maintenance,...
Goals of RM• create only necessary records for  efficient and successful operation  of the office/institution.• produce th...
Components of a Records     Management Program• policy and procedure development• records inventory, appraisal, retention,...
CRITERIA                in creating records       • is it necessary?           • what constitutes adequate                ...
Student records – any or all informationcreated or received by the university which document• students academic progress (...
Curriculum records  • relate to the course, not to the student.  • includes records of curriculum structures,    assessmen...
Archiving policy “Each individual institution should decide whether   it wishes to retain core student records   permanent...
It’s not just paper anymore!  Gone forever!  There are electronic records that are  now extinct and gone forever.         ...
Decisions,    decisions…   Apply same  decisions to  retaining  electronic  information as  you would to  the traditional ...
Records disposition• inventorying• appraising• scheduling• retiring       disposal policies   transfer guidelinesarchival ...
Records disposition   • inventorying   • appraising   • scheduling   • retiring           disposal policies      transfer ...
Records disposition • inventorying • appraising • scheduling • retiring       disposal policies    transfer guidelines arc...
Records disposition   • inventorying   • appraising   • scheduling   • retiring        disposal policies      transfer gui...
Disposal policy • Once records are appraised, those records   having no archival value should be destroyed. • However, the...
IF the records are vital…Scan away, and transfer the original documents to a permanent storage  IF the records are archiva...
Digitization – principal reasons• For enhanced access                Not for  to improve services by  facilitating retriev...
Files Equipment     •made of steel     •compact and space-efficient     •allowance for easy extraction &                re...
De La Salle University Archives Theses and CDs on display              Off-site storage facilities                        ...
FACILITIES & EQUIPMENT    FIREPROOFING           ULTRAVIOLET    AIRCONDITIONING        FILTER SCREENS    HUMIDITY CONTROL ...
Finally… the 3 e’s     The ultimate test of a good     records management program     is whether the records are     avail...
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Archiving the registrar's records

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lecture presented at the Annual Convention of the Association of College and University Registrar and Liaison Officers (ACURLO) Region IV-A held at Sol y Viento , Makiling Heights, Pansol, Calamba City on September 13, 2012

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Archiving the registrar's records

  1. 1. Archiving the Registrar’s Records by Fe Angela Verzosa Annual Convention of the Association of College and University Registrars and Liaison Officers (ACURLO) Region IV-A September 13, 2012 Sol y Viento, Makiling Heights, Pansol, Laguna What to expect… • By the end of this presentation, you will have a better understanding of the importance of archiving Records the basics of what to keep, what to discard, and when to do so, and…how to handle the recordsyou keep, and records tobe created in the future. 1
  2. 2. Topics • Records Management basics • Records of enduring value • Records disposition/ retention • Digitization • Ideal storage conditions and practical alternativesThe average worker spends 30% of timesearching for or recreating lost documents. The average organization makes 19 copies of each document. 2
  3. 3. On the average, each employee spends 3.5 hours per week every yearsearching for information they can’t find. How manypeople are in your office? Why do we need a system for managing records?• How many people in your office regularly make use ofrecords?• Is your office clogged up with piles of paper?• As a rule, can you find a document generated two monthsago in less than five minutes? What about a documentgenerated by a colleague?• What would happen in the event of a fire or flood on yourpremises? Does your office have an off-site storage ofimportant records?• Does your office have a back-up system for computer-based records? 3
  4. 4. What is records management?“ the efficient and systematic control of thecreation, receipt, distribution, use, maintenance,storage, and disposal of records” ISO 15489: 20 01 (International Standard for Records Management) It is about knowing… What we have (and what we don’t have) Where it is Who has it and who has access to it What format we have it in How long we need to keep it for RM’s core mission is to provide appropriate and permanent care for records of enduringvalue in order to make them available for use. acquisition/collecting goals arrangement/ description goals service goals preservation goals management goals personnel goals 4
  5. 5. Goals of RM• 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. What are the ingredients for an effective records management? • Files plan – which indicates what is where, and how it is organized. • Retention schedule – which indicates how long to keep what records and what to do with them once the retention period has expired. • Security access schedule - which indicates who has access to what records and conditions of access • Staff involvement – well-trained, professional 5
  6. 6. Components of a Records Management Program• policy and procedure development• records inventory, appraisal, retention, and disposition• inactive files management and control (records center)• management of active files• reprographics, micrographics, digitization• vital records management• training and outreach programs 6
  7. 7. 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? What Registrar’s records to keep?• Transcripts• examination papers [such as compre, including major class tests, etc.]• students’ coursework [including theses, dissertations, project papers, etc.];• minutes, marksheets and other data from Panels and Boards of Examiners;• attendance records and other material relating to student’s engagement with their studies;• course syllabi, descriptions, etc.• academic references;• copies of handbooks and policy manuals 7
  8. 8. Student records – any or all informationcreated or received by the university which document• students academic progress (i.e., courses taken, grades received and formal notations made by the institutional registrar regarding the students progress towards receipt of a degree, theses, awards)• class material in whatever form (e-learning, paper etc.).• administrative processes: medical, career placements, disciplinary, financial, etc.• student’s social life, including (but not limited to) housing, student’s employment at university or student organizations, volunteer jobs, athletics,• governance, organizational activities, social life etc.Source: http://www.library.uiuc.edu/ica-suv/StudentRecordsGuidelines.pdf Registrar’s records of students• records of admission;• registration & enrolment to courses/training modules, etc;• attendance and engagement;• exam scripts and coursework answers;• marks, progression and award outcomes;• records of examiners’ meetings and of the consideration of appeals; and• references or other documents supplied to confirm a student’s achievements. Source: http://www.hope.ac.uk/media/liverpoolhope/contentassets/documents/po liciesandprocedures/media,1046,en.pdf 8
  9. 9. Curriculum records • relate to the course, not to the student. • includes records of curriculum structures, assessment patterns and weightings, progression and award rules, • calendars and examination timetables, • regulations & published regulatory guidance and • any other information about the curriculumSource:http://www.hope.ac.uk/media/liverpoolhope/contentassets/documents/policiesandprocedures/media,1046,en.pdf Personal data in student records • in many cases student records have sensitive data – health, religious and political affiliation, sexual preferences, etc. • also for reason of privacy, access to student records for research purposes should be allowed only after the student’s death. • restriction to access should not, by itself, make an argument for destruction of records.Source: http://www.library.uiuc.edu/ica-suv/StudentRecordsGuidelines.pdf 9
  10. 10. Archiving policy “Each individual institution should decide whether it wishes to retain core student records permanently to support wider academic and personal research. From a purely business point of view the institution need only retain records which allow it to provide a transcript showing when a student attended the institution, what courses they followed while they were there and the grades achieved, the final degree awarded and any academic distinctions achieved.” Source: http://www.hope.ac.uk/media/liverpoolhope/contentassets/documents/po liciesandprocedures/media,1046,en.pdfArchiving policy • Records should be kept at least to fulfill legal requirements and obligations and operational needs of the university. • After legal and operational needs to keep student records have expired, the university should consider appraisal that results in permanent retention of at least part of the student records.Source: http://www.library.uiuc.edu/ica-suv/StudentRecordsGuidelines.pdf 10
  11. 11. It’s not just paper anymore! Gone forever! There are electronic records that are now extinct and gone forever. On the endangered listHow many floppy disks, CD’s, tapes, DVD’s, orother soon to be obsolete media may containrecords of importance that are not wellpreserved and may be unreadable, inaccessible –and gone? 11
  12. 12. Decisions, decisions… Apply same decisions to retaining electronic information as you would to the traditional paper format Also knownRecords disposition as…“Should it stay, or should it go?” 12
  13. 13. Records disposition• inventorying• appraising• scheduling• retiring disposal policies transfer guidelinesarchival procedures Doing a records inventory will help determine:• Who has records• What are these records• Where are these records• Why are those records there• How to manage those records until their value ends 13
  14. 14. Records disposition • inventorying • appraising • scheduling • retiring disposal policies transfer guidelines archival procedures Appraisal policy • Student records should be covered by an appraisal policy indicating the groups of documents to be destroyed at the end of their retention or retained for permanent preservation. • Ideally student records should form part of a general appraisal policy covering all university records and approved by the competent level of university management. • If there is no general appraisal policy, a policy on appraisal of student records should be elaborated and approved by institution having authority over the student records. • Policy should be reflected in retention schedules or similar documents.Source: http://www.library.uiuc.edu/ica-suv/StudentRecordsGuidelines.pdf 14
  15. 15. Records disposition • inventorying • appraising • scheduling • retiring disposal policies transfer guidelines archival procedures 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 but still of value 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 Fe Angela M. Verzosa 30 15
  16. 16. Records disposition • inventorying • appraising • scheduling • retiring disposal policies transfer guidelines archival procedures Records Disposition• Disposal happens when the minimum retention period has been met• Can be destruction or transfer to an Archives• Can only be done in accordance with your approved records retention schedules• Does not require pre-approval for disposition with a retention schedule• Anytime your office has been notified of impending litigation, do not dispose of any records for any reason. Retention schedules become mute at this point. 16
  17. 17. Disposal policy • Once records are appraised, those records having no archival value should be destroyed. • However, the university may consider the possibility to give records back to students. • Taking into account sensitive nature of personal data in student records, they should be destroyed in accordance with national legislation for data protection. Any data leaks should be prevented. • Appropriate documentation should be made about the disposal of records.Source: http://www.library.uiuc.edu/ica-suv/StudentRecordsGuidelines.pdf “Going paperless” If an agency wants to “go paperless” there are certain legal requirements to be met before source documents can be destroyed. 17
  18. 18. IF the records are vital…Scan away, and transfer the original documents to a permanent storage IF the records are archival Scan away, and transfer the originals to the archives 18
  19. 19. Digitization – principal reasons• For enhanced access Not for to improve services by facilitating retrieval • space-saving• To reduce handling because originals may and use of fragile or require off-site storage heavily used originals, thereby reducing risk • cost-reduction of loss/damage/ because digitization is misuse a costly program• For securing back-up • preservation copies because originals are retained. Ideal storage conditions and practical alternatives • Ideal storage: climate and humidity controlled environment in acid-free boxes and file folders • Practical alternatives: – acid-free folders in filing cabinets – acid-free folders in acid- free record storage cartons – acid-free folders in acid- free manuscript boxes 19
  20. 20. Files Equipment •made of steel •compact and space-efficient •allowance for easy extraction & replacement of files •mobile •proximity to authorized personnel A peak inside the mobile shelf 20
  21. 21. De La Salle University Archives Theses and CDs on display Off-site storage facilities 21
  22. 22. FACILITIES & EQUIPMENT FIREPROOFING ULTRAVIOLET AIRCONDITIONING FILTER SCREENS HUMIDITY CONTROL HEAVY CURTAINS SMOKE and HEAT ACID-FREE BOXES DETECTORS ACID-FREE DOUBLE LOCKS FOLDERS SECURITY ALARM RUST-FREE SUPPLIES COMMON HAZARDS• temperature • PEOPLE• humidity using ink/pens• light using adhesives• insects and rodents laminating• fungi, mold, mildew folding, tearing• acid spilling food/drink• fire bending, tracing• water stealing/mutilating 22
  23. 23. Finally… the 3 e’s 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).Questions ? famverzosa@yahoo.com 23

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