Promoting records management in government


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lecture presented by Fe Angela M. Verzosa at the Seminar-workshop on Archives and Records Management for Open Government sponsored by the Commission of Human Rights (CHR) in partnership with the International Council of Museums-Philippines (ICOM-Philippines), De La Salle University-Manila University Library, and the Philippine Association of Museums (PAMI) held on 22 May 2012 at the Commission on Human Rights, UP Diliman, Quezon City

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Promoting records management in government

  1. 1. PromotingRecords Management in Government by Fe Angela M. Verzosa Focus By the end of this presentation, you will have a better understanding of the importance of Records Management the basics of what to keep, what to discard, and when to do so, and… how to handle the records you keep, and records to be created in the future.Fe Angela M. Verzosa 2Mario Manansala, Jr. 1
  2. 2. Topics Records Management basics Records of enduring value Types of value Knowing what to toss Proper arrangement of materials Files Management Records retention Ideal storage conditions and practical alternatives Fe Angela M. Verzosa 3 The average worker spends 30% of time searching for or recreating lost documents. The average organization makes 19 copies of each document. Fe Angela M. Verzosa 4Mario Manansala, Jr. 2
  3. 3. On the average, each employee spends 3.5 hours per week every year searching for information they can’t find. How many people are in Fe Angela M. Verzosa 5 your office? Why do we need a system for managing records? • How many people in your office regularly make use of records? • Is your office clogged up with piles of paper? • As a rule, can you find a document generated two months ago in less than five minutes? What about a document generated by a colleague? • What would happen in the event of a fire or flood on your premises? Does your office have an off-site storage of important records? • Does your office have a back-up system for computer- based records? Fe Angela M. Verzosa 6Mario Manansala, Jr. 3
  4. 4. Why Records Management? Ensure statutory and regulatory compliance Preserve the rights of citizens Support better decision making Safeguard vital information Preserve organizational memory Reduce operating costs Minimize litigation risks Fe Angela M. Verzosa 7 Why do we need to manage records? Fe Angela M. Verzosa 8Mario Manansala, Jr. 4
  5. 5. What is records management? “ the Efficient and systematic control of the creation, 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 Fe Angela M. Verzosa 9 Goals of an RM 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. Fe Angela M. Verzosa 10Mario Manansala, Jr. 5
  6. 6. 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 Fe Angela M. Verzosa 11 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 Fe Angela M. Verzosa 12Mario Manansala, Jr. 6
  7. 7. WHY DOES IT SEEM SO HARD? Records Management today has to link the past with the present and preserve for the future while trying to keep up with constantly evolving technologies. Fe Angela M. Verzosa 13 What is a record? Any information created, received and maintained as EVIDENCE and INFORMATION by an organization in pursuance of its legal obligations or business transactions. Fe Angela M. Verzosa 14Mario Manansala, Jr. 7
  8. 8. It’s not just paper anymore! Fe Angela M. Verzosa 15 Gone forever! There are electronic records that are now extinct and gone forever. On the endangered list How many floppy disks, CD’s, tapes, DVD’s, or other soon to be obsolete media may contain records of importance that are not well preserved and may be unreadable, inaccessible – and gone? Fe Angela M. Verzosa 16Mario Manansala, Jr. 8
  9. 9. “Digital information lasts forever, or five years …. whichever comes first” Jeff Rothenberg Senior computer scientist, RAND (1999) Fe Angela M. Verzosa 17 So, what is a record? A record is a record, regardless of format! Fe Angela M. Verzosa 18Mario Manansala, Jr. 9
  10. 10. So, what is a record? It is the CONTENT and FUNCTION that determines a record – regardless of it being on paper, carved on a rock, written on a cocktail napkin, in an electronic device, or whatever media contains the information. Fe Angela M. Verzosa 19 When does a document become a record? Think about writing a letter… When you start typing on the keyboard? When you save the first draft? When you save the final draft? When you print it? When the hardcopy is signed? Fe Angela M. Verzosa 20Mario Manansala, Jr. 10
  11. 11. Official or record copies When does the official copy become “official”? E-mail approval or approval in hard copy? Other electronic means? Digital Signatures Requires hard copy signature? Fe Angela M. Verzosa 21 Content matters Policies, significant decisions, commitments, or important meetings Communications that facilitate or document actions affecting the conduct of business Any material that provides substantive information If content protects rights – legal, fiscal, property, etc. Fe Angela M. Verzosa 22Mario Manansala, Jr. 11
  12. 12. Typical records Information pertaining to advisory boards, councils and committees Meeting materials Program, policy, and procedure development documentation Program area activity, production and employee reports and files Project files Business-related memos or correspondence Open records requests and responses Reports to senior management Calendars, schedules and logs of daily activities Fe Angela M. Verzosa 23 Non-records If content is: of a transitory nature social, meeting or announcement type of notices information only requiring no action personal messages and “chit-chat” THEN GET RID OF IT! Fe Angela M. Verzosa 24Mario Manansala, Jr. 12
  13. 13. Examples of Non-records Personal information not related to business Reference material Duplicate / multiple copies General announcements Drafts /working papers without substantive comments/rough notes, calculations, etc. THEN GET RID OF IT! Fe Angela M. Verzosa 25 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? Fe Angela M. Verzosa 26Mario Manansala, Jr. 13
  14. 14. Types of record value Evidentiary Informational Intrinsic – for cultural, historical, or monetary reasons I Fe Angela M. Verzosa 27 n t When Value Ends Intrinsic Value – typically has no end date (e.g. Declaration of Independence, Organizational Charter) Informational Value – end date dependent on subject being described (e.g. period of performance evaluation report vs. details of 10-year strategic development plan) Evidentiary Value – end date dependent on the activity being documented (e.g. travel expenses vs. policy decisions) Fe Angela M. Verzosa 28Mario Manansala, Jr. 14
  15. 15. Fe Angela M. Verzosa 29 Fe Angela M. Verzosa 30Mario Manansala, Jr. 15
  16. 16. Don’t agonize! Organize…. Knowing where and what your documents are, is just as important as where your file cabinets are and what is in there. Fe Angela M. Verzosa 31 Principles in arrangement Provenance- is a fundamental principle, referring to the individual, group/office, or organization that created the records. Also known as office of origin, or source Principle of provenance: records of different provenance should be separated. e.g. : Office of the President/ Board of Directors HR Department Comptroller’s Office Fe Angela M. Verzosa 32Mario Manansala, Jr. 16
  17. 17. Principles in arrangement Principle of Original order – or Respect de lordre primitif in French, Registratorprinzip in German, referring to original order of arrangement Emphasis was on establishing the authenticity and integrity of the record as evidence. “records are to be maintained in records/archives repositories in the same scheme of order and with the same designations they received in the course of the business of their office of origin and primary use. “ Fe Angela M. Verzosa 33 5 Levels of arrangement Subordinate administrative unit under the record group Record group Sub-group Sub-group Sub-group Series Series Series File Sub-series Basic unit which refers to a set of documents resulting from the same Item File function or activity, or having a common form or relationship arising item from their creation, receipt or use. Fe Angela M. Verzosa 34Mario Manansala, Jr. 17
  18. 18. 5 Levels of arrangement Sub-groups refer to subordinate admin unit under the record group President Committees Secretariat Advisors Sub-series Circulars Reports Correspondence Incoming HR Department Series refers to a set of documents Letter from Annual reports resulting from the same function or EVP Garcia activity, or having a common form or relationship arising from their 2011 creation, receipt or use. Fe Angela M. Verzosa 35 Proper arrangement During analysis of records, determine if “organic”, functional record series exist (e.g. correspondence, research notes, project files, organizational reports, publications, etc.) Identify arrangement schemes used in the past : alphabetical, chronological, numeric… If more than one arrangement scheme, choose most logical, most recent, etc. Fe Angela M. Verzosa 36Mario Manansala, Jr. 18
  19. 19. Codification numeric alpha duplex alpha- subject decimal numeric numeric numeric personnel 100 A 3 A PER 1. employment 110 Aa 3-1 A/1 PER-1 1.1 •recruitment 111 AaA 3-1-1 A/11 PER-1-1 1.1.1 •appointment 112 AaB 3-1-2 A/12 PER-1-2 1.1.2 •promotion 113 AaC 3-1-3 A/13 PER-1-3 1.1.3 •demotion 114 AaD 3-1-4 A/14 PER-1-4 1.1.4 •separation 115 AaE 3-1-5 A/15 PER-1-5 1.1.5 Fe Angela M. Verzosa 37 Personnel Records - 100 Employment Fe Angela M. Verzosa 38Mario Manansala, Jr. 19
  20. 20. Personnel Records - 100 Employment recruitment appointment promotion Fe Angela M. Verzosa 39 Next level Grouping information together makes it easier to file, search and manage! recruitment John appointment Jane promotion Joey Time Sheets Time Sheets Time Sheets Job 1 2011 Aguilar Jane Joey Annual Leave Annual Leave Job 2 2010 Bernabe John Jane Joey Sick Leave Sick Leave Sick Leave Fe Angela M. Verzosa 40Mario Manansala, Jr. 20
  21. 21. F I L I N G problems Fe Angela M. Verzosa 41 Common filing problems too many filing places everybody a file clerk files disorderly; show no particular plan or arrangement system does not fit the way material is called for some records seem to belong under more than one category filing decisions erratic or inconsistent bulging folders accumulation of unnecessary or personal records Fe Angela M. Verzosa 42Mario Manansala, Jr. 21
  22. 22. Common filing problems related records are filed under different categories the retrieval rate is poor (inability to locate the required document quickly) missing and misplaced documents mean too much time spent looking for files a high level of duplication exists users are setting up personal records systems incomplete files and backlogs of unfiled records exist filing cabinets are jammed with files bulging with documents M. Verzosa Fe Angela 43 Files management 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 Fe Angela M. Verzosa 44Mario Manansala, Jr. 22
  23. 23. CRITERIA of a good filing system… • Simplicity •Flexibility / Expansibility •Adaptability Fe Angela M. Verzosa 45 Filing methods • numerical • alphabetic •functional •geographic •form •chronologic Fe Angela M. Verzosa 46Mario Manansala, Jr. 23
  24. 24. When to create new files… a new function, subject, activity or project is commenced or an existing subject, activity or project is further developed and needs to be split across several files •an existing file becomes too large and a new part is required •no existing file is appropriate for the document(s) Fe Angela M. Verzosa 47 Improve your filing… Begin each calendar year with a new set of files Files should not exceed ½ thickness Dedicate time each week for filing to prevent backlog Avoid filing extraneous unnecessary duplicate copies Avoid tightly jammed files Safeguard access and confidentiality of records Fe Angela M. Verzosa 48Mario Manansala, Jr. 24
  25. 25. Reminders… Explore your options, and adapt to best serve your office needs and use Keep it as simple as possible Take time to fully develop file structures using what is already familiar Have patience, and be sure to take time to train and educate file creators and usersFe Angela M. Verzosa 49 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 Fe Angela M. Verzosa 50Mario Manansala, Jr. 25
  26. 26. Files Equipment •made of steel •compact and space-efficient •allowance for easy extraction & replacement of files •mobile •proximity to authorized personnel Fe Angela M. Verzosa 51 Records retention… Also known as… “Should it stay, or should it go?” Fe Angela M. Verzosa 52Mario Manansala, Jr. 26
  27. 27. Records disposition inventorying appraising scheduling retiring disposal policies transfer guidelines archival procedures Fe Angela M. Verzosa 53 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. Fe Angela M. Verzosa 54Mario Manansala, Jr. 27
  28. 28. Records Disposal Shredding is the preferred method for destruction of records A completed Certificate of Disposal is required for any disposal – destruction or transfer Certificates of Disposal demonstrate that we are following our policies and serve as proof of legal disposition Fe Angela M. Verzosa 55 Creation and Use Active or Semi-Active Retention Period X = Minimum period of time to keep Disposition Destroy Transfer to when 2-5% 2-5% Destroy or 95-98% 95-98% Archives retention Transfer to has been Archives Fe Angela M. Verzosa met 56Mario Manansala, Jr. 28
  29. 29. What is a Retention Schedule? An approved legal document that specifies minimum retention periods for a record series and gives agencies ongoing disposition authority after approved retention periods are met. Fe Angela M. Verzosa 57 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. M. Verzosa Fe Angela Verzosa 58 58Mario Manansala, Jr. 29
  30. 30. 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 Fe Angela M. Verzosa 59 Who is the keeper? Who is the record or primary copy holder? Is someone else keeping this record? Who would be the official “record keeper”? How many people were cc’d? Does this record already exist in your office’s official files? Another department or section? There may be times when two “record” copies (both sides) will be kept in order to complete the documentation of Fe Angela M. Verzosa 60 actions.Mario Manansala, Jr. 30
  31. 31. Primary or record copy Usually only one copy of the record needs to be kept and retained according to the appropriate retention schedule. Policies and decisions need to be made and a determination made as to who is the primary copy holder and responsible for the retention and disposition of the record. Fe Angela M. Verzosa 61 Decisions, decisions… Apply same decisions to retaining electronic information as you would to the traditional paper format Fe Angela M. Verzosa 62Mario Manansala, Jr. 31
  32. 32. Fe Angela M. M. Verzosa Fe Angela Verzosa 63 63 Fe Angela M. M. Verzosa Fe Angela Verzosa 64 64Mario Manansala, Jr. 32
  33. 33. Records Retention Schedule First step : analyze the records of the organization to determine what series or categories of materials exist (e.g. correspondence, administrative files, project files, personnel records, etc.) Second step : determine whether various categories of materials have intrinsic, evidentiary, or informational value Third step : if documents are evidentiary or informational in nature, determine if their value has a logical end date. Fe Angela M. Verzosa 65 Records Retention Schedule Fourth : if value is time restricted, determine what the end dates of the value are and schedule destruction of records on or after that date. Fifth : If value is enduring, determine whether records are needed for operation of organization; if so, keep on site. If not, identify and prepare to be sent to an archive facility. Fe Angela M. Verzosa 66Mario Manansala, Jr. 33
  34. 34. Document ceases to be an active record in use Consult record retention schedule Document is of legal Document needs to be Document does not or historical importance retained but will be need to be retained, but ---send to an archival disposed of after a is of confidential nature, repository specified time period arrange for secure destruction/disposal Document has a specified retention period attached to It and can be destroyed when the time comes, consider sending it to the Records Center for temporary storage Fe Angela M. Verzosa 67 “Going paperless” If an agency wants to “go paperless” there are certain legal requirements to be met before source documents can be destroyed. Fe Angela M. Verzosa 68Mario Manansala, Jr. 34
  35. 35. IF the records are vital… Scan away, and transfer the original documents to a permanent storage Fe Angela M. Verzosa 69 IF the records are archival Scan away, and transfer the originals to the archives Fe Angela M. Verzosa 70Mario Manansala, Jr. 35
  36. 36. Records Management is a TEAM SPORT! It’s a whole new world! It takes teamwork to achieve RM goals. Fe Angela M. Verzosa 71 Training Personnel • receiving and opening mails • placing mail/other papers in correct files • extracting and replacing files • opening/creating new files • indexing & cross-referencing • keeping a record of file movements • retrieving lost/missing files • destroying/disposing files • retiring non-current files Fe Angela M. Verzosa 72Mario Manansala, Jr. 36
  37. 37. Training and Outreach regularly provide workshops and other training which outline basic program policies and procedures and office responsibilities establish a system of records liaisons or coordinators within the major units of the institution/organization to serve as basic contacts for the records management program publicize, inform, and educate thru newsletters, brochures on various records management topics, and electronic communication technologies (emails, blogs, alerts) Fe Angela M. Verzosa 73 Records and information are an agency’s most important assets While ordinary and mundane to most, records are a vital necessity People come and go Records provide the continuity for the function and mission of an agency Without records, an agency cannot effectively run its business! A business fails without records! Fe Angela M. Verzosa 74Mario Manansala, Jr. 37
  38. 38. 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 • means less time spent searching for files and documents. Fe Angela M. Verzosa 75 Summary – what we’ve learned Not all records are created equal Records often have existing - if unidentified - arrangements which can be discovered and/or built upon Analysis of existing arrangement and groupings of materials can save time and effort in the long run Identifying what to keep, what to discard, and what to send on to a repository can save time and money in the long run Fe Angela M. Verzosa 76Mario Manansala, Jr. 38
  39. 39. 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). Fe Angela M. Verzosa 77 Congratulations! We are done! Fe Angela M. Verzosa 78Mario Manansala, Jr. 39
  40. 40. Questions? Fe Angela M. Verzosa 79 Quiz #1 A policeman is called to the scene of an accident. The officer takes a digital photo of the car involved. Is this photo a record worth keeping? □ Yes □ No Fe Angela M. Verzosa 80Mario Manansala, Jr. 40
  41. 41. Quiz #2 In your desk drawer, you have a copy of the contents of your personnel file. It contains duplicates of your application, training taken, awards received, etc. Are these records worth keeping? □ Yes □ No Fe Angela M. Verzosa 81 Quiz #3 You come back to your desk following lunch and your computer indicates that you have two e-mail messages waiting for you. A.) One message is from the assistant director requesting shared leave for an employee on extended sick leave. B.) The other message is from your boss, giving you the agreed-upon timelines and goals for an upcoming project. Which message would you keep? □ A only □ B only □ Both A and B □ Neither Fe Angela M. Verzosa 82Mario Manansala, Jr. 41
  42. 42. Quiz #4 While cleaning out the shelves in your office, you come across a 1994 copy of an annual report from another department. Will you discard the copy? □ Yes □ No Fe Angela M. Verzosa 83 Quiz # 5 Your office has a website and has invited public comment on a controversial issue. Would you keep the comments? □ Yes □ No Fe Angela M. Verzosa 84Mario Manansala, Jr. 42
  43. 43. Workshop Exercise 1. Prepare a list of the Offices within your Department / Bureau /Service / Unit 2. List also the Offices within your organization, outside your Department / Bureau / Service /Unit that you transact business with 3. List the major types of records created by your office 4. List the common records you receive from other offices within the organization 5. Identify the records you normally receive from offices outside of the organization Fe Angela M. Verzosa 85 Workshop Exercises 6. From the lists provided, make a records series list, complete with short or brief series description, scope or coverage. 7. Go over the General Records Disposition Schedule provided as handout, and make your own Office Records Disposition Schedule based on the records series list prepared (as in no. 6) Fe Angela M. Verzosa 86Mario Manansala, Jr. 43