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 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

Published in: Economy & Finance, Education

Records Management

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