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Understanding records management print and electronic

The document emphasizes the importance of effective records management for both print and electronic records, detailing the principles of creating, maintaining, and disposing of records efficiently. It outlines key components such as retention schedules, security access, and the distinction between records and non-records, providing guidance on what to keep based on content and function. The document also highlights the necessity of protecting vital records and suggests methods for their management and preservation.

Understanding Records Management : Print and Electronic by Fe Angela Verzosa
Tell me why • Is it important to know why a record is created? • Is it important to know how often you may use or access a record? • Is it important to know how long you need to keep a record? • Is it important to know when you may legally dispose or transfer a record? Fe Angela M. Verzosa 2
What shall we talk about? 3 • Introduction • Records management basics • Records disposition/ retention • Vital records management • Methods of protection • Ideal storage conditions and practical alternatives
What to expect… • a better understanding of the importance of managing print and electronic records 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.
The average worker spends 30% of time searching for or recreating lost documents. The average organization makes 19 copies of each document.
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 your office?
Why do we need a system for managing records? 7 •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?
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
RM’s core mission is to provide appropriate and permanent care for records of enduring value in order to make them available for use. acquisition/collecting goals arrangement/ description goals service goals preservation goals management goals personnel goals
Goals of Records Management •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. 10
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
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
But first, what is a record? A record is a record, regardless of format Fe Angela M. Verzosa 14
Content and Function It is the CONTENT and FUNCTION that determines a record – regardless of it being paper, carved on a rock, written on a cocktail napkin, in an electronic device, or whatever media contains the information Fe Angela M. Verzosa 15
Records may include, but are not limited to… 16 • general correspondence / email • financial transactional records • working papers, including drafts, versions, and copies • databases (including the underlying tables, as well as routine reports) • student and course documentation and transcripts • personnel documentation • web sites (including Web pages, images, docs, and media files) • electronic backup media (including tapes, disks, and other storage devices)
It’s not just paper anymore!
Regardless of format – and the list keeps getting longer! ELECTRONIC RECORD - A record generated, communicated, received or stored by electronic means. • E-mail & attachments • Websites • Databases • Text Messaging • Instant Messaging • Voice mail (can now be converted to e-mail) • Digital photos • Scanned documents • Outlook calendars • Handheld devices (PDA’s) • Spreadsheets • Word documents Fe Angela M. Verzosa 18
No, you don’t have to keep everything. There are some exceptions. Remember: It is the CONTENT and FUNCTION that will determine record-keeping. Fe Angela M. Verzosa 19
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 20
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 21
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 22
Quiz #2 In your desk drawer, you have a copy of the contents of your personal file. It contains duplicates of your application, training taken, awards received, etc. Are these records worth keeping? □ Yes □ No Fe Angela M. Verzosa 23
Quiz #3 You come back to your desk following lunch and your computer indicates that you have two 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 A nor B Fe Angela M. Verzosa 24
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 A nor B Fe Angela M. Verzosa 25
Quiz #4 While cleaning out the shelves in your office, you come across a 1994 copy of an annual report. Will you discard the copy? □ Yes □ No Fe Angela M. Verzosa 26
Quiz #4 While cleaning out the shelves in your office, you come across a 1994 copy of an annual report. Will you discard the copy? □ Yes □ No Fe Angela M. Verzosa 27
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 28
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 29
When does a document become a record? Think about writing a letter… • When you start typing on the Fe Angela M. Verzosa 30 keyboard? • When you save the first draft? • When you save the final draft? • When you print it? • When the hardcopy is signed?
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 31
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 32
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 33
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?
Where do we start? Fe Angela M. Verzosa 35
Get to know your Records 36 Doing a records inventory will help you determine: • Who has the records • What are the records • Where are the records • Why are those records there • How to manage those records
Records Appraisal …the 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 value intrinsic value Fe Angela M. Verzosa 37
Record Types based on Value… • Evidentiary – documents activities of individual or group or agency • Informational – contains information about individual, group, or subject • Intrinsic – document has intrinsic value for cultural, historical, or monetary reasons Fe Angela M. Verzosa 38
Records with evidential values • organizational charts • annual reports • directives/policy memos • official histories • correspondence • audit/inspection reports • legal opinions/decisions • handbooks and manuals • minutes of meetings
When Value Ends… • Intrinsic Value – typically has no end date, value does not expire with time • Informational Value – end date dependent on subject being described (information may be obsolete, updated, altered, or revised) • Evidentiary Value – end date dependent on the activity being documented (expires with time) Fe Angela M. Verzosa 40
Who is the keeper? Who is the record or primary copy holder? • Is someone else keeping this document? • 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 actions. Fe Angela M. Verzosa 41
Primary or record copy 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 42
What records to keep?  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 Fe Angela M. Verzosa 44
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?
Decisions, decisions… Apply same decisions to retaining electronic information as you would to the traditional paper format
Also known as… Records disposition “Should it stay, or should it go?”
Checklist - Keep or delete? • Is it a substantive message or chit-chat? • Does it have to do with your work, office, or program and document actions taken? • Does it require you to take action? • Will someone else need it for operational, fiscal or legal reasons? • Will I need this information in the future? Fe Angela M. Verzosa 48
Prove it If you have to substantiate a decision, action, policy, financial transaction, proof of ownership, etc… What would you need to provide as evidence ? Fe Angela M. Verzosa 49
Fe Angela M. Verzosa 50 Exercise Make a quick survey of the records you are handling, and prepare a list using the suggested form:  Provenance or office of origin  type of record  age (inclusive dates)  volume (in linear feet, or no. of folders)  storage media or equipment used  filing system (alpha, numeric, subject, etc)  legal/audit requirements  Problems/concerns
Organize…. Knowing where and what your documents are, is just as important as where your file cabinets are and what is in those cabinets. Fe Angela M. Verzosa 51
Records maintenance • adoption of a files plan • choice of equipment/supplies • mail management • files management filing procedures cross-referencing releasing checking Fe Angela M. Verzosa 52 sorting
CRITERIA of a good filing system… • Simplicity • Flexibility / Expansibility •Adaptability Fe Angela M. Verzosa 53
Classification Grouping information together – Cars, food, clothing – Content and function Based on an organization’s business functions and activities Fe Angela M. Verzosa 54
Files Management: Proper arrangement of materials • During analysis of records, determine if “organic”, functional record series or groupings exist (e.g. correspondence, research notes, project files, organizational records, publications, etc.) • Identify arrangement schemes used in the past : alphabetical, chronological, numeric, etc. • If more than one arrangement scheme, choose the most logical, most recent, etc. Fe Angela M. Verzosa 55
Proper arrangement of materials : Sample (Part 1) • Organizational Records, 1981-2000 – Correspondence files, 1981-2000 • Alphabetic correspondence, 1981-1995 • Chronological correspondence, 1995-2000 – Personnel records, 1985-2000 • Alphabetic Personnel records, 1985-1995 • “The Incident” files, 1995 • Benefits file, 1996 – Benefits by Social Security Number – Benefits by Name Fe Angela M. Verzosa 56
Proper arrangement of materials : Sample (Part 2) • Project files, 1992-2010 – Consumer Cooperative Store Project files, 1992-2005 • Project leader notes, 1992-1995 • Project coordinator files, 1992-2010 • Reports, 1993-2009 – Estafa Case Investigation files • Case files, 2000-2010 • Background Files, 1993-2000 Fe Angela M. Verzosa 57
Proper arrangement of materials : Useful tips • Specific arrangement not as important as consistency and documentation • Decide whether existing arrangement suffices or not – if so: document, document, document • If existing arrangement does not suffice, establish guidelines for a new arrangement and: document, document, document Fe Angela M. Verzosa 58
Correspondence filing • NUMERIC: suited for case files/ transaction files • ALPHABETIC: common for incoming mails • CHRONOLOGIC: common for outgoing mails Fe Angela M. Verzosa 59
Records disposition • inventorying • appraising • scheduling • retiring disposal policies transfer guidelines archival 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
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 Fe Angela M. Verzosa 62 to the archives
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.
Going Paperless If an agency wants to “go paperless” there are certain legal requirements to be met before source documents can 64 be destroyed.
What are Vital Records? •records essential for continued operation •records with long retention periods •irreplaceable records •records where no other copies are 65 available •records of historical/ permanent value
What are Protected Records? 66 Sec. 23 of RA 9470. Protected Records of Local Governments. - (a) The executive director may, by notice in the Official Gazette made after consultation with any local government concerned, declare that a local government record is a protected record for purposes of this Act. LGUs shall provide for the adequate protection and preservation of all protected records they hold, and cannot dispose it without authorization and approval.
Vital Records Management Fe Angela M. Verzosa 67
Methods of Protection 68 •Built-in dispersal •Duplication •Onsite storage •Off-site storage •Microfilming/ microfiching •Digitization
IF the records are vital… Scan away, and transfer the original documents to a permanent storage
IF the records are archival Microfilm, and transfer the originals to the archives
Digitization – principal reasons • For enhanced access to improve services by facilitating retrieval • To reduce handling and use of fragile or heavily used originals, thereby reducing risk of loss/damage/ misuse • For securing back-up copies Not for • space-saving because originals may require off-site storage • cost-reduction because digitization is a costly program • preservation because originals are retained.
On-site Storage Considerations 72 •Building considerations – floor load capacity, lighting/ ventilation, smoke/fire alarms, security, etc. •Equipment considerations – purchase of fire-resistant vaults, safes, cabinets… •Procedural considerations – preparing a vital records manual, updating vital records master list, enforcing rules in records storage area like no smoking, eating, etc.
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
Files Equipment •made of steel •compact and space-efficient •allowance for easy extraction & replacement of files •mobile •proximity to authorized personnel
Compact mobile storage shelf
Off-site Storage Considerations 76 •should be close enough for access, control, and updating •reasonably secure •Use trained records professionals to administer the facility, or •Hire a Vital Records Coordinator
Off-site storage facilities
FACILITIES & EQUIPMENT FIREPROOFING AIRCONDITIONING HUMIDITY CONTROL SMOKE and HEAT DETECTORS DOUBLE LOCKS SECURITY ALARM ULTRAVIOLET FILTER SCREENS HEAVY CURTAINS ACID-FREE BOXES ACID-FREE FOLDERS RUST-FREE SUPPLIES
COMMON HAZARDS • temperature • humidity • light • insects and rodents • fungi, mold, mildew • acid • fire • water • PEOPLE using ink/pens using adhesives laminating folding, tearing spilling food/drink bending, tracing stealing/mutilating
Best Practices •Think “cool, dry, dark, and clean” •Preventive steps are invariably less expensive than 80 remedial ones •Establish policies on care and handling of records •Use microfilms, if available, or duplicates in place of originals •Avoid doing anything to your records that cannot be • undone
Security/safety Audit • Are particularly valuable items marked? Separately foldered/boxed? Photocopied? • Do you have accession records, or registers I indexes, other finding aids, etc. that provide sufficient detail to identify if there are missing materials? • Does insurance policy cover the loss of vital records? Reflect the current market value of valuable item/s? • What is the procedure for the return of records or other materials borrowed / removed from their folders/boxes? Shelves? • Are collections stored in areas near water pipes or subject to flooding? Fe Angela M. Verzosa 81
Security/safety Audit • Are particularly valuable items marked? Separately foldered/boxed? Photocopied? • Do you have accession records, or registers I indexes, other finding aids, etc. that provide sufficient detail to identify if there are missing materials? • Does insurance policy cover the loss of vital records? Reflect the current market value of valuable item/s? • What is the procedure for the return of records or other materials borrowed / removed from their folders/boxes? Shelves? • Are collections stored in areas near water pipes or subject to flooding? Fe Angela M. Verzosa 82
Security/safety Audit • Are applicants to staff position background-checked before hiring? • Are staff assigned to take charge of financial / legal records insured against theft or bonded? • Who has master keys to the access doors? Stack areas? Office areas? • Are all employees instructed on what to do in case of theft? Burglary? Other serious crimes? Who to contact? Fe Angela M. Verzosa 83
Preservation Management • In records management, it is a tool used to manage the physical condition of records, ensuring present and future access. It should be viewed as an integral component of day-to-day operations in managing records. Fe Angela M. Verzosa 84
Preservation Guidelines • pest control • temperature • humidity • acidity control • handling of materials by staff
Do not use any preservation measure, or treatment that: • cannot be reversed if necessary • cannot be used properly • will not last a long time • is harmful to people • changes the physical property of the material • dissolves or damages any part of thematerial
Closing remarks: Is…. Fe Angela M. Verzosa 87
Records management is: • Preserving our past, providing access to our future. • Preserving the past, preparing the future, protecting the present. • Preserving yesterday, managing today, preparing for tomorrow. • Ensuring the future by preserving the past. Fe Angela M. Verzosa 88
Records Management is a TEAM SPORT! It’s a whole new world! It takes teamwork to achieve RM goals. Fe Angela M. Verzosa 89
Finally…the 3 e’s 90 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).
Congratulations! We are done! Fe Angela M. Verzosa 91
Questions ? famverzosa@yahoo.com

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Understanding records management print and electronic

  • 1.
    Understanding Records Management: Print and Electronic by Fe Angela Verzosa
  • 2.
    Tell me why • Is it important to know why a record is created? • Is it important to know how often you may use or access a record? • Is it important to know how long you need to keep a record? • Is it important to know when you may legally dispose or transfer a record? Fe Angela M. Verzosa 2
  • 3.
    What shall wetalk about? 3 • Introduction • Records management basics • Records disposition/ retention • Vital records management • Methods of protection • Ideal storage conditions and practical alternatives
  • 4.
    What to expect… • a better understanding of the importance of managing print and electronic records 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.
  • 5.
    The average workerspends 30% of time searching for or recreating lost documents. The average organization makes 19 copies of each document.
  • 6.
    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 your office?
  • 7.
    Why do weneed a system for managing records? 7 •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?
  • 8.
    What is recordsmanagement? “ 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
  • 9.
    RM’s core missionis to provide appropriate and permanent care for records of enduring value in order to make them available for use. acquisition/collecting goals arrangement/ description goals service goals preservation goals management goals personnel goals
  • 10.
    Goals of Records Management •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. 10
  • 11.
    What are theingredients 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
  • 12.
    Components of aRecords 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
  • 14.
    But first, whatis a record? A record is a record, regardless of format Fe Angela M. Verzosa 14
  • 15.
    Content and Function It is the CONTENT and FUNCTION that determines a record – regardless of it being paper, carved on a rock, written on a cocktail napkin, in an electronic device, or whatever media contains the information Fe Angela M. Verzosa 15
  • 16.
    Records may include, but are not limited to… 16 • general correspondence / email • financial transactional records • working papers, including drafts, versions, and copies • databases (including the underlying tables, as well as routine reports) • student and course documentation and transcripts • personnel documentation • web sites (including Web pages, images, docs, and media files) • electronic backup media (including tapes, disks, and other storage devices)
  • 17.
    It’s not justpaper anymore!
  • 18.
    Regardless of format– and the list keeps getting longer! ELECTRONIC RECORD - A record generated, communicated, received or stored by electronic means. • E-mail & attachments • Websites • Databases • Text Messaging • Instant Messaging • Voice mail (can now be converted to e-mail) • Digital photos • Scanned documents • Outlook calendars • Handheld devices (PDA’s) • Spreadsheets • Word documents Fe Angela M. Verzosa 18
  • 19.
    No, you don’thave to keep everything. There are some exceptions. Remember: It is the CONTENT and FUNCTION that will determine record-keeping. Fe Angela M. Verzosa 19
  • 20.
    Quiz #1 Apoliceman 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 20
  • 21.
    Quiz #1 Apoliceman 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 21
  • 22.
    Quiz #2 Inyour 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 22
  • 23.
    Quiz #2 Inyour desk drawer, you have a copy of the contents of your personal file. It contains duplicates of your application, training taken, awards received, etc. Are these records worth keeping? □ Yes □ No Fe Angela M. Verzosa 23
  • 24.
    Quiz #3 Youcome back to your desk following lunch and your computer indicates that you have two 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 A nor B Fe Angela M. Verzosa 24
  • 25.
    Quiz #3 Youcome 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 A nor B Fe Angela M. Verzosa 25
  • 26.
    Quiz #4 Whilecleaning out the shelves in your office, you come across a 1994 copy of an annual report. Will you discard the copy? □ Yes □ No Fe Angela M. Verzosa 26
  • 27.
    Quiz #4 Whilecleaning out the shelves in your office, you come across a 1994 copy of an annual report. Will you discard the copy? □ Yes □ No Fe Angela M. Verzosa 27
  • 28.
    Quiz #5 Youroffice has a website and has invited public comment on a controversial issue. Would you keep the comments? □ Yes □ No Fe Angela M. Verzosa 28
  • 29.
    Quiz #5 Youroffice has a website and has invited public comment on a controversial issue. Would you keep the comments? □ Yes □ No Fe Angela M. Verzosa 29
  • 30.
    When does adocument become a record? Think about writing a letter… • When you start typing on the Fe Angela M. Verzosa 30 keyboard? • When you save the first draft? • When you save the final draft? • When you print it? • When the hardcopy is signed?
  • 31.
    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 31
  • 32.
    Non-records If contentis: • 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 32
  • 33.
    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 33
  • 34.
    CRITERIA in creatingrecords • 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?
  • 35.
    Where do westart? Fe Angela M. Verzosa 35
  • 36.
    Get to knowyour Records 36 Doing a records inventory will help you determine: • Who has the records • What are the records • Where are the records • Why are those records there • How to manage those records
  • 37.
    Records Appraisal …theact 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 value intrinsic value Fe Angela M. Verzosa 37
  • 38.
    Record Types basedon Value… • Evidentiary – documents activities of individual or group or agency • Informational – contains information about individual, group, or subject • Intrinsic – document has intrinsic value for cultural, historical, or monetary reasons Fe Angela M. Verzosa 38
  • 39.
    Records with evidentialvalues • organizational charts • annual reports • directives/policy memos • official histories • correspondence • audit/inspection reports • legal opinions/decisions • handbooks and manuals • minutes of meetings
  • 40.
    When Value Ends… • Intrinsic Value – typically has no end date, value does not expire with time • Informational Value – end date dependent on subject being described (information may be obsolete, updated, altered, or revised) • Evidentiary Value – end date dependent on the activity being documented (expires with time) Fe Angela M. Verzosa 40
  • 41.
    Who is thekeeper? Who is the record or primary copy holder? • Is someone else keeping this document? • 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 actions. Fe Angela M. Verzosa 41
  • 42.
    Primary or recordcopy 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 42
  • 43.
    What records tokeep?  general correspondence  transitory correspondence  case files  references  audiovisual materials  cartographic records  engineering drawings  cards  machine-readable records  microforms
  • 44.
    Other record groups Administrative records academic records accounting/financial records legal records personnel records personal records “convenience” copies Fe Angela M. Verzosa 44
  • 45.
    Gone forever! Thereare 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?
  • 46.
    Decisions, decisions… Applysame decisions to retaining electronic information as you would to the traditional paper format
  • 47.
    Also known as… Records disposition “Should it stay, or should it go?”
  • 48.
    Checklist - Keepor delete? • Is it a substantive message or chit-chat? • Does it have to do with your work, office, or program and document actions taken? • Does it require you to take action? • Will someone else need it for operational, fiscal or legal reasons? • Will I need this information in the future? Fe Angela M. Verzosa 48
  • 49.
    Prove it Ifyou have to substantiate a decision, action, policy, financial transaction, proof of ownership, etc… What would you need to provide as evidence ? Fe Angela M. Verzosa 49
  • 50.
    Fe Angela M.Verzosa 50 Exercise Make a quick survey of the records you are handling, and prepare a list using the suggested form:  Provenance or office of origin  type of record  age (inclusive dates)  volume (in linear feet, or no. of folders)  storage media or equipment used  filing system (alpha, numeric, subject, etc)  legal/audit requirements  Problems/concerns
  • 51.
    Organize…. Knowing where and what your documents are, is just as important as where your file cabinets are and what is in those cabinets. Fe Angela M. Verzosa 51
  • 52.
    Records maintenance •adoption of a files plan • choice of equipment/supplies • mail management • files management filing procedures cross-referencing releasing checking Fe Angela M. Verzosa 52 sorting
  • 53.
    CRITERIA of agood filing system… • Simplicity • Flexibility / Expansibility •Adaptability Fe Angela M. Verzosa 53
  • 54.
    Classification Grouping informationtogether – Cars, food, clothing – Content and function Based on an organization’s business functions and activities Fe Angela M. Verzosa 54
  • 55.
    Files Management: Proper arrangement of materials • During analysis of records, determine if “organic”, functional record series or groupings exist (e.g. correspondence, research notes, project files, organizational records, publications, etc.) • Identify arrangement schemes used in the past : alphabetical, chronological, numeric, etc. • If more than one arrangement scheme, choose the most logical, most recent, etc. Fe Angela M. Verzosa 55
  • 56.
    Proper arrangement of materials : Sample (Part 1) • Organizational Records, 1981-2000 – Correspondence files, 1981-2000 • Alphabetic correspondence, 1981-1995 • Chronological correspondence, 1995-2000 – Personnel records, 1985-2000 • Alphabetic Personnel records, 1985-1995 • “The Incident” files, 1995 • Benefits file, 1996 – Benefits by Social Security Number – Benefits by Name Fe Angela M. Verzosa 56
  • 57.
    Proper arrangement of materials : Sample (Part 2) • Project files, 1992-2010 – Consumer Cooperative Store Project files, 1992-2005 • Project leader notes, 1992-1995 • Project coordinator files, 1992-2010 • Reports, 1993-2009 – Estafa Case Investigation files • Case files, 2000-2010 • Background Files, 1993-2000 Fe Angela M. Verzosa 57
  • 58.
    Proper arrangement of materials : Useful tips • Specific arrangement not as important as consistency and documentation • Decide whether existing arrangement suffices or not – if so: document, document, document • If existing arrangement does not suffice, establish guidelines for a new arrangement and: document, document, document Fe Angela M. Verzosa 58
  • 59.
    Correspondence filing •NUMERIC: suited for case files/ transaction files • ALPHABETIC: common for incoming mails • CHRONOLOGIC: common for outgoing mails Fe Angela M. Verzosa 59
  • 60.
    Records disposition •inventorying • appraising • scheduling • retiring disposal policies transfer guidelines archival procedures
  • 61.
    Doing a recordsinventory 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
  • 62.
    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 Fe Angela M. Verzosa 62 to the archives
  • 63.
    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.
  • 64.
    Going Paperless Ifan agency wants to “go paperless” there are certain legal requirements to be met before source documents can 64 be destroyed.
  • 65.
    What are VitalRecords? •records essential for continued operation •records with long retention periods •irreplaceable records •records where no other copies are 65 available •records of historical/ permanent value
  • 66.
    What are ProtectedRecords? 66 Sec. 23 of RA 9470. Protected Records of Local Governments. - (a) The executive director may, by notice in the Official Gazette made after consultation with any local government concerned, declare that a local government record is a protected record for purposes of this Act. LGUs shall provide for the adequate protection and preservation of all protected records they hold, and cannot dispose it without authorization and approval.
  • 67.
    Vital Records Management Fe Angela M. Verzosa 67
  • 68.
    Methods of Protection 68 •Built-in dispersal •Duplication •Onsite storage •Off-site storage •Microfilming/ microfiching •Digitization
  • 69.
    IF the recordsare vital… Scan away, and transfer the original documents to a permanent storage
  • 70.
    IF the recordsare archival Microfilm, and transfer the originals to the archives
  • 71.
    Digitization – principalreasons • For enhanced access to improve services by facilitating retrieval • To reduce handling and use of fragile or heavily used originals, thereby reducing risk of loss/damage/ misuse • For securing back-up copies Not for • space-saving because originals may require off-site storage • cost-reduction because digitization is a costly program • preservation because originals are retained.
  • 72.
    On-site Storage Considerations 72 •Building considerations – floor load capacity, lighting/ ventilation, smoke/fire alarms, security, etc. •Equipment considerations – purchase of fire-resistant vaults, safes, cabinets… •Procedural considerations – preparing a vital records manual, updating vital records master list, enforcing rules in records storage area like no smoking, eating, etc.
  • 73.
    Ideal storage conditionsand 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
  • 74.
    Files Equipment •madeof steel •compact and space-efficient •allowance for easy extraction & replacement of files •mobile •proximity to authorized personnel
  • 75.
  • 76.
    Off-site Storage Considerations 76 •should be close enough for access, control, and updating •reasonably secure •Use trained records professionals to administer the facility, or •Hire a Vital Records Coordinator
  • 77.
  • 78.
    FACILITIES & EQUIPMENT FIREPROOFING AIRCONDITIONING HUMIDITY CONTROL SMOKE and HEAT DETECTORS DOUBLE LOCKS SECURITY ALARM ULTRAVIOLET FILTER SCREENS HEAVY CURTAINS ACID-FREE BOXES ACID-FREE FOLDERS RUST-FREE SUPPLIES
  • 79.
    COMMON HAZARDS •temperature • humidity • light • insects and rodents • fungi, mold, mildew • acid • fire • water • PEOPLE using ink/pens using adhesives laminating folding, tearing spilling food/drink bending, tracing stealing/mutilating
  • 80.
    Best Practices •Think“cool, dry, dark, and clean” •Preventive steps are invariably less expensive than 80 remedial ones •Establish policies on care and handling of records •Use microfilms, if available, or duplicates in place of originals •Avoid doing anything to your records that cannot be • undone
  • 81.
    Security/safety Audit •Are particularly valuable items marked? Separately foldered/boxed? Photocopied? • Do you have accession records, or registers I indexes, other finding aids, etc. that provide sufficient detail to identify if there are missing materials? • Does insurance policy cover the loss of vital records? Reflect the current market value of valuable item/s? • What is the procedure for the return of records or other materials borrowed / removed from their folders/boxes? Shelves? • Are collections stored in areas near water pipes or subject to flooding? Fe Angela M. Verzosa 81
  • 82.
    Security/safety Audit •Are particularly valuable items marked? Separately foldered/boxed? Photocopied? • Do you have accession records, or registers I indexes, other finding aids, etc. that provide sufficient detail to identify if there are missing materials? • Does insurance policy cover the loss of vital records? Reflect the current market value of valuable item/s? • What is the procedure for the return of records or other materials borrowed / removed from their folders/boxes? Shelves? • Are collections stored in areas near water pipes or subject to flooding? Fe Angela M. Verzosa 82
  • 83.
    Security/safety Audit •Are applicants to staff position background-checked before hiring? • Are staff assigned to take charge of financial / legal records insured against theft or bonded? • Who has master keys to the access doors? Stack areas? Office areas? • Are all employees instructed on what to do in case of theft? Burglary? Other serious crimes? Who to contact? Fe Angela M. Verzosa 83
  • 84.
    Preservation Management •In records management, it is a tool used to manage the physical condition of records, ensuring present and future access. It should be viewed as an integral component of day-to-day operations in managing records. Fe Angela M. Verzosa 84
  • 85.
    Preservation Guidelines •pest control • temperature • humidity • acidity control • handling of materials by staff
  • 86.
    Do not useany preservation measure, or treatment that: • cannot be reversed if necessary • cannot be used properly • will not last a long time • is harmful to people • changes the physical property of the material • dissolves or damages any part of thematerial
  • 87.
    Closing remarks: Is…. Fe Angela M. Verzosa 87
  • 88.
    Records management is: • Preserving our past, providing access to our future. • Preserving the past, preparing the future, protecting the present. • Preserving yesterday, managing today, preparing for tomorrow. • Ensuring the future by preserving the past. Fe Angela M. Verzosa 88
  • 89.
    Records Management isa TEAM SPORT! It’s a whole new world! It takes teamwork to achieve RM goals. Fe Angela M. Verzosa 89
  • 90.
    Finally…the 3 e’s 90 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).
  • 91.
    Congratulations! We aredone! Fe Angela M. Verzosa 91
  • 92.