records and archives administration

UNDERSTANDING RECORDS MANAGEMENT AND ARCHIVES

ADMINISTRATION

Yolanda C. GrandaProfessorial Lecturer (Archives Studies)

UP School of Library and Information Studies

Past Head, NCCA Committee on Archives

Past President, Society of Filipino Archivists

OBJECTIVES

gain awareness on records

management and archives

concepts, principles and

practices

understand the importance of

records management and

archives administration and their

role in governance

At the completion of this session, you should be able to :

OVERVIEW OF THE SESSION

• Role of Records Management and Archives

Administration in Governance

• Records Management and Archives

Concepts


Principles and Practices

ROLE OF RECORDS MANAGEMENT AND

ARCHIVES ADMINISTRATION IN

GOVERNANCE

Records Management as Keystone to

Archives Administration

Sound records management program is

necessary for the development of a comprehensive archives, the “most precious among our national assets”,which is essential for goodgovernance

ROLE OF RECORDS MANAGEMENT AND

ARCHIVES ADMINISTRATION IN

GOVERNANCE

Need to Integrate Records Management

and Archives Administration

Increase efficiency

Be able to support accountability and

transparency, resulting in goodgovernance

Accountability and Transparency

EFFECTIVE RECORDS

MANAGEMENT

AND ARCHIVES PROGRAM

GOOD GOVERNANCE

Easy Reference

and Access

Accurate Appraisal,

Acquisition and

Disposition of

Records

Proper

Preservation

Standard

Arrangement

and

Description

Increase Efficiency

Develop Comprehensive

Archives

• As defined by the International Standard on Records

Management, records refer to the information created,

received and maintained as evidence by an organization

or person, in pursuance of legal obligations or in the

transaction of business

• Records come in whatever form or medium:

textual

audiovisual

electronic

three-dimensional

RECORDS MANAGEMENT

AND ARCHIVES CONCEPTS

What are Records?

Why Keep Records?

RECORDS MANAGEMENT


Business UseRecords of organizational

and social activities

Archives UseRecords of continuing value

Good Governance

Field of management responsible for the

efficient and systematic control of

processes and systems involving records:

• creation

• maintenance

• disposition

Phases of

Records

Management

What is Records Management?

RECORDS MANAGEMENT


RECORDS MANAGEMENT


Records Creation

• Correspondence/Directive management

• Forms management• Reports management• Reprographics

Records Maintenance

• Files management system• Mail management system

Records Disposition

• Records inventory • Records appraisal• Records disposition schedule• Transfer of scheduled temporary records to the Records Center• Transfer of permanent records to the Archives• Disposal of valueless records• Development of a vital records protection program

What are Archives?

• The institutions or agencies responsible, among

others, for the formulation, development and

implementation of archives systems, policies, standards

and practices on

appraisal and acquisition

arrangement and description

preservation/conservation

reference and access

promotion and outreach

administration

Government

Academic

Business

Church

Medical

Military

Personal/Family

RECORDS MANAGEMENT


RECORDS MANAGEMENT


Identify Preserve

Archives Mission

Linear View

RECORDS MANAGEMENT


Cyclical View

Identify

Preserve

Make

Available

Reappraisal

Conducting Inventories/Surveys

Appraisal

Acquisitions

ArrangementDescription

Preservation

Reference and Access

Promotion and Outreach

Archives Mission

GOVERNMENT ARCHIVES

National Archives of the Philippines

GOVERNMENT ARCHIVES

Senate of the Philippines Legislative Records and Archives Service

House of Representatives Legislative Archives

GOVERNMENT ARCHIVES

Dagupan City Archives

GOVERNMENT ARCHIVES

ACADEMIC ARCHIVES

Ateneo de Manila University Archives

ACADEMIC ARCHIVES

University of the Philippines Archives

BUSINESS ARCHIVES

Asian Development Bank Archives

MEDICAL ARCHIVES

Culion Museum & Archives in Palawan

PARISH ARCHIVES

St. John the Baptist (Quiapo Church) Parish Archives

RELIGIOUS ARCHIVES

PERSONAL/ FAMILY ARCHIVES

Ramon Magsaysay Library and Archives

What are Archives?

• The central depositories or repositories,

building or part of the building dedicated to the

preservation and use of archives

RECORDS MANAGEMENT


• created, received and collected, in whatever form, which are

permanent, unique and organically related;

• appraised based on their continuing or secondary value ( evidential, historical, research / info and/or symbolic values);

• acquired after serving the purpose for which these were

created;

• arranged and described in accordance with standard and accepted archives practices;

• conserved and promoted to be used;

• also referred to as the documentary heritage or the

collective memory of an organization, place or person which serves as the bridge between the past, the present and the future

What are Archives?

The records

RECORDS MANAGEMENT


What are Archives?The discipline administered by an archivist

is educated through formal and informal archives education

adheres to standards and code of ethics participates in professional organizations,

local and foreign

RECORDS MANAGEMENT


LOCAL : Society of Filipino Archivists (SFA)

Society of Film Archivists (SOFIA)

Philippine Records Management Association

(PRMA)

Government Records Officers Association of the

Philippines (GROAP)

FOREIGN : Southeast Asia-Pacific Audiovisual Archive Association

(SEAPAVAA)

International Council on Archives (ICA)

RECORDS MANAGEMENT


• Committed • Trustworthy • Enthusiastic • Systematic • Patient• Meticulous • Naturally Curious• Analytic/Creative• Have Sound Judgement • Have Sense of History

Some Desirable Traits of Archivists

Why Keep Archives?

RECORDS MANAGEMENT


• Rule of Law

• Accountability and Transparency

• Protection of Rights

• Services for Communities

• Management of Resources

• Collective Memory

• Records Management Office (RMO)

Records Manager/ Officer or Document

Controller

- knowledgeable in both records management and

archives administration

- responsible in implementing the three phases of

records management as well as coordinating the

recordkeeping and archives activities in all offices of

the organization through identified trained

personnel/records and archives coordinators

Who will Implement Records Management

and Archives?

RECORDS MANAGEMENT


• Archives

Chief Archivist who will work closely with the

Records Manager/Officer or Document Controller, if

any, and identified trained personnel of different

units


and Archives? (cont’d)

RECORDS MANAGEMENT



Office (RMAO)

A combined Records Management and Archives

Office may be established under the head of the

organization to be administered by an

Archivist



RECORDS MANAGEMENT


In the absence of RMO, Archives or RMAO, a RecordsManagement and Archives Committee(RMAC) or Task Force

may be created momentarily to implement recordsmanagement and archives activities, focusing onrecords inventory and appraisal, formulation ofRecords Disposition Schedule, transfer and disposal ofrecords, and the eventual creation of archives

• Records Management and Archives Committee

RECORDS MANAGEMENT

AND ARCHIVES CONCEPTSWho will Implement Records Management


• Records follow a life cycle

• Records care follow a continuum

• Records are arranged and described

according to hierarchical levels

RECORDS MANAGEMENT AND ARCHIVES CONCEPTS

Records Life Cycle

Creation or Receipt, Distribution and Use

Maintenance

• Current records file/store, retrieve and protect records

Disposition

• Non-current scheduled records (temporary) transfer to Records Center

• Non-current permanent records transfer to Archives • Non-current valueless records dispose through destruction

Linear Sequence


However...

records are maintained indefinitely at the

records center or storage area without

regard to their time and utility values

Records Life Cycle


Why?

• Lack of Awareness on Records Management and Archives

• Lack of Records Inventory

• Lack of Records Appraisal

• Absence of Records Disposition Schedule (RDS)

That's Why...

A better model was developed

Records Life Cycle


Records Continuum

• Proposed by the International Council on

Archives and the International Records

Management Trust in the 80’s in response

to the limitation of the Records Life Cycle

Model developed in the 50’s by American

Archivist Theodore Schellenberg


• A unified or integrated approach to managing

records from the development of

recordkeeping systems through the creation of

records, retention, and use of records as

archives

• Ends traditional demarcation between

functions of the records manager and archivist;

junks concept of “where records management

ends, archives begins”

Records Continuum


Records Continuum

• Still acknowledges the various stages that a record

goes through; however, it does not tie the functions

of records management to these stages; managing

records is seen as a continuous process where one part of the continuum passes flawlessly into another

• Professional partnership among the records

manager/officer/document controller, the archivist

and trained personnel/records and archives

coordinators in each unit of the entire organization


CREATION

MAINTENANCE

DISPOSITION

APPRAISAL & ACQUISITION

ARRANGEMENT & DESCRIPTION

REFERENCE & ACCESS

PRESERVATION/CONSERVATION

PROMOTION & OUTREACH

RECORDS MANAGEMENT ARCHIVES ADM.

Integration of Records Management and

Archives Administration using the

Records Continuum Concept

Applications of the

Integration of Records

Management and Archives

Administration through the

Records Continuum Concept

Creation

Appraise records to be created

Use acid-free or good quality paper to create records which are appraised to be archives

Duplicate archival records through

microfilming and digitization

Transfer preservation and accesscopies of newly created archival records like publications

Maintenance

Transfer archival records to the

archives after these have served the

purpose for which these were

created

Appraisal, Acquisition and

Preservation

Appraise archives for their evidential, historical, research/informational

and/or symbolic values

Recommend use of acid-free or good quality paper

Recommend microfilming of archival records to preserve the originals and digitization of records for access

Receive preservation and access

copies of archival records

Receive archival records transferred by various agency units

Receive archival records through

donation, loan or purchase

RECORDS MANAGEMENT ARCHIVES

Maintenance (cont’d)

Separate processing and filing of

archival records from non-archives

Arrange and describe records according

to provenance or fonds/subfonds,

series/subseries, file and item levels

Do not staple archival records;

use plastic paper clips lined with

small pieces of good quality paper

(not scratch paper) for archival

records

Do not punch and use fasteners to

hold archival records in folders;

instead, use prong fasteners (long,

plastic) to hold archival records in

folders

Arrangement, Description

and Preservation

Arrange and describe records

using fonds/subfonds, series/

subseries, file and item levels

Use plastic paper clips lined with

small pieces of good quality paper

to hold pages of archival records

Remove fasteners, staple wires,

pins and rubber bands



Use acid-free folders for archival

records; otherwise, buffer with good

quality paper

Check folder thickness; use creases

at the left side of folders

Label folders properly to avoid lost

or misplaced records

Do not jam drawers to capacity

Provide record s system, such as

receiving and routing system, document

tracking system, file plan, classification

system, inventory and index

Arrangement, Description and

Preservation (cont’d)

Use acid-free folders for archival

records; otherwise, buffer with

good quality paper

Check folder thickness, use

creases at the left side of folders

Label folders properly to avoid lost

or misplaced records

Do not jam document boxes to

capacity

Provide finding aids, such as

accession record, inventory,

catalog/database and index



Use charge-out card to service

materials

Service only the required

documents; do not give the entire

folder/box

Do not allow users to go inside the

storage area

Promote the use of records, both

archives and non-archives

Reference, Access

and Promotion

Use charge-out card to service

materials

Service only the required

documents; do not give the entire

folder/box

Do not allow users to go inside the storage area

Promote the use of archives


Disposition

Separate storage of non-archives,

which are to be disposed of based on

RRDS, in a low-cost storage area or

Records Center

Store vital records in secured / safe

areas

For institutions with no Archives

unit:

Store archival records (print, AV

and electronic) in secured / safe

areas and under controlled

environment, using steel shelves

Preservation / Conservation

Preserve vital records identified

as archives

Store archival records (print, AV

and electronic) in secured / safe

areas and under controlled

environment, using steel shelves


Disposition (cont’d)

For institutions with no Archives

unit:

Separate storage of print

oversized materials, AV and

electronic records

Seek assistance of archivist /

conservator to attend to damaged /

deteriorated archival documents

Preservation / Conservation

Separate storage of print

oversized materials, AV and

electronic records

Apply conservation

treatments to damaged /

deteriorated documents


Inventory, Appraisal, Scheduling,

Transfer and Disposal

• Records inventory

• Appraisal based on values of records and archives

RECORDS MANAGEMENT AND

ARCHIVES PRINCIPLES AND

PRACTICES

Time Value Utility Value* Temporary * Primary * Secondary (Archival)

* Permanent - Administrative - Evidential

- Legal - Historical

- Fiscal - Research/Informational

- Symbolic



PRACTICES

• Establishment of retention periods

• Development and implementation of Records

Disposition Schedule (RDS)

• Transfer of scheduled records to the Records

Center

• Transfer of permanent records to the Archives

• Disposal of valueless records

• Development of a vital records protection

program

Inventory, Appraisal, Scheduling, Transfer and Disposal (cont’d)



PRACTICES

Inventory, Appraisal, Scheduling, Transfer and Disposal (cont’d)

Inventory : Procedures (to be conducted by the

staff of the unit)

1.Identify the fonds or record groups according to their

placement in the organizational structure

2. Identify the series, subseries and other hierarchical levels

of arrangement and description under each fonds or record

group

3. Label the location where the records are stored (cabinets,

shelves, boxes, folders, etc.)



PRACTICES

Inventory, Appraisal, Transfer and Disposal (cont’d)

4. Accomplish Records Inventory Form

5. Submit accomplished Records Inventory Form to RMO,

Archives, RMAO or RMAC for evaluation

Said office will coordinate with the heads of the different

units and their identified key personnel in preparing

a Records Disposition Schedule

Arrangement and Description

• Physical and intellectual control of

records based on standards and

accepted practices



PRACTICES

Provenance (source, origin, creator, fonds

or record group)

Original order (original arrangement of records)

Principles of Arrangement and Description

RECORDS MANAGEMENT AND ARCHIVES PRINCIPLES AND

PRACTICES

Depository

Subdepository, ...

Fonds/Record Group

Subfonds/Subgroup, ...

Series

Subseries, ...

File

Item

Levels of Arrangement and Description


PRACTICES

Depository

Central area for the preservation and use of the institution’s records and/or archives

Subdepository

Breakdown of the depository’s complete

holdings into a few major divisions



PRACTICES

Fonds

Primary records creating unit consisting of organically related records established on the basis of provenance. Also known as Record Group

Subfonds/Subgroup

Subordinate administrative unit under the fonds or record group


RECORDS MANAGEMENT AND ARCHIVES CONCEPTS AND

PRACTICES

Series

Basic unit within a fonds which refers to a set of

documents resulting from the same function or activity or

having a common form or relationship arising from their

creation, receipt or use; often referred to collectively by a

specific title. Also known as Records Series

Subseries

Aggregate of units within a series



PRACTICES

File

An organized physical assembly of documents, usually

within a folder, relating to the same subject, activity or

transaction

Item

Smallest indivisible archival unit



PRACTICES

Depository UNIVERSITY OF THE PEOPLE ARCHIVES

Subdepository SERVICES AND FACILITIES

Fonds OFFICE OF THE UNIVERSITY REGISTRAR

Subfonds RECORDS SECTION

Series Reports of Grades

Subseries School of Information Studies

File AY 2008-2009

Item Report of Grades for IS 212,

1st

Semester, AY 2008-2009

Levels of Arrangement and Description (sample 1)


PRACTICES

Levels of Arrangement and Description (sample 3)


PRACTICES

Depository ABC PHILIPPINE PROVINCE ARCHIVES

Subdepository PROVINCIAL ADMINISTRATION

Fonds OFFICE OF THE PROVINCIAL

SUPERIOR

Series Reports

Subseries Annual Reports

File 2006-2009

Item Annual Report for 2006



PRACTICES

Preservation/Conservation

• Providing proper building, storage, environment and material control for records and archives

• Development and implementation of a disaster management program

• Principles

Records don’t save themselves

Prevention is better than cure



PRACTICES

Reference and Access

• Process of making records available

to present and anticipated users

• Principles

Archives are kept forever but not entombed

Preservation without access is useless



PRACTICES


• Planned promotional services andoutreach projects which inform thecommunity about the archives holdings and services



PRACTICES


• Programs and Activities

Exhibits

Promotional Materials

Publications

Public Relations and Publicity

Special Events

User Education, etc.



PRACTICES

Administration

• Management support in terms of

Creation of RMO, Archives, RMAO or RMAC

Budget, personnel and facilities

Formulation, development and implementation of

records and archives systems (e.g. receiving and

routing system, document tracking system, file plan,

classification system, inventory and index), policies,

standards and accepted practices

USEFUL REFERENCES

Best, D. (2002). Effective Records Management : A

Management Guide to the Value of BS ISO 15489-1.

London : British Standards Institution.

Ellis, Judith, ed. (1993). Keeping Archives. 2nd ed.

Australia : Thorpe.

Hunter, Gregory S. (1997). Developing and Maintaining

Practical Archives : A How-To-Do-It Manual. New

York : Neal-Schuman Pub.

(2001). International Standard, ISO 15489-1 : Information

and Documentation – Records Management, Part 1,

General. Geneva : ISO.

Yolanda C. Granda

[email protected]

Mobile : 09209056991; Tel/Fax : 632-9314461

records and archives administration

Documents