Records and Archives Administration

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<p>UNDERSTANDING RECORDS MANAGEMENT AND ARCHIVES ADMINISTRATION</p> <p>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</p> <p>OBJECTIVESAt the completion of this session, you should be able to : understand the importance of records management and archives administration and their role in governance gain awareness on records management and archives concepts, principles and practices</p> <p>OVERVIEW OF THE SESSION</p> <p> Role of Records ManagementAdministration in Governance</p> <p>and Archives</p> <p> Records Management and ArchivesConcepts</p> <p> Records Management and ArchivesPrinciples and Practices</p> <p>ROLE OF RECORDS MANAGEMENT AND ARCHIVES ADMINISTRATION IN GOVERNANCE Records Management as Keystone to Archives Administration</p> <p>Sound records management program is necessary for the development of a comprehensive archives, the most precious among our national assets, which is essential for good governance</p> <p>ROLE OF RECORDS MANAGEMENT AND ARCHIVES ADMINISTRATION IN GOVERNANCENeed to Integrate Records Management and Archives Administration</p> <p>Increase efficiencyBe able to support accountability and transparency, resulting in good governance</p> <p>EFFECTIVE RECORDS MANAGEMENT AND ARCHIVES PROGRAMAccurate Appraisal, Acquisition and Disposition of Records Standard Arrangement and Description Proper Easy Reference and Access Preservation</p> <p>Develop Comprehensive ArchivesIncrease Efficiency</p> <p>Accountability and Transparency</p> <p>GOOD GOVERNANCE</p> <p>RECORDS MANAGEMENT AND ARCHIVES CONCEPTSWhat are Records? 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</p> <p>RECORDS MANAGEMENT AND ARCHIVES CONCEPTSWhy Keep Records?</p> <p>Business UseRecords of organizational and social activities</p> <p>Archives UseRecords of continuing value</p> <p>Good Governance</p> <p>RECORDS MANAGEMENT AND ARCHIVES CONCEPTSWhat is Records Management?Field of management responsible for the efficient and systematic control of processes and systems involving records: creation maintenance disposition</p> <p>Phases of Records Management</p> <p>RECORDS MANAGEMENT AND ARCHIVES CONCEPTSRecords Creation Correspondence/Directive management Forms management Reports management Reprographics</p> <p>Records Maintenance Files management system Mail management system</p> <p>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</p> <p>RECORDS MANAGEMENT AND ARCHIVES CONCEPTS 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 administrationGovernment Academic Business Church Medical Military Personal/Family</p> <p>RECORDS MANAGEMENT AND ARCHIVES CONCEPTSArchives Mission</p> <p>Identify</p> <p>Preserve</p> <p>Linear View</p> <p>RECORDS MANAGEMENT AND ARCHIVES CONCEPTSArchives MissionReappraisal Promotion and Outreach Reference and Access</p> <p>Conducting Inventories/SurveysMake Available Identify Appraisal</p> <p>Preservation Preserve Description</p> <p>Acquisitions</p> <p>Arrangement</p> <p>Cyclical View</p> <p>GOVERNMENT ARCHIVES</p> <p>National Archives of the Philippines</p> <p>GOVERNMENT ARCHIVES</p> <p>Senate of the Philippines Legislative Records and Archives Service</p> <p>GOVERNMENT ARCHIVES</p> <p>House of Representatives Legislative Archives</p> <p>GOVERNMENT ARCHIVES</p> <p>Dagupan City Archives</p> <p>ACADEMIC ARCHIVES</p> <p>Ateneo de Manila University Archives</p> <p>ACADEMIC ARCHIVES</p> <p>University of the Philippines Archives</p> <p>BUSINESS ARCHIVES</p> <p>Asian Development Bank Archives</p> <p>MEDICAL ARCHIVES</p> <p>Culion Museum &amp; Archives in Palawan</p> <p>PARISH ARCHIVES</p> <p>St. John the Baptist (Quiapo Church) Parish Archives</p> <p>RELIGIOUS ARCHIVES</p> <p>PERSONAL/ FAMILY ARCHIVES</p> <p>Ramon Magsaysay Library and Archives</p> <p>RECORDS MANAGEMENT AND ARCHIVES CONCEPTSWhat are Archives? The</p> <p>depositories or repositories, building or part of the building dedicated to thecentral preservation and use of archives</p> <p>RECORDS MANAGEMENT AND ARCHIVES CONCEPTS What are Archives?The records 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</p> <p>RECORDS MANAGEMENT AND ARCHIVES CONCEPTS 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</p> <p>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</p> <p>(SEAPAVAA) International Council on Archives (ICA)</p> <p>RECORDS MANAGEMENT AND ARCHIVES CONCEPTSSome Desirable Traits of Archivists Committed Trustworthy Enthusiastic Systematic Patient Meticulous Naturally Curious Analytic/Creative Have Sound Judgement Have Sense of History</p> <p>RECORDS MANAGEMENT AND ARCHIVES CONCEPTSWhy Keep Archives? Rule of Law Accountability and Transparency</p> <p> Protection of Rights Services for Communities</p> <p> Management of Resources Collective Memory</p> <p>RECORDS MANAGEMENT AND ARCHIVES CONCEPTSWho will Implement Records Management and Archives? Records Management Office (RMO) Records Manager/ Officer or Document Controller - knowledgeable in both records management and archives administration</p> <p>- 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</p> <p>RECORDS MANAGEMENT AND ARCHIVES CONCEPTSWho will Implement Records Management and Archives? (contd) Archives Chief Archivist who will work closely with the Records Manager/Officer or Document Controller, if any, and identified trained personnel of different units</p> <p>RECORDS MANAGEMENT AND ARCHIVES CONCEPTSWho will Implement Records Management and Archives? (contd) Records Management and Archives Office (RMAO) A combined Records Management and Archives Office may be established under the head of the organization to be administered by an Archivist</p> <p>RECORDS MANAGEMENT AND ARCHIVES CONCEPTSWho will Implement Records Management and Archives? (contd) Records Management and Archives CommitteeIn the absence of RMO, Archives or RMAO, a Records</p> <p>Management and Archives Committee (RMAC) or Task Forcemay be created momentarily to implement records management and archives activities, focusing on records inventory and appraisal, formulation of Records Disposition Schedule, transfer and disposal of records, and the eventual creation of archives</p> <p>RECORDS MANAGEMENT AND ARCHIVES CONCEPTS Records follow a life cycle Records care follow a continuum Records are arranged and described according to hierarchical levels</p> <p>RECORDS MANAGEMENT AND ARCHIVES CONCEPTSRecords Life CycleCreation or Receipt, Distribution and Use</p> <p>Maintenance Current records file/store, retrieve and protect records</p> <p>Disposition Non-current scheduled records (temporary) Non-current permanent records Non-current valueless records transfer to Records Center transfer to Archives dispose through destruction</p> <p>Linear Sequence</p> <p>RECORDS MANAGEMENT AND ARCHIVES CONCEPTSRecords Life CycleHowever...records are maintained indefinitely at the records center or storage area without regard to their time and utility values</p> <p>RECORDS MANAGEMENT AND</p> <p>ARCHIVES CONCEPTS</p> <p>Records Life CycleWhy? Lack of Awareness on Records Management and Archives Lack of Records Inventory Lack of Records Appraisal Absence of Records Disposition Schedule (RDS)</p> <p>That's Why...A better model was developed</p> <p>RECORDS MANAGEMENT AND ARCHIVES CONCEPTSRecords Continuum Proposed by the International Council on Archives and the International Records Management Trust in the 80s in response to the limitation of the Records Life Cycle Model developed in the 50s by American Archivist Theodore Schellenberg</p> <p>RECORDS MANAGEMENT AND ARCHIVES CONCEPTS</p> <p>Records Continuum 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</p> <p> Ends traditional demarcation between functions of the records manager and archivist; junks concept of where records management ends, archives begins</p> <p>RECORDS MANAGEMENT AND ARCHIVES CONCEPTSRecords Continuum Still acknowledges the various stages that a record</p> <p>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</p> <p>Integration of Records Management and Archives Administration using the Records Continuum ConceptCREATION MAINTENANCE DISPOSITION</p> <p>APPRAISAL &amp; ACQUISITION ARRANGEMENT &amp; DESCRIPTION REFERENCE &amp; ACCESS PRESERVATION/CONSERVATION PROMOTION &amp; OUTREACH</p> <p>RECORDS MANAGEMENT</p> <p>ARCHIVES ADM.</p> <p>Applications of the Integration of Records Management and Archives Administration through the Records Continuum Concept</p> <p>RECORDS MANAGEMENT CreationAppraise records to be createdUse acid-free or good quality paper to create records which are appraised to be archives Duplicate archival records through microfilming and digitization</p> <p>ARCHIVESAppraisal, Acquisition and PreservationAppraise archives for their evidential, historical, research/informational and/or symbolic values</p> <p>Recommend use of acid-free or good quality paper Recommend microfilming of archival records to preserve the originals and digitization of records for access</p> <p>Transfer preservation and access copies of newly created archival records like publications</p> <p>Receive preservation and access copies of archival records</p> <p>MaintenanceTransfer archival records to the archives after these have served the purpose for which these were createdReceive archival records transferred by various agency units Receive archival records through donation, loan or purchase</p> <p>RECORDS MANAGEMENT Maintenance (contd)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</p> <p>ARCHIVESArrangement, Description and Preservation</p> <p>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</p> <p>Do not staple archival records; use plastic paper clips lined with small pieces of good quality paper (not scratch paper) for archival recordsDo not punch and use fasteners to hold archival records in folders; instead, use prong fasteners (long, plastic) to hold archival records in folders</p> <p>Remove fasteners, staple wires, pins and rubber bands</p> <p>RECORDS MANAGEMENT Maintenance (contd)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</p> <p>ARCHIVESArrangement, Description and Preservation (contd) 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</p> <p>Provide record s system, such as receiving and routing system, document tracking system, file plan, classification system, inventory and index</p> <p>RECORDS MANAGEMENT Maintenance (contd)Use charge-out card to service materials</p> <p>ARCHIVES Reference, Access and PromotionUse charge-out card to service materials</p> <p>Service only the required documents; do not give the entire folder/box</p> <p>Service only the required documents; do not give the entire folder/box</p> <p>Do not allow users to go inside the storage area Promote the use of records, both archives and non-archives</p> <p>Do not allow users to go inside the storage area</p> <p>Promote the use of archives</p> <p>RECORDS MANAGEMENT DispositionSeparate 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</p> <p>ARCHIVESPreservation / Conservation</p> <p>Preserve vital records identified as archives</p> <p>Store archival records (print, AV and electronic) in secured / safe areas and under controlled environment, using steel shelves</p> <p>RECORDS MANAGEMENT Disposition (contd)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</p> <p>ARCHIVESPreservation / Conservation</p> <p>Separate storage of print oversized materials, AV and electronic records</p> <p>Apply conservation treatments to damaged / deteriorated documents</p> <p>RECORDS MANAGEMENT AND ARCHIVES PRINCIPLES AND PRACTICESInventory, Appraisal, Scheduling, Transfer and Disposal Records inventory Appraisal based on values of records and archives</p> <p>Time Value* Temporary * Permanent - Legal - Fiscal</p> <p>Utility Value* Primary - Administrative * Secondary (Archival) - Evidential - Historical - Research/Informational - Symbolic</p> <p>RECORDS MANAGEMENT AND ARCHIVES PRINCIPLES AND PRACTICESInventory, Appraisal, Schedu...</p>