YCGranda Understanding Records Management and Archives Administration

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<ul><li><p>UNDERSTANDING RECORDS MANAGEMENT AND ARCHIVES</p><p>ADMINISTRATION </p><p>Yolanda C. GrandaProfessorial Lecturer (Archives Studies)</p><p>UP School of Library and Information Studies</p><p>Past Head, NCCA Committee on Archives</p><p>Past President, Society of Filipino Archivists</p></li><li><p>OBJECTIVES</p><p>gain awareness on records </p><p>management and archives </p><p>concepts, principles and </p><p>practices</p><p>understand the importance of </p><p>records management and </p><p>archives administration and their </p><p>role in governance</p><p>At the completion of this session, you should be able to :</p></li><li><p>OVERVIEW OF THE SESSION</p><p> Role of Records Management and ArchivesAdministration in Governance</p><p> Records Management and Archives Concepts</p><p> Records Management and ArchivesPrinciples and Practices</p></li><li><p>ROLE OF RECORDS MANAGEMENT AND </p><p>ARCHIVES ADMINISTRATION IN </p><p>GOVERNANCE</p><p>Records Management as Keystone to </p><p>Archives Administration</p><p> Sound records management program is </p><p>necessary for the development of a comprehensive archives, the most precious among our national assets,which is essential for goodgovernance</p></li><li><p>ROLE OF RECORDS MANAGEMENT AND </p><p>ARCHIVES ADMINISTRATION IN </p><p>GOVERNANCE</p><p>Need to Integrate Records Management </p><p>and Archives Administration </p><p> Increase efficiency</p><p> Be able to support accountability and </p><p>transparency, resulting in goodgovernance</p></li><li><p>Accountability and Transparency</p><p>EFFECTIVE RECORDS </p><p>MANAGEMENT </p><p>AND ARCHIVES PROGRAM</p><p>GOOD GOVERNANCE</p><p>Easy Reference </p><p>and Access</p><p>Accurate Appraisal, </p><p>Acquisition and </p><p>Disposition of </p><p>Records</p><p>Proper</p><p>Preservation</p><p>Standard </p><p>Arrangement </p><p>and </p><p>Description</p><p>Increase Efficiency</p><p>Develop Comprehensive </p><p>Archives</p></li><li><p> As defined by the International Standard on RecordsManagement, records refer to the information created,</p><p>received and maintained as evidence by an organization</p><p>or person, in pursuance of legal obligations or in the</p><p>transaction of business</p><p> Records come in whatever form or medium:</p><p> textual audiovisual electronic three-dimensional</p><p>RECORDS MANAGEMENT </p><p>AND ARCHIVES CONCEPTS </p><p>What are Records?</p></li><li><p>Why Keep Records?</p><p>RECORDS MANAGEMENT </p><p>AND ARCHIVES CONCEPTS</p><p>Business UseRecords of organizational </p><p>and social activities</p><p>Archives UseRecords of continuing value</p><p>Good Governance</p></li><li><p>Field of management responsible for the</p><p>efficient and systematic control of</p><p>processes and systems involving records:</p><p> creation</p><p> maintenance</p><p> disposition</p><p>Phases of </p><p>Records </p><p>Management</p><p>What is Records Management?</p><p>RECORDS MANAGEMENT </p><p>AND ARCHIVES CONCEPTS</p></li><li><p>RECORDS MANAGEMENT </p><p>AND ARCHIVES CONCEPTS</p><p>Records Creation</p><p> Correspondence/Directive management Forms management Reports management Reprographics</p><p>Records Maintenance</p><p> Files management system Mail management system</p><p>Records Disposition</p><p> 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></li><li><p>What are Archives?</p><p> The institutions or agencies responsible, amongothers, for the formulation, development and</p><p>implementation of archives systems, policies, standards</p><p>and practices on</p><p> appraisal and acquisition arrangement and description preservation/conservation reference and access promotion and outreach administration</p><p>Government</p><p>Academic </p><p>Business </p><p>Church </p><p>Medical</p><p>Military </p><p>Personal/Family</p><p>RECORDS MANAGEMENT </p><p>AND ARCHIVES CONCEPTS</p></li><li><p>RECORDS MANAGEMENT </p><p>AND ARCHIVES CONCEPTS</p><p>Identify Preserve</p><p>Archives Mission</p><p>Linear View</p></li><li><p>RECORDS MANAGEMENT </p><p>AND ARCHIVES CONCEPTS</p><p>Cyclical View</p><p>Identify</p><p>Preserve</p><p>Make </p><p>Available</p><p>Reappraisal </p><p>Conducting Inventories/Surveys</p><p>Appraisal</p><p>Acquisitions</p><p>ArrangementDescription</p><p>Preservation</p><p>Reference and Access</p><p>Promotion and Outreach</p><p>Archives Mission</p></li><li><p>GOVERNMENT ARCHIVES</p><p>National Archives of the Philippines</p></li><li><p>GOVERNMENT ARCHIVES</p><p>Senate of the Philippines Legislative Records and Archives Service</p></li><li><p>House of Representatives Legislative Archives</p><p>GOVERNMENT ARCHIVES</p></li><li><p>Dagupan City Archives</p><p>GOVERNMENT ARCHIVES</p></li><li><p>ACADEMIC ARCHIVES</p><p>Ateneo de Manila University Archives</p></li><li><p>ACADEMIC ARCHIVES</p><p>University of the Philippines Archives</p></li><li><p>BUSINESS ARCHIVES</p><p>Asian Development Bank Archives</p></li><li><p>MEDICAL ARCHIVES</p><p>Culion Museum &amp; Archives in Palawan</p></li><li><p>PARISH ARCHIVES</p><p>St. John the Baptist (Quiapo Church) Parish Archives</p></li><li><p>RELIGIOUS ARCHIVES</p></li><li><p>PERSONAL/ FAMILY ARCHIVES</p><p>Ramon Magsaysay Library and Archives</p></li><li><p>What are Archives?</p><p> The central depositories or repositories,</p><p>building or part of the building dedicated to thepreservation and use of archives</p><p>RECORDS MANAGEMENT </p><p>AND ARCHIVES CONCEPTS</p></li><li><p> created, received and collected, in whatever form, which are </p><p>permanent, unique and organically related;</p><p> appraised based on their continuing or secondary value ( evidential, historical, research / info and/or symbolic values); </p><p> acquired after serving the purpose for which these were created; </p><p> arranged and described in accordance with standard and accepted archives practices; </p><p> conserved and promoted to be used; </p><p> also referred to as the documentary heritage or thecollective memory of an organization, place or person which serves as the bridge between the past, the present and the future </p><p>What are Archives?</p><p>The records</p><p>RECORDS MANAGEMENT </p><p>AND ARCHIVES CONCEPTS</p></li><li><p>What are Archives?The discipline administered by an archivist </p><p> is educated through formal and informal archives education</p><p> adheres to standards and code of ethics participates in professional organizations, </p><p>local and foreign</p><p>RECORDS MANAGEMENT </p><p>AND ARCHIVES CONCEPTS</p><p>LOCAL : Society of Filipino Archivists (SFA)</p><p>Society of Film Archivists (SOFIA)</p><p>Philippine Records Management Association </p><p>(PRMA)</p><p>Government Records Officers Association of the </p><p>Philippines (GROAP)</p><p>FOREIGN : Southeast Asia-Pacific Audiovisual Archive Association </p><p>(SEAPAVAA)</p><p>International Council on Archives (ICA)</p></li><li><p>RECORDS MANAGEMENT </p><p>AND ARCHIVES CONCEPTS</p><p> Committed Trustworthy Enthusiastic Systematic Patient Meticulous Naturally Curious Analytic/Creative Have Sound Judgement Have Sense of History</p><p>Some Desirable Traits of Archivists</p></li><li><p>Why Keep Archives?</p><p>RECORDS MANAGEMENT </p><p>AND ARCHIVES CONCEPTS</p><p> Rule of Law</p><p> Accountability and Transparency</p><p> Protection of Rights</p><p> Services for Communities</p><p> Management of Resources</p><p> Collective Memory</p></li><li><p> Records Management Office (RMO)</p><p>Records Manager/ Officer or DocumentController</p><p>- knowledgeable in both records management and</p><p>archives administration</p><p>- responsible in implementing the three phases of </p><p>records management as well as coordinating the </p><p>recordkeeping and archives activities in all offices of </p><p>the organization through identified trained </p><p>personnel/records and archives coordinators </p><p>Who will Implement Records Management </p><p>and Archives?</p><p>RECORDS MANAGEMENT </p><p>AND ARCHIVES CONCEPTS</p></li><li><p> Archives</p><p> Chief Archivist who will work closely with the Records Manager/Officer or Document Controller, if </p><p>any, and identified trained personnel of different </p><p>units</p><p>Who will Implement Records Management </p><p>and Archives? (contd)</p><p>RECORDS MANAGEMENT </p><p>AND ARCHIVES CONCEPTS </p></li><li><p> Records Management and Archives </p><p>Office (RMAO)</p><p> A combined Records Management and Archives Office may be established under the head of the </p><p>organization to be administered by an </p><p>Archivist</p><p>Who will Implement Records Management </p><p>and Archives? (contd)</p><p>RECORDS MANAGEMENT </p><p>AND ARCHIVES CONCEPTS </p></li><li><p>In the absence of RMO, Archives or RMAO, a RecordsManagement and Archives Committee(RMAC) or Task Force</p><p>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</p><p> Records Management and Archives Committee</p><p>RECORDS MANAGEMENT </p><p>AND ARCHIVES CONCEPTSWho will Implement Records Management </p><p>and Archives? (contd)</p></li><li><p> Records follow a life cycle</p><p> Records care follow a continuum</p><p> Records are arranged and described according to hierarchical levels</p><p>RECORDS MANAGEMENT AND ARCHIVES CONCEPTS</p></li><li><p>Records Life Cycle</p><p>Creation or Receipt, Distribution and Use</p><p>Maintenance</p><p> Current records file/store, retrieve and protect records</p><p>Disposition</p><p> Non-current scheduled records (temporary) transfer to Records Center</p><p> Non-current permanent records transfer to Archives Non-current valueless records dispose through destruction</p><p>Linear Sequence</p><p>RECORDS MANAGEMENT AND ARCHIVES CONCEPTS </p></li><li><p>However...</p><p>records are maintained indefinitely at the </p><p>records center or storage area without </p><p>regard to their time and utility values</p><p>Records Life Cycle</p><p>RECORDS MANAGEMENT AND ARCHIVES CONCEPTS </p></li><li><p>Why?</p><p> Lack of Awareness on Records Management and Archives</p><p> Lack of Records Inventory</p><p> Lack of Records Appraisal</p><p> Absence of Records Disposition Schedule (RDS)</p><p>That's Why...</p><p>A better model was developed</p><p>Records Life Cycle</p><p>RECORDS MANAGEMENT AND ARCHIVES CONCEPTS</p></li><li><p>Records Continuum</p><p> Proposed by the International Council on </p><p>Archives and the International Records </p><p>Management Trust in the 80s in response </p><p>to the limitation of the Records Life Cycle </p><p>Model developed in the 50s by American </p><p>Archivist Theodore Schellenberg</p><p>RECORDS MANAGEMENT AND ARCHIVES CONCEPTS</p></li><li><p> A unified or integrated approach to managing records from the development of </p><p>recordkeeping systems through the creation of </p><p>records, retention, and use of records as </p><p>archives</p><p> Ends traditional demarcation between functions of the records manager and archivist; </p><p>junks concept of where records management ends, archives begins</p><p>Records Continuum</p><p>RECORDS MANAGEMENT AND ARCHIVES CONCEPTS</p></li><li><p>Records Continuum</p><p> Still acknowledges the various stages that a record </p><p>goes through; however, it does not tie the functions </p><p>of records management to these stages; managing </p><p>records is seen as a continuous process where one part of the continuum passes flawlessly into another</p><p> Professional partnership among the recordsmanager/officer/document controller, the archivist</p><p>and trained personnel/records and archives</p><p>coordinators in each unit of the entire organization</p><p>RECORDS MANAGEMENT AND ARCHIVES CONCEPTS</p></li><li><p>CREATION</p><p>MAINTENANCE</p><p>DISPOSITION</p><p>APPRAISAL &amp; ACQUISITION</p><p>ARRANGEMENT &amp; DESCRIPTION</p><p>REFERENCE &amp; ACCESS</p><p>PRESERVATION/CONSERVATION</p><p>PROMOTION &amp; OUTREACH</p><p>RECORDS MANAGEMENT ARCHIVES ADM.</p><p>Integration of Records Management and </p><p>Archives Administration using the </p><p>Records Continuum Concept</p></li><li><p>Applications of the </p><p>Integration of Records </p><p>Management and Archives </p><p>Administration through the </p><p>Records Continuum Concept</p></li><li><p>Creation</p><p>Appraise records to be created</p><p>Use acid-free or good quality paper to create records which are appraised to be archives </p><p>Duplicate archival records through</p><p>microfilming and digitization</p><p>Transfer preservation and accesscopies of newly created archival records like publications</p><p>Maintenance</p><p>Transfer archival records to the</p><p>archives after these have served the </p><p>purpose for which these were </p><p>created</p><p>Appraisal, Acquisition and </p><p>Preservation</p><p>Appraise archives for their evidential, historical, research/informational</p><p>and/or symbolic values</p><p>Recommend use of acid-free or good quality paper </p><p>Recommend microfilming of archival records to preserve the originals and digitization of records for access</p><p>Receive preservation and access </p><p>copies of archival records</p><p>Receive archival records transferred by various agency units</p><p>Receive archival records through </p><p>donation, loan or purchase</p><p>RECORDS MANAGEMENT ARCHIVES</p></li><li><p>Maintenance (contd)</p><p>Separate processing and filing of</p><p>archival records from non-archives</p><p>Arrange and describe records according </p><p>to provenance or fonds/subfonds, </p><p>series/subseries, file and item levels</p><p>Do not staple archival records; </p><p>use plastic paper clips lined with </p><p>small pieces of good quality paper</p><p>(not scratch paper) for archival</p><p>records</p><p>Do not punch and use fasteners to </p><p>hold archival records in folders; </p><p>instead, use prong fasteners (long, </p><p>plastic) to hold archival records in </p><p>folders</p><p>Arrangement, Description </p><p>and Preservation</p><p>Arrange and describe records</p><p>using fonds/subfonds, series/ </p><p>subseries, file and item levels </p><p>Use plastic paper clips lined with</p><p>small pieces of good quality paper </p><p>to hold pages of archival records</p><p>Remove fasteners, staple wires, </p><p>pins and rubber bands</p><p>RECORDS MANAGEMENT ARCHIVES</p></li><li><p>Maintenance (contd) </p><p>Use acid-free folders for archival </p><p>records; otherwise, buffer with good </p><p>quality paper</p><p>Check folder thickness; use creases </p><p>at the left side of folders</p><p>Label folders properly to avoid lost </p><p>or misplaced records</p><p>Do not jam drawers to capacity</p><p>Provide record s system, such as </p><p>receiving and routing system, document </p><p>tracking system, file plan, classification </p><p>system, inventory and index</p><p>Arrangement, Description and </p><p>Preservation (contd)</p><p>Use acid-free folders for archival </p><p>records; otherwise, buffer with </p><p>good quality paper</p><p>Check folder thickness, use </p><p>creases at the left side of folders</p><p>Label folders properly to avoid lost</p><p>or misplaced records</p><p>Do not jam document boxes to</p><p>capacity</p><p>Provide finding aids, such as </p><p>accession record, inventory,</p><p>catalog/database and index</p><p>RECORDS MANAGEMENT ARCHIVES</p></li><li><p>Maintenance (contd)</p><p>Use charge-out card to service </p><p>materials</p><p>Service only the required </p><p>documents; do not give the entire</p><p>folder/box</p><p>Do not allow users to go inside the</p><p>storage area </p><p>Promote the use of records, both </p><p>archives and non-archives </p><p>Reference, Access </p><p>and Promotion</p><p>Use charge-out card to service</p><p>materials</p><p>Service only the required </p><p>documents; do not give the entire</p><p>folder/box</p><p>Do not allow users to go inside the storage area</p><p>Promote the use of archives</p><p>RECORDS MANAGEMENT ARCHIVES</p></li><li><p>Disposition</p><p>Separate storage of non-archives,</p><p>which are to be disposed of based on </p><p>RRDS, in a low-cost storage area or </p><p>Records Center</p><p>Store vital records in secured / safe </p><p>areas</p><p>For institutions with no Archives</p><p>unit:</p><p>Store archival records (print, AV </p><p>and electronic) in secured / safe </p><p>areas and under controlled </p><p>environment, using steel shelves</p><p>Preservation / Conservation</p><p>Preserve vital records identified </p><p>as archives</p><p>Store archival records (print, AV </p><p>and electronic) in secured / safe </p><p>areas and under controlled </p><p>environment, using steel shelves</p><p>RECORDS MANAGEMENT ARCHIVES</p></li><li><p>Disposition (contd)</p><p>For institutions with no Archives</p><p>unit:</p><p>Separate storage of print </p><p>oversized materials, AV and </p><p>electronic records </p><p>Seek assistance of archivist /</p><p>conservator to attend to damaged /</p><p>deteriorated archival documents </p><p>Preservation / Conservation</p><p>Separate storage of print </p><p>oversized materials, AV and </p><p>electronic records </p><p>Apply conservation</p><p>treatments to damaged / </p><p>deteriorated documents </p><p>RECORDS MANAGEMENT ARCHIVES</p></li><li><p>Inventory, Appraisal, Scheduling, </p><p>Transfer and Disposal </p><p> Records inventory </p><p> Appraisal based on values of records and archives</p><p>RECORDS MANAGEMENT AND </p><p>ARCHIVES PRINCIPLES AND </p><p>PRACTICES</p><p>Time Value Utility Value* Temporary * Primary * Secondary (Archival)</p><p>* Permanent - Administrative - Evidential</p><p>- Legal - Historical</p><p>- Fiscal - Research/Informational</p><p>- Symbolic</p></li><li><p>RECORDS MANAGEMENT AND </p><p>ARCHIVES PRINCIPLES A...</p></li></ul>