UNDERSTANDING RECORDS MANAGEMENT AND ARCHIVES ADMINISTRATION
Yolanda C. Granda Professorial Lecturer (Archives Studies) UP School of Library and Information Studies Past Head, NCCA Committee on Archives Past President, Society of Filipino Archivists
OBJECTIVES
understand the importance of records management and archives administration and their role in governance gain awareness on records management management and archives concepts, principles and practices
OBJECTIVES
understand the importance of records management and archives administration and their role in governance gain awareness on records management management and archives concepts, principles and practices
OVERVIEW OF THE SESSION •
Role of Records Management Management and Archives Administration in Governance
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Records Management and Archives Concepts
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Records Management and Archives Principles and Practices
ROLE OF RECORDS MANAGEMENT AND ARCHIVES ADMINISTRATION IN GOVERNANCE
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
ROLE OF RECORDS MANAGEMENT AND ARCHIVES ADMINISTRATION IN GOVERNANCE
Increase efficiency Be able to support accountability and transparency, resulting in good governance
Accurate Appraisal, Acquisition and Disposition of Records
Standard Arrangement and Description
Easy Reference and Access
Accountability and Transparency
Proper Preservation
RECORDS MANAGEMENT AND ARCHIVES CONCEPTS •
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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
Business Use
Archives Use
Records of organizational and social activities
Records of continuing value
Good Governance
RECORDS MANAGEMENT AND ARCHIVES CONCEPTS Field of management responsible for the efficient and systematic control of processes and systems involving records: •
creation
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maintenance
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disposition
Phases of Records Management
RECORDS MANAGEMENT AND ARCHIVES CONCEPTS Records Creation • • • •
Correspondence/Directive management Forms management Reports management Reprographics
Records Maintenance • •
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Files management system Mail management system
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
RECORDS MANAGEMENT AND ARCHIVES CONCEPTS
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The 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 AND ARCHIVES CONCEPTS
Identify
Preserve
RECORDS MANAGEMENT AND ARCHIVES CONCEPTS Reappraisal Promotion and Outreach Reference and Access
Conducting Inventories/Surveys
Appraisal
Preservation
Description
Acquisitions
Arrangement
GOVERNMENT ARCHIVES
National Archives of the Philippines
GOVERNMENT ARCHIVES
Senate of the Philippines Legislative Records and Archives Service
GOVERNMENT ARCHIVES
House of Representatives Legislative Archives
GOVERNMENT ARCHIVES
Dagupan City 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
RECORDS MANAGEMENT AND ARCHIVES CONCEPTS
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The
central dedicated to the
preservation and use of archives
RECORDS MANAGEMENT AND ARCHIVES CONCEPTS
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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;
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conserved and promoted to be used;
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also referred to as the
or the of an organization, place or person which serves as the bridge between the past, the present and the
RECORDS MANAGEMENT AND ARCHIVES CONCEPTS The
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 : Society of Filipino Archivists (SFA) Society of Film Archivists (SOFIA) Philippine Records Management Association (PRMA) Government Records Officers Association of the Philippines (GROAP) Southeast Asia-Pacific Audiovisual Archive Association (SEAPAVAA) International Council on Archives (ICA)
RECORDS MANAGEMENT AND ARCHIVES CONCEPTS • • • • • • • • • •
Committed Trustworthy Enthusiastic Systematic Patient Meticulous Naturally Curious Analytic/Creative Have Sound Judgement Have Sense of History
RECORDS MANAGEMENT AND ARCHIVES CONCEPTS •
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Rule of Law Accountability and Transparency
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Protection of Rights
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Services for Communities
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Management of Resources
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Collective Memory
RECORDS MANAGEMENT AND ARCHIVES CONCEPTS
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- 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
RECORDS MANAGEMENT AND ARCHIVES CONCEPTS
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who will work closely with the Records Manager/Officer or Document Controller, if any, and identified trained personnel of different units
RECORDS MANAGEMENT AND ARCHIVES CONCEPTS
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A combined Records Management and Archives Office may be established under the head of the organization to be administered by an
RECORDS MANAGEMENT AND ARCHIVES CONCEPTS
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In
the absence of RMO, Archives or RMAO, a
may 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
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Records follow a
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Records care follow a
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Records are arranged and described according to
Creation or Receipt, Distribution and Use
Maintenance •
Current records
file/store, retrieve and protect records
Disposition •
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Non-current scheduled records (temporary) Non-current permanent records Non-current valueless records
transfer to Records Center transfer to Archives 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
Why? •
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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...
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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
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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”
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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
RECORDS MANAGEMENT
APPRAISAL & ACQUISITION ARRANGEMENT & DESCRIPTION REFERENCE & ACCESS PRESERVATION/CONSERVATION PROMOTION & OUTREACH
ARCHIVES ADM.
Applications of the Integration of Records Management and Archives Administration through the Records Continuum Concept
Appraise records to be created Use acid-free or good quality paper to create records which are appraised to be archives
Appraise archives for their evidential, historical, research/informational and/or symbolic values
Recommend use of acid-free or good quality paper
Duplicate archival records through microfilming and digitization
Recommend microfilming of archival records to preserve the originals and digitization of records for access
Transfer preservation and access copies of newly created archival records like publications
Receive preservation and access copies of archival records
Maintenance Transfer archival records to the archives after these have served the purpose for which these were created
Receive archival records transferred by various agency units Receive archival records through donation, loan or purchase
Separate processing and filing of archival records from non-archives Arrange and describe records according to provenance or fonds/subfonds,
Arrange and describe records using fonds/subfonds, series/
series/subseries, file and item levels
subseries, file and item levels
Do not staple archival records; use plastic paper clips lined with
Use plastic paper clips lined with
small pieces of good quality paper
small pieces of good quality paper to hold pages of archival records
(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
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
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
Label folders properly to avoid lost
or misplaced records
or misplaced records
Do not jam drawers to capacity
Do not jam document boxes to capacity
Provide record s system, such as receiving and routing system, document tracking system, file plan, classification system, inventory and index
Provide finding aids, such as accession record, inventory, catalog/database and index
materials
Use charge-out card to service materials
Service only the required documents; do not give the entire folder/box
Service only the required documents; do not give the entire folder/box
Do not allow users to go inside the storage area
Do not allow users to go inside the storage area
Promote the use of records, both
Promote the use of archives
Use charge-out card to service
archives and non-archives
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
Preserve vital records identified as archives
For institutions with no Archives unit: Store archival records (print, AV and electronic) in secured / safe
Store archival records (print, AV and electronic) in secured / safe
areas and under controlled
areas and under controlled
environment, using steel shelves
environment, using steel shelves
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
Separate storage of print oversized materials, AV and electronic records
Apply conservation treatments to damaged / deteriorated documents
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Records inventory
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Appraisal based on values of records and archives
Time Value
Utility Value - Administrative
- Evidential
- Legal - Fiscal
- Historical - Research/Informational S b li
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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
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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.)
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
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Physical and intellectual control of records based on standards and accepted practices
cre ator,, fonds Provenance (source, origin, creator or record group)
Original order (original arrangement of records)
Depository Subdepository, ... Fonds/Record Group Subfonds/Subgroup, ... Series Subseries, ... File Item
Central area for the preservation and use of the institution’s records and/or archives
Breakdown of the depository’s complete holdings into a few major divisions
Primary records creating unit consisting of organically related records established on the basis of . Also known as
Subordinate administrative unit under the fonds or record group
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
Aggregate of units within a series
An organized physical assembly of documents, usually within a folder, relating to the same subject, activity or transaction
Smallest indivisible archival unit
Depository Subdepository
Fonds Subfonds Series Subseries File
Item
Reports of Grades
Depository
Subdepository Fonds
Series Subseries File Item
Reports
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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
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Process of making records available to present and anticipated users Principles
Archives are kept forever but not entombed Preservation without access is useless
Promotion and Outreach •
Planned promotional services and outreach projects which inform the community about the archives holdings and services
Promotion and Outreach •
Programs and Activities
Exhibits
Promotional Materials
Publications
Public Relations and Publicity
Special Events
User Education, etc.
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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
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. 2 nd 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.
