ycgranda understanding records management and archives administration
Post on 21-Oct-2015
50 Views
Preview:
DESCRIPTION
TRANSCRIPT
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
• Records Management and Archives
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
AND ARCHIVES CONCEPTS
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
AND ARCHIVES CONCEPTS
RECORDS MANAGEMENT
AND ARCHIVES CONCEPTS
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
AND ARCHIVES CONCEPTS
RECORDS MANAGEMENT
AND ARCHIVES CONCEPTS
Cyclical View
Identify
Preserve
Make
Available
Reappraisal
Conducting Inventories/Surveys
Appraisal
Acquisitions
ArrangementDescription
Preservation
Reference and Access
Promotion and Outreach
Archives Mission
What are Archives?
• The central depositories or repositories,
building or part of the building dedicated to the
preservation and use of archives
RECORDS MANAGEMENT
AND ARCHIVES CONCEPTS
• 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
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
RECORDS MANAGEMENT
AND ARCHIVES CONCEPTS
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
AND ARCHIVES CONCEPTS
• 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
AND ARCHIVES CONCEPTS
• 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
AND ARCHIVES CONCEPTS
• Archives
Chief Archivist who will work closely with the
Records Manager/Officer or Document Controller, if
any, and identified trained personnel of different
units
Who will Implement Records Management
and Archives? (cont’d)
RECORDS MANAGEMENT
AND ARCHIVES CONCEPTS
• 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
Who will Implement Records Management
and Archives? (cont’d)
RECORDS MANAGEMENT
AND ARCHIVES CONCEPTS
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
and Archives? (cont’d)
• 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
RECORDS MANAGEMENT AND ARCHIVES CONCEPTS
However...
records are maintained indefinitely at the
records center or storage area without
regard to their time and utility values
Records Life Cycle
RECORDS MANAGEMENT AND ARCHIVES CONCEPTS
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 MANAGEMENT AND ARCHIVES CONCEPTS
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
RECORDS MANAGEMENT AND ARCHIVES CONCEPTS
• 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 MANAGEMENT AND ARCHIVES CONCEPTS
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
RECORDS MANAGEMENT AND ARCHIVES CONCEPTS
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
RECORDS MANAGEMENT ARCHIVES
Maintenance (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 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
RECORDS MANAGEMENT ARCHIVES
Maintenance (cont’d)
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
RECORDS MANAGEMENT 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
RECORDS MANAGEMENT ARCHIVES
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
RECORDS MANAGEMENT ARCHIVES
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
RECORDS MANAGEMENT AND
ARCHIVES PRINCIPLES AND
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)
RECORDS MANAGEMENT AND
ARCHIVES PRINCIPLES AND
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.)
RECORDS MANAGEMENT AND
ARCHIVES PRINCIPLES AND
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
RECORDS MANAGEMENT AND
ARCHIVES PRINCIPLES AND
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
RECORDS MANAGEMENT AND ARCHIVES PRINCIPLES AND
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
Levels of Arrangement and Description
RECORDS MANAGEMENT AND ARCHIVES PRINCIPLES AND
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
Levels of Arrangement and Description
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
Levels of Arrangement and Description
RECORDS MANAGEMENT AND ARCHIVES PRINCIPLES AND
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
Levels of Arrangement and Description
RECORDS MANAGEMENT AND ARCHIVES PRINCIPLES AND
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)
RECORDS MANAGEMENT AND ARCHIVES PRINCIPLES AND
PRACTICES
Levels of Arrangement and Description (sample 3)
RECORDS MANAGEMENT AND ARCHIVES PRINCIPLES AND
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
RECORDS MANAGEMENT AND
ARCHIVES PRINCIPLES AND
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
RECORDS MANAGEMENT AND
ARCHIVES PRINCIPLES AND
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
RECORDS MANAGEMENT AND
ARCHIVES PRINCIPLES AND
PRACTICES
Promotion and Outreach
• Planned promotional services andoutreach projects which inform thecommunity about the archives holdings and services
RECORDS MANAGEMENT AND
ARCHIVES PRINCIPLES AND
PRACTICES
Promotion and Outreach
• Programs and Activities
Exhibits
Promotional Materials
Publications
Public Relations and Publicity
Special Events
User Education, etc.
RECORDS MANAGEMENT AND
ARCHIVES PRINCIPLES AND
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.
top related