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
At 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
OVERVIEW OF THE SESSION
Role of Records Management
Administration in Governance
and Archives
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 good governance
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 good governance
EFFECTIVE RECORDS MANAGEMENT AND ARCHIVES PROGRAM
Accurate Appraisal, Acquisition and Disposition of Records Standard Arrangement and Description Proper Easy Reference and Access Preservation
Develop Comprehensive Archives
Increase Efficiency
Accountability and Transparency
GOOD GOVERNANCE
RECORDS MANAGEMENT AND ARCHIVES CONCEPTS
What 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
RECORDS MANAGEMENT AND ARCHIVES CONCEPTS
Why Keep Records?
Business Use
Records of organizational and social activities
Archives Use
Records of continuing value
Good Governance
RECORDS MANAGEMENT AND ARCHIVES CONCEPTS
What is Records Management?
Field of management responsible for the efficient and systematic control of processes and systems involving records:
creation maintenance disposition
Phases of Records Management
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
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 administration
Government Academic Business Church Medical Military Personal/Family
RECORDS MANAGEMENT AND ARCHIVES CONCEPTS
Archives Mission
Identify
Preserve
Linear View
RECORDS MANAGEMENT AND ARCHIVES CONCEPTS
Archives Mission
Reappraisal Promotion and Outreach Reference and Access
Conducting Inventories/Surveys
Make Available Identify Appraisal
Preservation Preserve Description
Acquisitions
Arrangement
Cyclical View
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
What are Archives?
The
depositories or repositories, building or part of the building dedicated to the
central preservation and use of archives
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
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
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
Some Desirable Traits of Archivists
Committed Trustworthy Enthusiastic Systematic Patient Meticulous Naturally Curious Analytic/Creative Have Sound Judgement Have Sense of History
RECORDS MANAGEMENT AND ARCHIVES CONCEPTS
Why Keep Archives?
Rule of Law
Accountability and Transparency
Protection of Rights
Services for Communities
Management of Resources
Collective Memory
RECORDS MANAGEMENT AND ARCHIVES CONCEPTS
Who will Implement Records Management and Archives?
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
RECORDS MANAGEMENT AND ARCHIVES CONCEPTS
Who 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
RECORDS MANAGEMENT AND ARCHIVES CONCEPTS
Who 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
RECORDS MANAGEMENT AND ARCHIVES CONCEPTS
Who will Implement Records Management and Archives? (contd)
Records Management and Archives Committee
In the absence of RMO, Archives or RMAO, a Records
Management and Archives Committee (RMAC) or Task Force
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
RECORDS MANAGEMENT AND ARCHIVES CONCEPTS
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) Non-current permanent records Non-current valueless records transfer to Records Center transfer to Archives dispose through destruction
Linear Sequence
RECORDS MANAGEMENT AND ARCHIVES CONCEPTS
Records Life Cycle
However...
records are maintained indefinitely at the records center or storage area without regard to their time and utility values
RECORDS MANAGEMENT AND
ARCHIVES CONCEPTS
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 MANAGEMENT AND ARCHIVES CONCEPTS
Records 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
RECORDS MANAGEMENT AND ARCHIVES CONCEPTS
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
Ends traditional demarcation between functions of the records manager and archivist; junks concept of where records management ends, archives begins
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
Integration of Records Management and Archives Administration using the Records Continuum Concept
CREATION MAINTENANCE DISPOSITION
APPRAISAL & ACQUISITION ARRANGEMENT & DESCRIPTION REFERENCE & ACCESS PRESERVATION/CONSERVATION PROMOTION & OUTREACH
RECORDS MANAGEMENT
ARCHIVES ADM.
Applications of the Integration of Records Management and Archives Administration through the Records Continuum Concept
RECORDS MANAGEMENT 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
ARCHIVES
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
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
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
ARCHIVES
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
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
Remove fasteners, staple wires, pins and rubber bands
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
ARCHIVES
Arrangement, 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
Provide record s system, such as receiving and routing system, document tracking system, file plan, classification system, inventory and index
RECORDS MANAGEMENT Maintenance (contd)
Use charge-out card to service materials
ARCHIVES Reference, Access and Promotion
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 Promote the use of records, both archives and non-archives
Do not allow users to go inside the storage area
Promote the use of archives
RECORDS MANAGEMENT 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
ARCHIVES
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 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
ARCHIVES
Preservation / Conservation
Separate storage of print oversized materials, AV and electronic records
Apply conservation treatments to damaged / deteriorated documents
RECORDS MANAGEMENT AND ARCHIVES PRINCIPLES AND PRACTICES
Inventory, Appraisal, Scheduling, Transfer and Disposal
Records inventory Appraisal based on values of records and archives
Time Value
* Temporary * Permanent - Legal - Fiscal
Utility Value
* Primary - Administrative * Secondary (Archival) - Evidential - Historical - Research/Informational - Symbolic
RECORDS MANAGEMENT AND ARCHIVES PRINCIPLES AND PRACTICES
Inventory, Appraisal, Scheduling, Transfer and Disposal (contd)
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
RECORDS MANAGEMENT AND ARCHIVES PRINCIPLES AND PRACTICES Inventory, Appraisal, Scheduling, Transfer and Disposal (contd)
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 (contd)
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
RECORDS MANAGEMENT AND ARCHIVES PRINCIPLES AND PRACTICES Arrangement and Description
Physical and intellectual control of records based on standards and accepted practices
RECORDS MANAGEMENT AND ARCHIVES PRINCIPLES AND PRACTICES
Principles of Arrangement and Description
Provenance (source, origin, creator, fonds or record group) Original order (original arrangement of records)
RECORDS MANAGEMENT AND ARCHIVES PRINCIPLES AND PRACTICES
Levels of Arrangement and Description
Depository Subdepository, ... Fonds/Record Group Subfonds/Subgroup, ...
Series Subseries, ... File
Item
RECORDS MANAGEMENT AND ARCHIVES PRINCIPLES AND PRACTICES
Levels of Arrangement and Description
Depository
Central area for the preservation and use of the institutions records and/or archives
Subdepository
Breakdown of the depositorys complete holdings into a few major divisions
RECORDS MANAGEMENT AND ARCHIVES CONCEPTS AND PRACTICES
Levels of Arrangement and Description
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 PRINCIPLES AND PRACTICES
Levels of Arrangement and Description
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
RECORDS MANAGEMENT AND ARCHIVES PRINCIPLES AND PRACTICES
Levels of Arrangement and Description
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
(sample 1)
Depository
Subdepository
UNIVERSITY OF THE PEOPLE ARCHIVES
SERVICES AND FACILITIES
Fonds
Subfonds Series Subseries File
OFFICE OF THE UNIVERSITY REGISTRAR
RECORDS SECTION
Reports of Grades
School of Information Studies AY 2008-2009
Item
Report of Grades for IS 212, 1st Semester, AY 2008-2009
RECORDS MANAGEMENT AND ARCHIVES PRINCIPLES AND PRACTICES
(sample 3)
Depository
Levels of Arrangement and Description
ABC PHILIPPINE PROVINCE ARCHIVES
Subdepository
Fonds
PROVINCIAL ADMINISTRATION
OFFICE OF THE PROVINCIAL SUPERIOR
Series
Subseries File Item
Reports
Annual Reports 2006-2009 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 dont 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 and outreach projects which inform the community 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.
Yolanda C. Granda [email protected] Mobile : 09209056991; Tel/Fax : 632-9314461
