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 yolanda.granda@upd.edu.ph Mobile : 09209056991; Tel/Fax : 632-9314461