Promoting records management in government - …records...Promoting Records Management in Government...

Mario Manansala, Jr. 1

Promoting Records Management in Government

by

Fe Angela M. Verzosa

[email protected]

Fe Angela M. Verzosa 2

Focus

� By the end of this presentation, you will have a better understanding of the importance of Records Management

the basics of what to keep, what to discard, and when to do so, and…

how to handle the records you keep, and records to be created in the future.



Topics

� Records Management basics

� Records of enduring value

� Types of value

� Knowing what to toss

� Proper arrangement of

materials

� Files Management

� Records retention

� Ideal storage conditions and

practical alternatives


The average worker spends 30% of time searching for or recreating lost documents.

The average organization makes 19 copies of each document.



On the average,

each employee

spends 3.5 hours per

week every

year searching for

information they can’t

find. How many

people are in your office?


• How many people in your office regularly make use of records?• Is your office clogged up with piles of paper?• As a rule, can you find a document generated two months ago in less than five minutes? What about a document generated by a colleague?• What would happen in the event of a fire or flood on your premises? Does your office have an off-site storage of important records?• Does your office have a back-up system for computer-based records?

Why do we need a system for managing records?



Why Records Management?

� Ensure statutory and regulatory compliance

� Preserve the rights of citizens

� Support better decision making

� Safeguard vital information

� Preserve organizational memory

� Reduce operating costs

� Minimize litigation risks


Why do we need to

manage records?



What is records management?

“ the Efficient and systematic control of the creation, receipt, distribution, use, maintenance, storage, and disposal of records”

ISO 15489: 20 01 (International Standard for Records Management)

It is about knowing…

What we have (and what we don’t have)Where it isWho has it and who has access to itWhat format we have it inHow long we need to keep it for


� create only necessary records for efficient and successful operation of the office/institution.

� produce the records when needed.

� retain/preserve only records needed for continued operation of the office/ institution, and dispose what is not needed.

Goals of an RM program



What are the ingredients for an effective records management?� Files plan – which indicates what is where,

and how it is organized.

� Retention schedule – which indicates how long to keep what records and what to do with them once the retention period has expired.

� Security access schedule - which indicates who has access to what records and conditions of access

� Staff involvement – well-trained, professional


Components of a Records Management Program�policy and procedure development� records inventory, appraisal,

retention, and disposition� inactive files management and

control (records center) �management of active files� reprographics, micrographics,

digitization� vital records management� training and outreach programs



Records Management today has to link the past with the present and preserve for the

future while trying to keep up with constantly evolving technologies.

WHY DOES IT SEEM SO HARD?


Any information created, received and maintained as EVIDENCE and INFORMATIONby an organization in pursuance of its legal obligations or business transactions.

What is a record?



It’s not just paper anymore!


Gone forever!

There are electronic records that are now extinct and gone forever.

On the endangered list

How many floppy disks, CD’s, tapes, DVD’s, or other soon to be obsolete media may contain records of importance that are not well preserved and may be unreadable, inaccessible unreadable, inaccessible ––and gone?and gone?



“Digital information lasts forever, or five

years …. whichever comes

first”

Jeff RothenbergSenior computer scientist, RAND (1999)


A record is a record, regardless of format!

So, what is a record?



It is the CONTENT and FUNCTION that determines a record – regardless of it

being on paper, carved on a rock, written on a cocktail napkin, in an electronic

device, or whatever media contains the information.

So, what is a record?


When does a document become a record?

Think about writing a letter…

� When you start typing on the keyboard?

� When you save the first draft?

� When you save the final draft?

� When you print it?

� When the hardcopy is signed?



Official or record copies

�When does the official copy become “official”?�E-mail approval or approval in hard copy?

�Other electronic means?� Digital Signatures

�Requires hard copy signature?


Content matters

� Policies, significant decisions, commitments, or important meetings

� Communications that facilitate or document actions affecting the conduct of business

� Any material that provides substantive information

� If content protects rights – legal, fiscal, property, etc.



Typical records

� Information pertaining to advisory boards, councils and committees

� Meeting materials

� Program, policy, and procedure development documentation

� Program area activity, production and employee reports and files

� Project files

� Business-related memos or correspondence

� Open records requests and responses

� Reports to senior management

� Calendars, schedules and logs of daily activities


Non-records

If content is:

� of a transitory nature

� social, meeting or announcement type of notices

� information only requiring no action

� personal messages and “chit-chat”

THEN GET RID OF IT!



Examples of Non-records

� Personal information not related to business

� Reference material

� Duplicate / multiple copies

� General announcements

� Drafts /working papers without substantive comments/rough notes, calculations, etc.

THEN GET RID OF IT!


CRITERIA

• is it necessary?

• what constitutes adequatedocumentation?

• is it desirable to have it in a consistent format?• what is its future life ?

• what is the best way to store and retrieve it?

in creating records



Types of record value

Evidentiary

Informational

Intrinsic –

for cultural, historical,

or monetary reasons�I

n

t


When Value Ends

� Intrinsic Value – typically has no end date (e.g. Declaration of Independence, Organizational Charter)

� Informational Value – end date dependent on subject being described (e.g. period of performance evaluation report vs. details of 10-year strategic development plan)

� Evidentiary Value – end date dependent on the activity being documented (e.g. travel expenses vs. policy decisions)



Don’t agonize! Organize….

Knowing where and what your documents are, is just as important as where your file cabinets are and what is in there.


Principles in arrangement

Provenance- is a fundamental principle, referring to the individual, group/office, or

organization that created the records.

Also known as office of origin, or source

Principle of provenance: records of different provenance should be separated. e.g. :

Office of the President/ Board of Directors

HR DepartmentComptroller’s Office



Principles in arrangement

Principle of Original order – or Respect de l'ordre

primitif in French, Registratorprinzip in German,

referring to original order of arrangement

Emphasis was on establishing the authenticity and integrity of the record as evidence.

“records are to be maintained in records/archives

repositories in the same scheme of order and with the

same designations they received in the course of the business of their office of origin and primary use. “


5 Levels of arrangement

Record group

Sub-group Sub-group Sub-group

Series

File

Item

SeriesSeries

Basic unit 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.

Sub-series

File

item

Subordinate administrative unit under the record group



5 Levels of arrangement

President

Committees Secretariat Advisors

Reports

Incoming

Letter from EVP Garcia

CorrespondenceCirculars

Series 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.

HR Department

Annual reports

2011

Sub-groups refer to subordinate admin unit under the record group

Sub-series


Proper arrangement

During analysis of records, determine if “organic”, functional record series exist (e.g. correspondence, research notes, project files, organizational reports, publications, etc.)

Identify arrangement schemes used in the past : alphabetical, chronological, numeric…

If more than one arrangement scheme, choose most logical, most recent, etc.



Codificationnumeric alpha duplex alpha- subject decimal

numeric numeric numeric

personnel 100 A 3 A PER 1.

employment 110 Aa 3-1 A/1 PER-1 1.1

•recruitment 111 AaA 3-1-1 A/11 PER-1-1 1.1.1

•appointment 112 AaB 3-1-2 A/12 PER-1-2 1.1.2

•promotion 113 AaC 3-1-3 A/13 PER-1-3 1.1.3

•demotion 114 AaD 3-1-4 A/14 PER-1-4 1.1.4

•separation 115 AaE 3-1-5 A/15 PER-1-5 1.1.5


Personnel Records - 100

Employment



recruitment promotionappointment

Employment

Personnel Records - 100


Next level

Jane

Time SheetsJoey

Time Sheets

JaneAnnual Leave

Joey

Annual Leave

John

Sick LeaveJane

Sick LeaveJoey

Sick Leave

John

Time Sheets

Job 1 2011 Aguilar

Job 2 2010 Bernabe

recruitment appointment promotion

Grouping information together makes it easier to file,

search and manage!



F

I

L

I

N

G

problems


Common filing problems

� too many filing places� everybody a file clerk� files disorderly; show no

particular plan or arrangement� system does not fit the way

material is called for� some records seem to belong under more than one

category� filing decisions erratic or inconsistent� bulging folders� accumulation of unnecessary or personal records



Common filing problems

� related records are filed under different categories

� the retrieval rate is poor (inability to locate the required document quickly)

� missing and misplaced documents mean too much time spent looking for files

� a high level of duplication exists � users are setting up personal records

systems � incomplete files and backlogs of

unfiled records exist � filing cabinets are jammed with files

bulging with documents


Files managementFiling involves

*Arranging recordsaccording to a simple, logical system* Placing records in a storage container in correct sequence*Retrieving the records so that they can be used



• Simplicity

• Flexibility /

Expansibility

•Adaptability

CRITERIA of a good filing system…


Filing methods

• numerical

• alphabetic

•functional

•geographic

•form

•chronologic



When to create new files…

� a new function, subject, activity or project is commenced or

� an existing subject, activity or project is further developed and needs to be split across several files

•an existing file becomes too large and a new part is required

•no existing file is appropriate for the document(s)


Improve your filing…

� Begin each calendar year with a new set of files

� Files should not exceed ½ thickness

� Dedicate time each week for filing to prevent backlog

� Avoid filing extraneous unnecessary duplicate copies

� Avoid tightly jammed files

� Safeguard access and confidentiality of records



Reminders…

� Explore your options, and adapt to best serve your office needs and use

� Keep it as simple as possible

� Take time to fully develop file structures using what is already familiar

�Have patience, and be sure to take time to train and educate file creators and users


Ideal storage conditions and practical alternatives

� Ideal storage: climate and humidity controlled environment in acid-free boxes and file folders

� Practical alternatives:

� acid-free folders in filing cabinets

� acid-free folders in acid-free record storage cartons

� acid-free folders in acid-free manuscript boxes



Files Equipment

•made of steel•compact and space-efficient•allowance for easy extraction &

replacement of files•mobile•proximity to authorized personnel


Also known as…

“Should it stay, or should it go?”

Records retention…



Records disposition

�inventorying

�appraising

�scheduling

�retiringdisposal policies

transfer guidelines

archival procedures


Records Disposition

� Disposal happens when the minimum retention period has been met

� Can be destruction or transfer to an Archives

� Can only be done in accordance with your approved records retention schedules

� Does not require pre-approval for disposition with a retention schedule

� Anytime your office has been notified of impending litigation, do not dispose of any

records for any reason. Retention schedules become mute at this point.



Records Disposal

� Shredding is the preferred method for destruction of records

� A completed Certificate of Disposal is required for any disposal – destruction or transfer

� Certificates of Disposal demonstrate that we are following our policies and serve as proof of legal disposition


2-5% 95-98%Transfer to

Archives

Destroy

when

retention

has been met

Creation and UseActive or Semi-Active

Retention Period

X = Minimum period of time to keep

DispositionDestroy or

Transfer to

Archives

2-5% 95-98%



What is a Retention

Schedule?

An approved legal document that specifies

minimum retention periods for a record series and gives agencies ongoing

disposition authority after approved retention periods are met.

Fe Angela M. Verzosa 58Fe Angela M. Verzosa 58

� determining the length of time that the records should remain in the originating office

� usually influenced by such factors as their administrative values to the creator

� as a general rule, records are to remain in the originating office as long as they are active

� records that are inactive but still of value should remain in a storage facility; while records with no archival value should be disposed of

� records with archival values should be transferred to the archives

Retention scheduling



Doing a records inventory

will help determine:

� Who has records

� What are these records

� Where are these records

� Why are those records there

� How to manage those records until their value

ends


Who is the keeper?

Who is the record or primary copy holder?

� Is someone else keeping this record?

� Who would be the official “record keeper”?

� How many people were cc’d?

� Does this record already exist in your office’s official files? Another department or section?

There may be times when two “record” copies (both sides) will be kept in order to complete the documentation of actions.



Primary or record copy

Usually only one copy of the record needs to be kept and retained according to the appropriate retention schedule.

Policies and decisions need to be made

and a determination made as to who is the primary copy holder and responsible for the retention and disposition of the record.


Decisions, decisions…

Apply same decisions to retaining electronic information as you would to the traditional paper format



Records Retention Schedule

Second step : determine whether various categories of materials have intrinsic, evidentiary,

or informational value

First step : analyze the records of the

organization to determine what series or

categories of materials exist (e.g. correspondence, administrative files,

project files, personnel records, etc.)

Third step : if documents are evidentiary or

informational in nature, determine if their value has a logical end date.


Records Retention Schedule

Fourth : if value is time restricted, determine what the end dates of the value are and schedule destruction of records on or after that date.

Fifth : If value is enduring, determine whether records are needed for operation of organization; if so, keep on site. If not, identify and prepare to be sent to an archive facility.



Document ceases to be

an active record in use

Consult record retentionschedule

Document is of legalor historical importance

---send to an archival

repository

Document needs to be retained but will be disposed of after a

specified time period

Document does not

need to be retained, butis of confidential nature,

arrange for secure

destruction/disposal

Document has a specified retention period attached to It and can be destroyed

when the time comes, consider

sending it to the Records Center for temporary storage


“Going paperless”

If an agency wants to “go paperless” there are certain legal

requirements to be met before source documents can be

destroyed.



IF the records are vital…

Scan away, and transfer the original documents to a permanent storage


IF the records are archival

Scan away, and transfer the originals to the archives



It’s a whole new world!

It takes teamwork to achieve RM goals.

Records Management is a

TEAM SPORT!


Training Personnel

• receiving and opening mails• placing mail/other papers in

correct files• extracting and replacing files• opening/creating new files• indexing & cross-referencing• keeping a record of file

movements• retrieving lost/missing files• destroying/disposing files• retiring non-current files



Training and Outreach

� regularly provide workshops and other training which outline basic program policies and procedures and office responsibilities

� establish a system of records liaisons or coordinators within the major units of the institution/organization to serve as basic contacts for the records management program

� publicize, inform, and educate thru newsletters, brochures on various records management topics, and electronic communication technologies (emails, blogs, alerts)


While ordinary and mundane to most, records are a vital necessity

� People come and go

� Records provide the continuity for the function and mission of an agency

Records and information are an agency’s

most important assets

Without records, an agency cannot effectively run its business!A business fails without records!



A good records system:

•contains complete and comprehensive files thereby enabling effective decision making •provides integrity and continuity regardless of changes in personnel•facilitates protection and preservation of records •provides low cost and efficient maintenance of records•reduces the possibility of misfiling and duplication• means less time spent searching for files and documents.


Summary – what we’ve learned

�Not all records are created equal�Records often have existing - if

unidentified - arrangements which can be discovered and/or built upon

�Analysis of existing arrangement and groupings of materials can save time and effort in the long run

� Identifying what to keep, what to discard, and what to send on to a repository can save time and money in the long run



Finally… the 3 e’sThe ultimate test of a good records management program

is whether the records are available to those who need them, when and where they are needed (effectiveness), the manner in which they are made available (efficiency),and at what cost (economy).


We are done!

Congratulations!



[email protected]

Questions?


Quiz #1

A policeman is called to the scene of an

accident. The officer takes a digital

photo of the car involved.

Is this photo a record worth keeping?

□ Yes □ No



In your desk drawer, you have a copy of the contents of your personnel file. It contains duplicates of your application, training taken, awards received, etc.

Are these records worth keeping?

□ Yes □ No

Quiz #2


You come back to your desk following lunch and your computer indicates that you have two e-mail messages waiting for you.A.) One message is from the assistant director requesting shared leave for an employee on extended sick leave.B.) The other message is from your boss, giving you the agreed-upon timelines and goals for an upcoming project.

Which message would you keep?□ A only □ B only □ Both A and B □ Neither

Quiz #3



While cleaning out the shelves in your office, you come across a 1994 copy of an annual report from another department.

Will you discard the copy?

□ Yes □ No

Quiz #4


Quiz # 5

Your office has a website and has invited public comment on a controversial issue.

Would you keep the comments?

□ Yes □ No



Workshop Exercise

1. Prepare a list of the Offices within your

Department / Bureau /Service / Unit

2. List also the Offices within your organization,

outside your Department / Bureau / Service /Unit that you transact business with

3. List the major types of records created by your

office

4. List the common records you receive from other

offices within the organization

5. Identify the records you normally receive from

offices outside of the organization


Workshop Exercises

6. From the lists provided, make a records series list, complete with short or brief series description, scope or coverage.

7. Go over the General Records Disposition Schedule provided as handout, and make your own Office Records Disposition Schedule based on the records series list prepared (as in no. 6)

Promoting records management in government - …records...Promoting Records Management in Government...

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