Understanding records management print and electronic

Understanding Records Management :
Print and Electronic
by Fe Angela Verzosa

Tell me why
• Is it important to know why a record is
created?
• Is it important to know how often you
may use or access a record?
• Is it important to know how long you
need to keep a record?
• Is it important to know when you may
legally dispose or transfer a record?
Fe Angela M. Verzosa 2

What shall we talk
about?
3
• Introduction
• Records management basics
• Records disposition/ retention
• Vital records management
• Methods of protection
• Ideal storage conditions and practical alternatives

What to expect…
• a better understanding of
the importance of managing
print and electronic records
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.

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?

Why do we need a
system for managing
records?
7
•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?

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 is
Who has it and who has access to it
What format we have it in
How long we need to keep it for

RM’s core mission is to provide appropriate
and permanent care for records of enduring
value in order to make them available for use.
acquisition/collecting
goals
arrangement/
description goals
service goals
preservation goals
management goals
personnel goals

Goals of Records
Management
•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.
10

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

But first, what is a record?
A record is a record, regardless of
format

Content and Function
It is the CONTENT and FUNCTION
that determines a record – regardless
of it being paper, carved on a rock,
written on a cocktail napkin, in an
electronic device, or whatever media
contains the information

Records may include,
but are not limited
to…
16
• general correspondence / email
• financial transactional records
• working papers, including drafts, versions, and copies
• databases (including the underlying tables, as well as routine
reports)
• student and course documentation and transcripts
• personnel documentation
• web sites (including Web pages, images, docs, and media files)
• electronic backup media (including tapes, disks, and other storage
devices)

It’s not just paper anymore!

Regardless of format – and the list keeps
getting longer!
ELECTRONIC RECORD - A record generated,
communicated, received or stored by electronic
means.
• E-mail & attachments
• Websites
• Databases
• Text Messaging
• Instant Messaging
• Voice mail (can now be
converted to e-mail)
• Digital photos
• Scanned documents
• Outlook calendars
• Handheld devices (PDA’s)
• Spreadsheets
• Word documents

No, you don’t have to keep
everything.
There are some exceptions.
Remember:
It is the CONTENT and FUNCTION
that will determine record-keeping.

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

Quiz #2
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
In your desk drawer, you have a copy
of the contents of your personal file.
It contains duplicates of your
application, training taken, awards
received, etc.
Are these records worth keeping?
□ Yes □ No

Quiz #3
You come back to your desk following lunch and your
computer indicates that you have two 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 A nor B

Quiz #3
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 A nor B

Quiz #4
While cleaning out the shelves in your
office, you come across a 1994 copy
of an annual report.
Will you discard the copy?
□ Yes □ No

Quiz #5
Your office has a website and has
invited public comment on a
controversial issue.
Would you keep the comments?
□ Yes □ No

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?

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.

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
in creating records
• is it necessary?
• what constitutes adequate
documentation?
• 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?

Where do we start?

Get to know your
Records
36
Doing a records inventory will help you
determine:
• Who has the records
• What are the records
• Where are the records
• Why are those records there
• How to manage those records

Records Appraisal
…the act of determining the worth of records to
their creator or user
• in terms of use: primary or secondary
• in terms of content: evidential / informational
• Categories:
administrative value
fiscal value
legal value
historical value
intrinsic value

Record Types based on Value…
• Evidentiary – documents activities of
individual or group or agency
• Informational – contains information
about individual, group, or subject
• Intrinsic – document has intrinsic value
for cultural, historical, or monetary
reasons

Records with evidential values
• organizational charts
• annual reports
• directives/policy memos
• official histories
• correspondence
• audit/inspection reports
• legal opinions/decisions
• handbooks and manuals
• minutes of meetings

When Value Ends…
• Intrinsic Value – typically has no end
date, value does not expire with time
• Informational Value – end date
dependent on subject being described
(information may be obsolete, updated,
altered, or revised)
• Evidentiary Value – end date dependent
on the activity being documented
(expires with time)

Who is the keeper?
Who is the record or primary copy holder?
• Is someone else keeping this document?
• 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
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

What records to keep?
 general correspondence
 transitory correspondence
 case files
 references
 audiovisual materials
 cartographic records
 engineering drawings
 cards
 machine-readable records
 microforms

Other record groups
Administrative records
academic records
accounting/financial
records
legal records
personnel records
personal records
“convenience” copies

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 –
and gone?

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

Also known
as…
Records disposition
“Should it stay, or should it
go?”

Checklist - Keep or delete?
• Is it a substantive message
or chit-chat?
• Does it have to do with your
work, office, or program and
document actions taken?
• Does it require you to take
action?
• Will someone else need it
for operational, fiscal or
legal reasons?
• Will I need this information
in the future?

Prove it
If you have to
substantiate a decision,
action, policy, financial
transaction, proof of
ownership, etc…
What would you need to
provide as evidence ?

Exercise
Make a quick survey of the records
you are handling, and prepare a list
using the suggested form:
 Provenance or office of origin
 type of record
 age (inclusive dates)
 volume (in linear feet, or no. of folders)
 storage media or equipment used
 filing system (alpha, numeric, subject, etc)
 legal/audit requirements
 Problems/concerns

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

Records maintenance
• adoption of a files plan
• choice of
equipment/supplies
• mail management
• files management
filing procedures
cross-referencing
releasing
checking
sorting

CRITERIA of a good filing
system…
• Simplicity
• Flexibility /
Expansibility
•Adaptability

Classification
Grouping information together
– Cars, food, clothing
– Content and function
Based on an organization’s business
functions and activities

Files Management: Proper
arrangement of materials
• During analysis of records, determine if
“organic”, functional record series or
groupings exist (e.g. correspondence,
research notes, project files, organizational
records, publications, etc.)
• Identify arrangement schemes used in the
past : alphabetical, chronological, numeric,
etc.
• If more than one arrangement scheme,
choose the most logical, most recent, etc.

Proper arrangement of
materials : Sample (Part 1)
• Organizational Records, 1981-2000
– Correspondence files, 1981-2000
• Alphabetic correspondence, 1981-1995
• Chronological correspondence, 1995-2000
– Personnel records, 1985-2000
• Alphabetic Personnel records, 1985-1995
• “The Incident” files, 1995
• Benefits file, 1996
– Benefits by Social Security Number
– Benefits by Name

materials : Sample (Part 2)
• Project files, 1992-2010
– Consumer Cooperative Store Project
files, 1992-2005
• Project leader notes, 1992-1995
• Project coordinator files, 1992-2010
• Reports, 1993-2009
– Estafa Case Investigation files
• Case files, 2000-2010
• Background Files, 1993-2000

materials : Useful tips
• Specific arrangement not as important as
consistency and documentation
• Decide whether existing arrangement
suffices or not – if so: document,
document, document
• If existing arrangement does not suffice,
establish guidelines for a new arrangement
and: document, document, document

Correspondence filing
• NUMERIC: suited for case
files/ transaction files
• ALPHABETIC: common for
incoming mails
• CHRONOLOGIC: common
for outgoing mails

Records disposition
• inventorying
• appraising
• scheduling
• retiring
disposal policies
transfer guidelines
archival procedures

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

Retention scheduling
• 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

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.

Going Paperless
If an agency wants to “go
paperless” there are certain
legal requirements to be met
before source documents can
64
be destroyed.

What are
Vital Records?
•records essential for continued operation
•records with long retention periods
•irreplaceable records
•records where no other copies are
65
available
•records of historical/ permanent value

What are
Protected Records?
66
Sec. 23 of RA 9470. Protected
Records of Local Governments.
- (a) The executive director may,
by notice in the Official Gazette
made after consultation with any
local government concerned,
declare that a local government
record is a protected record for
purposes of this Act.
LGUs shall provide for
the adequate protection
and preservation of all
protected records they
hold, and cannot
dispose it without
authorization and
approval.

Vital Records Management

Methods of Protection
68
•Built-in dispersal
•Duplication
•Onsite storage
•Off-site storage
•Microfilming/
microfiching
•Digitization

IF the records are vital…
Scan away, and transfer the original
documents to a permanent storage

IF the records are archival
Microfilm, and transfer the
originals to the archives

Digitization – principal reasons
• For enhanced access
to improve services by
facilitating retrieval
• To reduce handling
and use of fragile or
heavily used originals,
thereby reducing risk
of loss/damage/
misuse
• For securing back-up
copies
Not for
• space-saving
because originals may
require off-site storage
• cost-reduction
because digitization is
a costly program
• preservation
because originals are
retained.

On-site Storage
Considerations
72
•Building considerations – floor load capacity, lighting/
ventilation, smoke/fire alarms, security, etc.
•Equipment considerations – purchase of fire-resistant
vaults,
safes, cabinets…
•Procedural considerations – preparing a vital records
manual, updating vital records master list, enforcing
rules in records storage area like no smoking, eating,
etc.

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

Off-site Storage
Considerations
76
•should be close enough for access,
control, and updating
•reasonably secure
•Use trained records professionals to
administer the facility, or
•Hire a Vital Records Coordinator

FACILITIES & EQUIPMENT
FIREPROOFING
AIRCONDITIONING
HUMIDITY
CONTROL
SMOKE and HEAT
DETECTORS
DOUBLE LOCKS
SECURITY ALARM
ULTRAVIOLET
FILTER SCREENS
HEAVY CURTAINS
ACID-FREE BOXES
ACID-FREE
FOLDERS
RUST-FREE
SUPPLIES

COMMON HAZARDS
• temperature
• humidity
• light
• insects and rodents
• fungi, mold, mildew
• acid
• fire
• water
• PEOPLE
using ink/pens
using adhesives
laminating
folding, tearing
spilling food/drink
bending, tracing
stealing/mutilating

Best Practices
•Think “cool, dry, dark, and clean”
•Preventive steps are invariably less expensive than
80
remedial ones
•Establish policies on care and handling of records
•Use microfilms, if available, or duplicates in place
of
originals
•Avoid doing anything to your records that cannot be
• undone

Security/safety Audit
• Are particularly valuable items marked? Separately
foldered/boxed? Photocopied?
• Do you have accession records, or registers I
indexes, other finding aids, etc. that provide
sufficient detail to identify if there are missing
materials?
• Does insurance policy cover the loss of vital
records? Reflect the current market value of
valuable item/s?
• What is the procedure for the return of records or
other materials borrowed / removed from their
folders/boxes? Shelves?
• Are collections stored in areas near water pipes or
subject to flooding?

• Are particularly valuable items marked? Separately
foldered/boxed? Photocopied?
• Do you have accession records, or registers I
indexes, other finding aids, etc. that provide
sufficient detail to identify if there are missing
materials?
• Does insurance policy cover the loss of vital
records? Reflect the current market value of
valuable item/s?
• What is the procedure for the return of records or
other materials borrowed / removed from their
folders/boxes? Shelves?
• Are collections stored in areas near water pipes or
subject to flooding?

• Are applicants to staff position
background-checked before hiring?
• Are staff assigned to take charge of
financial / legal records insured
against theft or bonded?
• Who has master keys to the access
doors? Stack areas? Office areas?
• Are all employees instructed on what
to do in case of theft? Burglary?
Other serious crimes? Who to
contact?

Preservation Management
• In records management,
it is a tool used to
manage the physical
condition of records,
ensuring present and
future access. It should
be viewed as an integral
component of day-to-day
operations in
managing records.

Preservation
Guidelines
• pest control
• temperature
• humidity
• acidity control
• handling of
materials by
staff

Do not use any preservation
measure, or treatment that:
• cannot be reversed if necessary
• cannot be used properly
• will not last a long time
• is harmful to people
• changes the physical property of
the material
• dissolves or damages any part of
thematerial

Closing remarks:
Is….

Records management is:
• Preserving our past, providing access to
our future.
• Preserving the past, preparing the
future, protecting the present.
• Preserving yesterday, managing today,
preparing for tomorrow.
• Ensuring the future by preserving the
past.

Records Management is a
TEAM SPORT!
It’s a whole new world!
It takes teamwork to achieve RM goals.

Finally…the 3 e’s
90
The 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).

Congratulations!
We are done!

Questions ?
famverzosa@yahoo.com

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