Effective Records Management

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Effective Records Management Inventory and
Appraisal
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Records Inventory

• issue the pre-survey memo
• decide on the type of survey
• prepare forms to be used
• schedule the survey
• do the survey
• compile survey results
• evaluate report

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Records Inventoryissue the pre-survey memo

• To All Employees
• Fr Management
• Our institution has a serious filing and
  recordkeeping problem, and we have begun to take
  steps to find a solution. Beginning May of this
  year, a records inventory team will conduct a
  survey of all files, including computer records.
  Please give them all of your assistance.
• We apologize for the inconvenience but we are
  certain that the resulting improvements will
  benefit us all. Thank you.

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decide on type of survey

• questionnaire
• committee
• physical survey

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design the survey form

• provenance
• type of record
• age (dates)
• volume
• storage media
• equipment used
• filing system
• legal/audit requirements
• problems

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evaluate report

• what useless records should be destroyed?
• what inactive records should be stored?
• what records are insufficiently protected?
• what records have archival value?
• what filing systems need improvement?
• what duplication can be eliminated?
• what records can be consolidated?
• what filing equipment should be used?

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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 informat
  ional
• categories administrative value fiscal
  value legal value
  historical/research value intrinsic
  value

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Appraisal values

• Evidential value - capacity to furnish proof of
  facts concerning their creator or the
  events/activities to which they pertain
• Informational value - usefulness for reference
  and research
• Administrative value - utility in the conduct of
  current or future administrative affairs
• Fiscal value - utility in the conduct of
  financial business or fiscal accounting
• Legal value - utility in the conduct of future
  legal proceedings or as evidence of past legal
  decisions
• Monetary value - worth in the market place, based
  on appraisal by a person experienced in making
  such judgments
• Historical value - capacity to document past
  events, providing information about the lives and
  activities of persons involved in them
• Intrinsic value - inherent worth based on
  content, cultural significance, antiquity, past
  uses, association, etc.

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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

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basic categories of records

• active
• inactive
• dead

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Record groups

• general correspondence
• transitory correspondence
• case files
• references
• audiovisual materials
• cartographic records
• engineering drawings
• cards
• machine-readable records
• microforms

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Other record groups

• Administrative records
• academic records
• accounting/financial records
• legal records
• personnel records
• personal records
• convenience copies

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Types of Academic Records

• Legal or constituting documents (e.g., charters,
  constitutions, by-laws), vital records or
  security copies produced by any campus vital
  records program, policy statements, and reports
  (along with their supporting documents), minutes,
  substantive memoranda, correspondence, and
  subject files of the institution's
• governing board
• chief executive, academic, legal, financial,
  student affairs, and administrative officers
• heads of units operating with a high degree of
  independence, e.g., branch campuses,
  universities' colleges, medical and law schools,
  and research institutes
• major academic and administrative committees,
  including the faculty senate.

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Types of Academic Records

• 2. Reports of
• self-studies and accreditation visits
• annual budgets and audits
• offices of admissions, institutional research,
  university relationspublic relations both on-
  and off-campusand development (fundraising)
• research projects, including grant records

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Types of Academic Records

• 3. Records of
• departments, e.g., minutes, reports, syllabi,
  faculty vitae, and sample test questions
• retired, resigned, terminated, or deceased
  personnel the school employed
• the registrar, e.g., calendars and class
  schedules, noncurrent student transcripts,
  enrollment records, graduation rosters, and other
  reports issued on a regular basis
• academic, honorary, service, and social
  organizations of students, faculty,
  administrators, and staff on campus

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Types of Academic Records

• 4. All publications, newsletters, posters, or
  booklets about or distributed in the name of the
  institution or one of its sub-units, e.g., books,
  posters, magazines, catalogs, special bulletins,
  yearbooks, student newspapers, university
  directories and faculty/staff rosters, alumni
  magazines, and ephemeral materials..
• 5. Theses and dissertations.
• 6. Digital and other electronic records or
  lists of where such items are maintained and
  finding aids for accessing them.
• 7. Artifacts related to the institution if
  space permits and the institution has no museum.

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Types of Academic Records

• Special format materials documenting the
  operation and development of the institution,
  such as
• audio, audiovisual and multi-media
  productionsstill photographs, slides, and
  negatives, motion picture films, audio and
  audiovisual cassettes
• oral history interviews with their
  transcriptions
• maps, blueprints, and plot plans of the campus
  and its buildings.

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Types of Academic Records

• 9. Vertical files of primary and secondary
  materials for quick responses to general
  reference questions. Vertical files of secondary
  materials may be in the reading room for
  researchers.
• Records and papers produced by school-related
  organizations, groups, and individuals while
  actively connected with the school, such as
• private papers of faculty members produced while
  working with or for the school
• manuscript collections related to the school 

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Questions?
Contact verzosaf_at_dlsu.edu.ph
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Exercise

• From the List of Academic Records, give examples
  of records with the following values
• Evidential (administrative, fiscal, legal)
• Informational (research, historical)
• Intrinsic, monetary