Effective Records Management – Inventory and Appraisal

1. Effective Records Management – Inventory and Appraisal Fe Angela M. Verzosa

2. 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

3. Records Inventory…issue 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.

4. decide on type of survey questionnaire committee physical survey

5. design the survey form • provenance • type of record • age (dates) • volume • storage media • equipment used • filing system • legal/audit requirements • problems

6. 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?

7. 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/research value intrinsic value Fe Angela M. Verzosa

8. 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. Fe Angela M. Verzosa

9. 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

10. basic categoriesof records • active • inactive • dead Fe Angela M. Verzosa

11. Record groups • general correspondence • transitory correspondence • case files • references • audiovisual materials • cartographic records • engineering drawings • cards • machine-readable records • microforms Fe Angela M. Verzosa

12. Other record groups • Administrative records • academic records • accounting/financial records • legal records • personnel records • personal records • “convenience” copies Fe Angela M. Verzosa

13. 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. Fe Angela M. Verzosa

14. Types of Academic Records 2. Reports of: • self-studies and accreditation visits • annual budgets and audits • offices of admissions, institutional research, university relations—public relations both on- and off-campus—and development (fundraising) • research projects, including grant records Fe Angela M. Verzosa

15. 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 Fe Angela M. Verzosa

16. 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. Fe Angela M. Verzosa

17. Types of Academic Records • Special format materials documenting the operation and development of the institution, such as: • audio, audiovisual and multi-media productions—still 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. Fe Angela M. Verzosa

18. 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 Fe Angela M. Verzosa

19. Questions? Contact verzosaf@dlsu.edu.ph Fe Angela M. Verzosa

20. Exercise From the List of Academic Records, give examples of records with the following values: • Evidential (administrative, fiscal, legal) • Informational (research, historical) • Intrinsic, monetary Fe Angela M. Verzosa