fe angela m. verzosa1 effective records management – inventory and appraisal

Fe Angela M. Verzosa 1

Effective Records Management – Inventory and Appraisal

Fe Angela M. Verzosa

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


Records Inventory…issue the pre-survey memo

To : All EmployeesFr : 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.


decide on type of survey

questionnairecommitteephysical survey


design the survey form

provenancetype of recordage (dates)volumestorage mediaequipment usedfiling systemlegal/audit requirementsproblems


evaluate & reportwhat 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?


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


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.

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


basic categories of records

activeinactivedead


Record groups 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


Types of Academic Records

1. 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.



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



3. Records of:departments, e.g., minutes, reports, syllabi,

faculty vitae, and sample test questionsretired, resigned, terminated, or deceased

personnel the school employedthe 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



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.



8. 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.



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.

10. 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


Contact [email protected]

Questions?


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. verzosa1 effective records management – inventory and appraisal

Documents

worth of records

inactive records

computer records

useless records

appraisal slide

records inventory team

archival value

dead slide