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Effective Records Management – Inventory and Appraisal. 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. - PowerPoint PPT Presentation
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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
Fe Angela M. Verzosa
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.
Fe Angela M. Verzosa
decide on type of survey
questionnairecommitteephysical survey
Fe Angela M. Verzosa
design the survey form
provenancetype of recordage (dates)volumestorage mediaequipment usedfiling systemlegal/audit requirementsproblems
Fe Angela M. Verzosa
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?
Fe Angela M. Verzosa 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:evidentialinformational
• 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.
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
activeinactivedead
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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
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.
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 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
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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
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.
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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.
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
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