Basic Components of

Records Management and

Archival Programs
Abigail H. Falogme
Basic Components of Records
Management and Archival
Programs
1.Inventory
2.Appraisal
3.Disposition
4.Acquisition
5.Arrangement
6.Description
7.Preservation 2
Inventory

Descriptive listing, generally by records series and

subseries, of all the records created, received and
maintained by an organizational unit, indicating
fields such as reference code, period covered,
volume/quantity, location, frequency of use,
duplication, format, arrangement, access
restrictions, estimated growth, hardware and
software requirements, supporting files, vital
records status, time and utility values, and retention
period.
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Records Inventory

• A fact-finding survey
• Identifies and describes records maintained by all or part
of an organization
• Provides detailed information about the nature and
number of records maintained by an entity
• Information collected during the inventory is used to
prepare records retention schedules
• Initial step in a scientific approach to systematic control of
recorded information
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Roles of a Records Inventory

• Confirms the existence of specific types of records held

by an organization
• Describes their most important attributes
• Identifies inactive records that might be discarded,
transferred from office location to off-site storage or
microfilmed
• Identifies vital records
• Provides potentially valuable information about the
quantity, arrangement, and use of an organization’s active
records 5
Steps in Records Inventory

• Develop an inventory strategy

• Prepare a survey instrument for collecting inventory
information
• Conduct the inventory according to plan
• Tabulate or otherwise write up the inventory results

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Starting the Inventory

I. Identifying Program Units

- A program unit is better described as recordkeeping
unit, e.g. division, department, section, etc.
II. The Records Series Concept
- Records series is a group of logically related records
that support a specific business or administrative operation
performed by a given program unit

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Examples of records series

 Open purchase orders in a corporate purchasing

department
 Construction contracts in an engineering project
management office
 Employee benefits records in a human resources
department
 Closed claims in an insurance company
 Invoices in an accounts payable department
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Starting the Inventory

III. Role of Departmental Coordinators

 Knowledgeable about the records maintained by their
program units
 Principal contact persons for all records management
activities within their program units
 Will assist the records manager in conducting
inventories and in formulating retention and disposition
recommendations for their program units

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The Survey Instrument:
Records Inventory Worksheet
1. Series Title 10. Retention
2. Summary Requirements
Description 11. Sensitivity
3. Dates Covered 12. Duplication
4. Format 13. Hardware and
5. Arrangement Software
6. Quantity Requirements
7. Estimated Growth 14. Supporting Files
8. Storage Location(s) 15. Vital Records
and Equipment Status
9. Reference Activity 16. Execution and
Follow-Up
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The Survey Instrument: Records
Inventory Worksheet

I. Series Title
- the name by which a record series is known to the
program unit where the records are kept.
Examples of acceptably descriptive series titles include:
◦ Employee Benefits Files ◦ Accounts Payable Files
◦ Litigation Files ◦ Property Records Cards
◦ Plant Drawing Files ◦ Active Student Files
◦ Patient Files ◦ Collection Object Files

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The Survey Instrument: Records
Inventory Worksheet

II. Summary Description

- brief description should summarize the business
purpose, scope, and content of the records series

III. Dates Covered

- Inclusive dates for information contained in each records
series
-Records series that support ongoing business operations
will have open-ending dates, which are noted in inventories
as “to the present”
-Closed series maybe associated with discontinued,
divested business operations, defunct program units, etc. 12
The Survey Instrument: Records
Inventory Worksheet

IV. Format V. Arrangement

Three principal  Alphabetical
formats are:
 Case number
 Paper documents
 Property address
(categorized by
page size)  Tax map identifier
 Photographic  Customer name
records  Order number
 Electronic records
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The Survey Instrument: Records
Inventory Worksheet

VI. Quantity VIII. Storage Location(s) and

Equipment
- Paper records usually
measured in cubit feet or  Departmental offices
linear meters  File rooms
VII. Estimated Growth  Centralized repositories

- Estimated annual  Off-site warehouses

growth rate of records for  Special security or environmental
planning future storage characteristics
requirements  Suitable or unsuitable
environment 14
The Survey Instrument: Records
Inventory Worksheet

IX. Reference Activity

- Frequency with which a given records series
is consulted for business or other purposes
X. Retention Requirements
 Retention recommendations rely on the
perceived requirements of employees who
create, maintain and use records
 Based on operational experience with records
and their relationship to specific business
processes or operations 15
The Survey Instrument: Records
Inventory Worksheet

XI. Sensitivity
 Records containing personally identifiable
information, trade secrets, business plans,
competitive intelligence, or other confidential or
sensitive information must be identified
 Access restrictions, including any restrictions
imposed by privacy legislation must be fully
understood

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The Survey Instrument: Records
Inventory Worksheet

XII. Duplication
 Differentiate originals from copies
 Official copy
 Record copy
 Backup copies
 Multiple formats

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The Survey Instrument: Records
Inventory Worksheet

XIII. Hardware and Software Requirements

- Inventory must include descriptions of all
equipment and software to retrieve or process a
given records series

XIV. Supporting Files

- An inventory should identify and briefly describe
any related records that support the creation,
maintenance, or use of a given records series such as
indexes

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The Survey Instrument: Records
Inventory Worksheet

XV. Vital Records Status

- Potentially vital records should be identified
during a records inventory conducted for retention
purposes to save time and resources
XVI. Execution and Follow-Up
- Preparation of the retention recommendations for
specific records series
- The finished product should be submitted to the
interviewee for examination and, where necessary,
correction or clarification
- Follow-up where necessary is advisable
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Appraisal
• Process of determining which records are to be
retained or disposed of base on their time and utility
values.

TIME VALUE UTILITY VALUE

(specific period of (the nature of the usefulness of the records
usefulness of records) to the agency’s operations)

 Permanent Primary Secondary (Archival)

 Temporary - Administrative - Evidential
- Legal - Historical
- Fiscal - Research/Informational
- Symbolic

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Appraisal
• Permanent Records
Records created or received and preserved
because of two utility values:
1. Primary Value
The value of records derived from the original use
that caused them to be created.
1.1. Administrative - supports the ongoing, day-
to-day administrative affairs of the creator; also referred to
as operational value
1.2. Fiscal - establishes fiscal responsibility and
accountability
1.3. Legal - documents legal obligations and
protect legal rights

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Appraisal
2. Secondary / Archival (Continuing) Value - The usefulness
or significance of records based on purposes
other than that for which they were originally
created.
2.1. Evidential - information on the origin, structure,
functions and activities of the records creator;
value of record to prove or disprove facts.
2.2. Historical - information about the past
2.3. Research/Informational
Research - information in public records on
matter with which the agencies dealt,
Informational - documentation of specific
people, places, activities, etc.; usefulness based on
their content
2.4. Symbolic- representative of something which
the creator caused it to be there
• Temporary Records
Records created or received because of their
primary value only and are retained and disposed in
accordance with established retention period. 22
Appraisal Under of Archives
Administration
APPRAISAL
The process of determining whether documentary
materials have sufficient value to warrant acquisition by an archival
institution.

Why Appraise?
 Establish retention
 Identify records that can be disposed of immediately
 Identify records to be retained for a set period
 Identify records with archival value

Appraisal Policy
An appraisal policy serves as a concrete guide in decision
making, support institutional objectives in retaining archival records
and provide consistent judgment in the appraisal of records.
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Appraisal Process

- Appraisal is done BEFORE acquiring the

materials and again DURING the processing of acquired
records.

- Appraisal done BEFORE acquisition includes

getting information about the originating office and
whether the records fit the collection

- Appraisal done DURING the processing includes

determining whether a group of records within the
collection merits retention.

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RECORDS DISPOSITION
Records Retention and Disposal Schedule
• Records retention and disposal schedule is the control document
recording appraisal decisions and prescribing disposal action
(IRMT, 1999)

• Records retention schedules are the primary mechanism by

which records are managed throughout their life cycle.

• The records retention schedule, sometimes also called a records

disposition authority or a records retention and disposition
schedule, is a control document that:
a. Identifies all the records created or maintained by the
organization or an administrative unit of a public service
organization;
b. Specifies the periods for which they are to be retained
and their place of custody during those prescribed
retention periods
c. Authorizes their disposal at the appropriate time and
indicates the disposal action to be taken.
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The Purpose of Retention and
Disposal Schedules:
a. Ensure that records are retained for as long as they are
needed and no longer
b. Consistent approach across the organization
c. Avoid unnecessary duplication
d. Ensure appropriate storage location
e. Identify and protect “Vital records”
f. Identify records of long term value and ensure their
preservation

Disposal of Records
This is the last phase in the records lifecycle of records,
where by the decision should be made whether to retain the records
or to destroy them. The actions taken with regard to records as a
consequence of their appraisal and the expiration of their retention
periods and the date on which actions specified in a disposal
schedule is known as disposal schedule.

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Principle of Disposal
1. Authorized – disposal must be consistent with the policy,
regulations and legislations
2. Timely – records should not be destroyed until retention
periods based on regulatory, legislative, fiscal and
administrative requirements
3. Secured- destruction of records should be irrecoverable
4. Documented- to fulfill the criteria of the principles of
transparency and accountability
Disposal can include
 Physical Destruction: Records should be scheduled for
destruction at the expiration of their primary value if,
based on the appraisal, they have no continuing
secondary value.
 Transfer to Archives: Records should be scheduled for
archival preservation at the expiration of their primary
value if they have continuing secondary value

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In the disposition, records are categorized as followed:
 for destruction
 for transfer to the archival institution
 for review.
Methods of destruction
A number of different methods can be used to destroy
records. The choice of method will depend on the following
factors:
– The volume and dimensions of records to be destroyed;
– Restrictions made by relevant legislations or regulations
on certain methods of destruction;
– Local availability of recycling services;
– Desire for organizational control over the destruction
process; and
– The confidentiality of the documents

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Several methods are used to destroy paper records:
 Shredding - this can be extremely secure.
Extremely sensitive papers may require cross-
shredding.
 Pulping - this is extremely secure. Moreover, this
method is environmentally friendly as pulped
paper can be recycled.
 Burning - this is not particularly secure. If this
method of destruction is employed, and
contracted out, an office should seek to ensure
that it is carried out in a secure location. Moreover,
densely packed papers may not burn very well and
this method of records destruction is not
environmentally friendly.

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ARCHIVAL ACQUISITION
In archives, the process of accepting material into your
collection is called acquisition.
An acquisition can be:
1. TRANSFER of items
2. DONATION
3. LOANS
4. PURCHASE of items
5. DEPOSIT
Factors Affecting Acquisitions
1. Total Cost of Think
2. Physical Condition
3. Volume of Materials
4. Records Media
5. Accessibility
6. Uniqueness and Duplication
7. Potential Use
8. Politics
9. Personal Bias 30
ARCHIVAL POLICY
Refers to what types/kinds of records the archives
is most interested in acquiring.
Five Basic Elements
1. Statement of repository mission and purpose.
2. Delineating the scope and focus of collecting.
3. Priorities and limitations
4. Cooperation with other institutions
5. Deaccessioning

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ARRANGEMENT AND
DESCRIPTION
Arrangement
 As used in archives, is the physical process of
organizing records according to provenance or
fonds and subfonds, thereunder generally arranged
by series.
 Includes sorting, storing in folders and boxes,
labeling and shelving.

Description
 Intellectual process of providing control for the
records through the preparation of finding aids,
such as inventories, masterlists, catalogs and
indices.

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LEVELS OF ARRANGEMENT &
DESCRIPTION
1. Depository
Central area for the maintenance, preservation
and use of the agency’s records and archives
1.1 Subdepository
Breakdown of the depository’s complete holdings
into a few major divisions

2. Fonds
Primary records creating unit consisting of
organically related records established on the basis of
provenance.

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LEVELS OF ARRANGEMENT &
DESCRIPTION
Also known as Record Group

Record Group Title and Symbol

Example: RG 1 - Office of the Board of Regents
Subfonds/subgroup
Subordinate administrative unit under the fonds or record
group
Examples:
RG OFFICE OF THE PRESIDENT
SG CENTER FOR INTEGRATED AND DEVELOPMENT
STUDIES
RG BIENVENIDO M. GONZALEZ PAPERS
SG PERSONAL PAPERS
UNIVERSITY OF THE PHILIPPINES OFFICE OF THE PRESIDENT
NATIONAL RESEARCH COUNCIL OF THE PHILIPPINES
NATIONAL ECONOMIC COUNCIL

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LEVELS OF ARRANGEMENT &
DESCRIPTION
3. Series
Basic unit within a fonds which refers to a set of
documents resulting from the same function or activity or
having a common form or relationship arising from their
creation, receipt or use; often referred to collectively by a
specific title.

Also known as Record Series

Subseries

Aggregate of units within a series

Example:
Correspondence -- Series
Incoming -- Subseries
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LEVELS OF ARRANGEMENT &
DESCRIPTION
4. File
An organized physical assembly of documents, usually
within a folder, relating to the same subject, activity or
transaction
It may be represented by folders, minute books, ledgers,
notebooks, and so on. Files are usually arranged within their
series chronologically, alphabetically, or by type of material.

EXAMPLE:

Correspondence -- Series
Incoming -- Subseries
A–L -- File Unit
M–T -- File Unit

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LEVELS OF ARRANGEMENT &
DESCRIPTION
5. Item/ Document
Smallest indivisible archival unit
Documents within the file units are arranged chronologically,
alphabetically, or a combination of both. If items arrive in no order and
not in file units, archivists generally arrange them chronologically or sort
them by name of correspondent.
Example:
Correspondence -- Series
Incoming -- Subseries
A-L -- File Unit
Ancheta, Jose -- Document
General Example:
Depository Department of Everyday Affairs
Fonds/Record Group Office of the Department Secretary
Series Reports
Subseries Annual
File 2006 – 2009
Item Annual Report for 2009 37
PRESERVATION AND
CONSERVATION
Preservation is a branch of library and information science
concerned with maintaining or restoring access to artifacts,
documents and records through the study, diagnosis, treatment
and prevention of decay and damage.

Conservation refers to the treatment and repair of individual

items to slow decay or restore them to a usable state.
Conservation refers to the treatment and repair of individual
items to slow decay or restore them to a usable state.

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General Storage Requirements
In order to monitor the archival institution’s physical facilities and
ensure they are well maintained, the following general storage
requirements should be followed.
 Ensure air circulates well in the building, particularly in storage areas.
 Cover windows with curtains or blinds to reduce light levels
 Do not open or close windows or doors unnecessarily.
 If windows or doors are kept open, cover them with screens to keep
insects and rodents out.
 Check the roof regularly and repair leaks or cracks to avoid water
damage.
 Check all pipes in the building regularly and repair leaks or cracks
right away.
 Check drainage around the building and clear drains as necessary to
avoid water build up.
 Ensure the facility is well cleaned regularly, with floors swept and
shelves dusted thoroughly.
 Effective fire-fighting equipment should be kept in the repositories
at all times. This equipment.
 Must be inspected and tested annually. ‘FIRE EXIT’ signs should be
placed at suitable points.

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Deterioration of Records
These is a process by which record become progressively
worse making the contain information to be lost or difficult to
retrieve.

Categories of records deterioration

1. Chemical deterioration
The records become discolored, fragile and brittle.

2. Biological deterioration
Biological agents cause most damage by infestation
certain biological agents like fungi, rodents and insects.

3. Physical deterioration
Agents are light, temperature/ heat and humidity moisture,
which bring about photochemical, hydrolytic, or oxidative
changes in paper.

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Preventive Measures to Records Deterioration
 Temperature and relative humidity
 Acidity
 Light
 Air Pollution
 Fire and Water
 Biological Agents
 Mold
 Insects
 Rodents
 Abuse and Mishandling
 Disasters

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Preservation involves the following activities. Maintenance:
This activity involves the daily care of records and archives,
particularly in the current and semi-current records
environment, when they are housed in offices or records
centers; maintenance ensures the general protection of records
against environmental hazards or other physical dangers.
Conservation:
During these process intrusive protection of archival
material, should be done by the minimal physical and chemical
treatments necessary to resist further deterioration, which will
not adversely affect the integrity of the original material or
source.

Restoration:
During these activity that is the repair of an item when
aesthetics and reproduction of the original appearance is more
important than the preservation of the integrity of the item.
Restoration is not generally viewed as an archival activity.

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