Records Management

(With Writing Minutes and

Resolutions)

CORDILLERA ADMINISTRATIVE REGION

COOPERATIVE UNION (CARCU)
 Our Objectives
Upon completion of the course, the
learners should be able to:
1. Explain all the activities involved in
records management;
2. Set up a system/policy of
administration and disposition of
records;
3. Secure records through preventive
and protective measures; and
4. Write clearly and effectively, the
coop’s minutes of meetings and
resolutions
Course 01 MODULE 1
Records Management Basics
Content:
02 MODULE 2
Records Administration and Disposition

03 MODULE 3
Records Security and Protection

04 MODULE 4
Writing Minutes of Meetings and
Resolution
Records Management

Module 1
What is Records Management?
Record – a definition
 A record is evidence that a particular event took
place.
 A record is any information resource in any format
that is:
 Created in the course of business
 Received for action
 Needed to document activities and decisions
 Mandated by law or regulation
 Supports financial obligations of legal claims
 Communicates institutional requirements
Thus, RECORDS…
 Include paper (including computer print out, correspondence),
books of accounts, maps, photographs, machine‐readable
materials, (such as magnetic or optical disk, DVD, computer
tape, tab cards, microfilm, audio recordings, video) or any other
means of preserving information or other documentary
materials, regardless of physical form ;
 made or received by the cooperative in connection with the
transaction of its business ;
 and preserved as evidence of the organization, functions, policies,
decisions, procedures, operations or other activities of the
cooperative ;
 or because of the information value of the data in them
Records…
 are the organization's documentary
heritage that provides evidence of the
transactions, decisions, and events that
may need to be proven or referenced over
the medium or long term.
 An authentic record is the correct version,
by the designated author, held in the
correct department, for the correct amount
of time.
 As such, records are an important corporate
asset.
A record does NOT include
 Personal papers not related to business
 Reference materials
 Convenience copies
 Stock copies
 General announcements
 Unsolicited email not related to business
 Computer-generated responses or
confirmations
Draft documents and Working papers
… ARE NOT RECORDS ONLY if they are:
 Not circulated for official purposes;
 Do not contain unique and substantial information
 Are not needed to document the decision-making
process
 AND, are not described elsewhere under a
requirement to be retained.
Digital Records
Quiz!
1. Which two most accurately define a “record”?
 a. Any piece of information I create
 b. Paper document or print‐out of an e‐mail
 c. Any document or set of documents that record a business
transaction or decision
 d. Information held in a database
 e. A corporate asset of the cooperative
2. How long should you keep your records?
 a. 7 years
 b. Until I no longer need them for my work
 c. When my filing cabinets are full
 d. It depends on what type of record it is and whether I created it
Records management- a definition

RM (or RIM) refers to a set of

efficient and economical activities
and methods required for
systematically controlling the
creation, distribution, use,
maintenance, and disposition of
recorded information maintained
as evidence of business activities
and transactions.
Why records management?
Administrative value
 Improves employee effectiveness
 Faster information retrieval
 Easier decision making
 Improved office efficiency
Fiscal value
Legal value
Historical value
Health and Physical value
 Decreases stress
ACCESS
 Good records-keeping makes it easy to locate, retrieve, and produce
records; bad records-keeping leads to frustration and dismay
DECISION-MAKING
 Complete, accurate, authentic and reliable records support the
administration of policy and consistent decision-making, planning,
evaluation and reporting.
 With poor records the original context in which policies, decisions and
practices were undertaken is forgotten and the evidence that could be
use to revise and evaluate them disappears. This contributes to a “re‐
inventing the wheel” syndrome.
 Poor record-keeping increases the danger that current decisions may be
based on out-of-date, inaccurate, and unreliable information.
CONTINUITY

Good records minimize loss of knowledge

and ensure business continuity despite
staff turnover . Former staff take their
memories with them, and without
records new staff are unable to fully
understand past practices. Memories,
moreover, are notoriously unreliable with
the passage of time and you need good
records to recall your actions and to make
good decisions.
EFFICIENCY
 Good record-keeping increases
administrative efficiency and promotes
economical operations.
 Poor record-keeping leads to the
unnecessary retention of records long
after their value has expired – making
useful records difficult to find and
taking up valuable office space. Staff
time and resources are misspent in
labor-intensive searches for records
which may or may not exist or which
may or may not even have been created.
ACCOUNTABILITY
 Records are evidence of actions and decisions
and provide the means by which to hold people
accountable. Without records, cooperative
officials cannot adequately render account of
their tenure.

LIABILITY
 Well managed records enable the cooperative to
defend its legal rights or to minimize and
eliminate legal liability;
 Records retention enables compliance with
applicable statutes
Life Cycle of a Record

DISPOSAL U USE AND FILE

SE
The record is either The record is

05
destroyed or distributed, shared and

SE
01

02
preserved. utilized for information

PO
and guidance.
CREATE
IS
D The record is
made.

IN
APPRAISAL RETAIN/STORE

A
ET
04

The record is assessed The record is kept and

R
A
PP
as to its vitality and maintained in the

03
R
continued utility. storage area.
A
IS
E
Aspects of Records Management
 Files management (Use and File)
 Information retrieval (Use and File)
 Forms and reports management (Use and File)
 Correspondence management (Use and File)
 Electronic records management (All stages)
 Inactive records storage (Retention/Storage)
 Digital imaging (or microfilming) (Retention/Storage)
 Records retention schedules (Appraise)
 Vital records protection (Appraise)
 Historical documentation (Dispose)
Records responsibilities of employees
 Manage records created as part of duties
 Protect and save records created and used
 File documents (including email) according to a
filing plan
 Maintain confidential and sensitive information
appropriately
 Know how long to retain records
 Dispose non-records

 Q: What records do employees typically have?

Quiz!
 Who is responsible for managing cooperative records?
a. Records managers and archivists
b. Administrators
c. Administrative assistants and clerical staff
d. All cooperative staff and officers
 True or false: The cooperative has sole responsibility for deciding which
records can be kept or disposed of?
 True or false: The cooperative must balance its business requirements
with legal obligations when deciding which records to keep or dispose
of?
 Quiz!
 An inactive record is:
a. A record that is no longer used for ongoing business purposes
b. A record that has just been created
c. A record that is used on a regular basis
 Which statement is most accurate?
a. All records should be destroyed when they become inactive
b. Some records have archival value and should be kept permanently
c. All records should be kept permanently
 What is appraisal?
a. Process of removing personal information from a record
b. Process of ensuring that records are held securely
c. Process of deciding if a record should be preserved or destroyed
 True or false: Records can be stored in many different formats?
FIRST REQUIREMENT!
A Cooperative Records Management Policy

1) Records Inventory and Classification

2) Retention and Scheduling
3) Records Storage and Conversion
4) Vital Records Program
5) Disaster Prevention and Recovery
6) Disposition
Records Inventory and Classification
 Clear policy guidelines on the determination of:

 What types of records the cooperative has

 A complete and accurate listing of records (paper, microform, or e-based)
 Where records are stored and the volume of storage;
 How records are classified for future use and retrieval;
 The sensitivity of information to access;
 Retention periods; and
 Legal, fiscal, administrative, or historical value of the records
Retention and Scheduling
 Clear policy guidelines on how long
records are to be kept;
 Primary considerations:
a. Legal value
b. Fiscal value
c. Administrative value
 Secondary considerations
a. Evidential value
b. Historical value
c. Informational value
Records Storage and Conversion
 Clear policy guidelines on:
 Where and how records are to be kept;
 Records’ hold procedure for litigation purposes;
 Access procedures for sensitive records;
 Procedures for records transfer;
 Storage of electronic records;
 Environmental conditions of the storage facilities;
 Records conversion – i.e. digitization (for easier access,
reduction of volume, and enhanced protection and
disaster recovery
Vital Records Program
 “vital records” are those organizational records
needed to meet operational responsibility under
emergency or disaster conditions.
 Clear policy guidelines on:
 Storage and access;
 Back-up and recovery programs
 Procedures for quick reproduction and systems
recovery
 Identification of vital records as part of the
cooperative’s disaster recovery plan
Disaster Prevention and Recovery
 Clear policy guidelines on:

 Protective mechanisms (adding of metadata,

safeguarding from unauthorized editing or deletion,
provision of an audit trail of authorized changes to
records, metadata, or systems settings)
 Disaster recovery plans to include:
 Chain of command with contact information
 Decision tree for appropriate action
 Emergency management officials with contact information
Disposition

 Clear policy guidelines on:

 Destruction mechanisms
(shredding, pulping, burning,
maceration, etc.)
 Preservation mechanisms
(transfer to the archives)
The RECORDS CUSTODIAN
A single individual, appointed by the Board of Directors,
who satisfies the following conditions:

 He/she understands the record systems of the office

 He/she is able to make decisions on retention and
disposition of the cooperative records.
Responsibilities of the Records Custodian
 Help determine retention and disposition policies.
 Make decisions about who can access records.
 Provide guidance to departmental personnel in all
records related issues. 
 Work with Records Management to ensure proper
handling of all material. 
 Review material scheduled for disposition.
End of Module 1

THANK YOU!