*Records Management Flashcards
Men are regulated by documents from the time he is ____ until the time of his death ”
conceived
Outline
I Records Management •Importance of Records •Classes of Records •Lifecycle of Records •Concept •Major Categories of Value of Records II Records Custodian III Filing System IV Security of Records
The field of management responsible for the efficient and systematic control of the creation, receipt, maintenance, use and disposition of records, including the processes for capturing and maintaining evidence of and information about business activities and transactions in the form of records.
Records Management
Provides control over records from creation to destruction
Ensures that records are retained and usable through their mandatory retention periods.
Ensures that records are destroyed at the end of their retention periods.
Records Management
Importance of Records Management
To Control the Creation and Growth of Records To Reduce Operating Costs To Improve Efficiency and Productivity To Ensure Regulatory Compliance To Minimize Litigation Risks To Safeguard Vital Information To Support Better Management (Decision Making decisions and future business planning purposes) To Preserve Corporate Memory
Classes of Records
Vital
Important
Useful
Nonessential
Essential to continued operation
Irreplaceable
Vital
Important to continued operation
Replaceable (sometimes at considerable expense)
Important
Loss would temporarily inconvenience organization
Replaceable
Useful
No real value
Ought to be destroyed
Nonessential
Records Lifecycle
Active
Inactive
Archival
Current
Frequently accessed
Active
Older; must be retained
Rarely accessed
Inactive
Of important historical significance
Occasionally accessed, usually for research
Archival
The Lifecycle Concept
Active Records
create, store, retrieve
The Lifecycle Concept
Inactive Records
inventory, Store, Archive, Destroy
The Lifecycle Concept
Archival Records
store, backup, migrate, review, inventory
The stage wherein records come into existence as a result of an agency’s operations. They are either created by an agency or received by it.
Records Creation
Records Creation (2)
Declare A Record:
Capture Records:
Recognize a record to be a record, identify it as a record.
Declare A Record:
Include a record in a system that manages records.
Capture Records:
information created, received, and maintained as evidence and information by an organization or person, in pursuance of legal obligations or in the transaction of business
Record (ISO Definition)
recorded information produced or received in the initiation, conduct or completion of an institutional or individual activity and that comprises content, context and structure sufficient to provide evidence of the activity.
Record (ICA Definition)
Major Categories of Value of Records
Time Value
Utility Value
refers to the specific period of usefulness of records.
Time Value
Time Value (2)
Temporary
Permanent
Utility Value (6)
Administrative value Fiscal Legal Archival Historical Research
when they have served the purposes for which they were created or when action on them has been accomplished or terminated (PDS, Certificate of Appearance, Press releases, Minutes of Staff Meeting)
Temporary
when the records have administrative, legal, archival, research or historical significance and are worthy of preserving (Decision, Minutes of Board Meeting, Balance Sheets, Annual Report, Directives/Issuances, Committee Report Programs of the Agency)
Permanent
refers to the nature of the usefulness of the records to the organizations operations.
Utility Value
the value of records that is determined by their use as administrative tools to accomplish the mission of the organization ( PDS, Minutes of Staff Meeting).
Administrative value
the value of records that is determined by their use as administrative tools to discharge the financial obligation of the organization ( Trial Balance, Balance sheets, Advice on allotment.)
Fiscal
the value of records that express legal decision, opinion and those that generally give protection to the civil, legal, property and other rights of an individual, it contains evidence of legally enforceable rights of a person (Resolution, Decision, Contract).
Legal
the value of records that reflects a significant historical event or historical documents that could be used as basis of research (Turn-over and Assumption of Office of the CPNP).
Archival
the value that provides complete records of the past and current activities, the value referring to policies, plans, rules and procedures which the organization or one of the component part adopted to carry out its functions and responsibilities (Transformation Plan, One PNP).
Historical
the value that provides actual or potential usefulness for studies of methods, operation, data or experience and investigation for use in the conduct of further scientific researches (Report on test and evaluation of Equipment/firearms/vehicles/clothing)
Research
Maintenance And Use Of Records:
Organize Records Maintain Records Security Manage Records Access Facilitate Records Retrieval Preserve Records Audit/Oversight
Final Disposition Of Records
Destruction
Transfer
Who Is Responsible for Records Management?
The Records Officer ?
EVERYONE !
employee responsible for overseeing the records management program and providing guidance on adequate and proper recordkeeping.
Records Officer
refers to any agency employee with responsibilities over a particular set of records. He/She must keep the records officer informed of any issues regarding the records in his/her custody.
Records Custodian
___________ are records when they meet both of the following conditions:
They are made or received by the Agency in connection with the transaction of agency business; and
They are preserved or are appropriate for preservation as evidence of agency organization and activities or because of the value of the information they contain.
Record Status
Documentary materials
Convenience or reference copies
Information/Reference copies of records that do not require action.
Personal papers
Technical reference materials
Technical reference documents needed for general information
Extra copies of documents preserved only for convenience or reference
Publications and processed documents preserved for supply purposes
Materials preserved solely for purposes of exhibition in libraries or museums
Non-Record Materials
Why Are Records Important?
Accountability
Evidence
Smooth Operations
where there is a need to be accountable for decisions, actions or outcomes.
maintained in a manner that ensures they can be identified and retrieved when required
When should RECORDS be CREATED
records are created
___________are those received and created by agency officials and staff in the course of business. They are retained as evidence of the policies and activities of the agency, and as sources of information for day-to-day operations.
What Constitute an Official Agency Record?
*Official records
A Guide to Determining an Official Agency Record
Does it form part of an agency transaction?
Does it add value or support to an existing document?
Does it show how a transaction was processed?
Does it show how a decision was made?
Does it document a change to policy, procedure or methodology?
Does it fall within the functions and activities contained in the Agency’s records disposition schedules?
Does it show when or where an agency event happened?
Is there a statutory requirement to keep the document?
A Guide to Determining an Official Agency Record
Other Types of Records
E-mails
Minutes of Meetings
should not be used for purposes of recording information.
Post-its’ and similar temporary or removable ‘records’
A records and archives management program includes the following:
the legal disposition of obsolete records
the identification and administration of and access to records of enduring value
filing and indexing systems
the use of computer or other information technology
the storage and management of inactive records no longer needed for the conduct of day-to-day business in the office
the microfilming of records
the oversight of the creation and use of forms, correspondence and other records
the provision for protecting vital records
A records and archives management program includes the following:
Create and save ONLY records you need
Retain necessary records; dispose of obsolete records
Store records safely and securely
Be able to retrieve records quickly and easily
Keep the process for sharing information simple
Have documented procedures and good training for everyone
Use technology appropriately
Have a Disaster Recovery Plan – and USE it
Points to remember
a folder containing records; or
a collection of records involving a specific name or topic; or
a class of records in a separate group or series of file drawers; or
the operation involved in arranging records in systematic order
Files
Classifying and arranging of records in a systematic way so that they are not only safely stored but also quickly retrieved when needed.
Filing
Deals with keeping and maintaining records in custody as well as the procedures of classifying, filing and servicing them.
Files Management
Objective & Goal
The basic objective of a good filing system is to be able to find the record you need quickly and economically, regardless of its format.
The goal of a good filing system is to provide quick access to information. How to plan? Assign responsibility Obtain support Collect information: inventory records Analyze records Develop a filing system Implement system Train users Monitor implementation, follow up and revise system
Files Management
All official files are concentrated in one central records unit while the action units maintain reference files
Responsibility is easily placed
Less duplication of personnel, equipment, supplies and space
Greater utilization of filing facilities
Uniform service is provided
Centralized
All official files made and used by each organizational unit is maintained and controlled at the point of origin.
Information is readily available
Only one unit is concerned with the records
Constant reference can be made to the records
Centralized filing unit location may be too distant for adequate service
Decentralized
UNIFORM…
policy direction
procedural practices
files classification and description
Centralized Control
Purposes
To make records available when needed
To keep all related materials together
To provide a permanent and safe storage for records
Efficiency • Economy • Simplicity
Filing Systems
Filing Systems
Classification
Alphabetic name Alphabetic subject Alphabetic location Numeric Chronological Functional Subject-Alphabetic Classification System (FSACS)
(FSACS)
Functional Subject-Alphabetic Classification System
- Analyze the functions of the agency and its records
Organizational and functional charts
Policy and procedural manuals
Reports (annual, monthly etc.) - Make a list of all these functions and arrange them alphabetically
Administrative Management (ADM)
Finance (FIN)
Personnel (PER) - Make a list of all subject topics pertaining to each function.
Finance (FIN) - major subject heading Audits
Primary classifications
Accounts Current
Allowances
Appropriations
4. Make a list of correlated subject topics under each primary classification and arrange them alphabetically
Appropriations - primary
Secondary
Allotments
Budget and Budget Estimates
Policies
Transfer of
- Under each secondary subject topic, group together other related minor subject topics related to it and arrange them alphabetically.
Budget and Budget Estimates - secondary
Tertiary
Exhibits
Justifications
Special
Supplemental
Finance (Fin) Appropriations Budget and Budget Estimates Exhibits Justifications Special Supplemental
FSAC Filing System
filing procedure
Check Read Mark Sort File Charge out
Issuing the records -Asking for the records -Locating the records -Charging out the records Returning and re-filing records Following-up borrowed records
Servicing Files
No one, except the file unit personnel, shall be permitted access to the files.
Requisitions for materials on file must be made in writing on forms provided for the purpose.
Records may not be kept beyond the due date specified in the requisition slip. If eventually they are needed for a longer period of time, the new due date must be duly recorded in the corresponding requisition slip.
4. A whole folder should not be loaned when one or two records contained therein shall suffice to fill the need of the borrower.
5. Confidential records shall always be on file at the close office hours.
Suggested Rules
The use of ______, such as index, charge-out cards
folders and others can help facilities the easy retrieval
of information.
filing aids
“Efficient RECORDS KEEPING is basically GOOD HOUSE KEEPING through 5 S.”
Sort Set in order Shine Standardize Sustain
The preventive and protective measures and actions undertaken in order to safeguard records/documents in all government agencies from unauthorized and indiscriminate disclosure, damage, destruction and loss, whether these records are filed in the current or non-current storage area.
Security of Records
How to Protect Records and Documents
- Vital documents or records are placed in area considered as exceptionally safe, free from fire, larceny, flood and from any form of natural calamity
- Vital documents are microfilmed
- Control of keys to the stack areas
- Use of charge out cards
- Application of RESTRICTED AREAS policy
- Designation of NO SMOKING AREAS
- Duly authenticated duplicate copies should be stored separately from the originals
- Constant security survey
- Surveillance of records personnel
- Maintain security emergency plan
- Apply regular fumigation
- Install air-conditioning units
- Whenever necessary, adopt body and baggage searches to all personnel entering and going out of the records areas for security reasons
Classification of Records
- Top Secret Documents
- Secret Records or Documents
- Confidential Records or Documents
- Restricted Records or Documents
Records or documents contain information and materials, the unauthorized disclosure of which would cause exceptionally grave damage to the nation politically, economically or from the point of National Security. This kind of records deserves the most guarded secrets by the person involved.
- Top Secret Documents
Records contain information or materials, the unauthorized disclosure of which would endanger National Security, cause serious injury to the interest and prestige of the nation or any governmental activity or would be of great advantage to other nation.
- Secret Records or Documents
Records contain information and materials the unauthorized disclosure of which would be prejudicial to the interest or prestige of the nation, or any government activity or would cause administrative embarrassment injury to the honor and dignity of an individual, or would be of advantage to a foreign nation.
- Confidential Records or Documents
Records contain information and material which requires special protection other than that determined to be TOP SECRET, SECRET, OR CONFIDENTIAL.
- Restricted Records or Documents
Factors to be Consider in the Security of Records and Documents
- Loyalty and Dedication of the Records Personnel
- Location and Facilities
- Management Support and Policies
Records personnel should be and must be proven to be loyal, dedicated and knowledgeable. Even if we have the modern system in records management but if we have
defective personnel, we could not consider our records to be safe and secured.
- Loyalty and Dedication of the Records Personnel
Our records should be stored in secured places, such as buildings made of strong materials which could sustain fire, typhoon, flood, and earthquake with available facilities such as alarm, fire extinguishers, insecticides, vaults, keys and padlocks, lighting system, and water-proof storage areas.
- Location and Facilities
There must be a continuous management support, such as funding for the maintenance of the facilities, and establishment of policies designed for the protection and safety of our records.
- Management Support and Policies
An act to strengthen the system of management of administration of archival records, establishing for the purpose the National Archives of the Philippines and for other purpose.
Republic Act No. 9470 –
“National Archives of the Philippines Act of 2007” (May 21, 2007)
A person who, willfully or negligently, damages a public records or disposes or destroys a public record other than in accordance with the provision of this Act or contravenes or fails to comply with the provisions of this Act or any regulations made under this Act shall be deemed to have committed an offense.
Sec 40, RA No. 9470 - Offenses
Any public officer committing any unlawful acts or omissions mandated under this Act shall be punished by a fine of not less than Five Hundred Thousand Pesos (P500,000.00) but not exceeding One Million Pesos (P1,000,000.00) or be imprisoned for not less than five (5) years but not more than fifteen years and or both and imprisonment at the discretion of the court without prejudice to the filing of administrative charges that would result such public officer’s perpetual disqualification from public office, and forfeiture, in favor of the government, of his salary and other lawful income.
Sec 41, RA No. 9470 – Penalties for Violations
Preserving the past, preparing the future, protecting the present.
Records Management
